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Western Mindanao State University
PROCEDURES MANUAL
Instructional Delivery
NAME POSITION SIGNATURE
PREPARED BY: FUVIE ROJAS-BAYOT CTE, Faculty
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ-HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 6
3. Procedure Details ................................................................................................................................. 6
4. Risk Assessment .................................................................................................................................. 8
5. References .......................................................................................................................................... 10
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
The teaching and learning process are considered to have a complex, multidimensional activity, often requiring the instructors to manage multiple tasks and goals simultaneously and flexibly. The established prevailing set of standard procedures, guided mission and vision, can make teaching both more effective and more efficient.
1.1. Purpose
The purpose of this manual is to establish a procedure in the teaching and learning process in order to guide instructors in managing their instruction as well as helping and facilitating students learning, so that instructors can meet their own goals and objectives set to meet students’ needs.
1.2. Scope
The scope of this manual is confined to management of instruction in the classroom that meet students learning needs.
Responsibility Description
Dean
1. Communicates with the Department Heads & Program Chair regarding teaching and learning development;
2. Oversees the conduct of teaching and learning process of the faculty together with the students;
3. Communicates officially to faculty with regards to changes/progress or any development that may arise;
4. Ensures that all the materials of the teaching and learning process are already prepared by the faculty;
5. Ensures that all faculty in the teaching and learning activity of the students utilized and implemented;
6. Monitors the faculty in their teaching and learning process; 7. Mandates faculty to attend seminars/training that pertains to teaching and
learning activities; 8. Updates faculty for (to) any new development in the teaching and learning
process; 9. Sets weekly instructional goals for teacher and design an observation
schedule to provide feedback on teachers’ progress in meeting those goals. 10. Observes teachers daily, conducting formal as well as informal
observations. Provide ongoing feedback to teachers on instructional delivery and structure substantive feedback for more significant areas of growth.
11. Meets with faculty weekly to examine assessments and student data, and provide feedback on instruction and curriculum design.
12. Participates in daily instructional walkthroughs with Associate Dean. 13. Develops and leads instructional professional development of all state
mandated testing? e.g., LET exam? 14. Puts in place effective internal assessment systems to monitor academic
progress of students throughout the year.
Department Heads
1. Oversees/Supervises the operation of the department; 2. Schedules and assigns the teaching loads of the faculty; 3. Checks syllabi of the faculty for their teaching activities; 4. Monitors the faculty in their teaching instruction/management of the
classrooms 5. Echoes the agenda per Dean’s meetings/instructions or from top
management;
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
6. Calls the attention of the faculty that does not observe proper decorum. 7. Calls the attention of the faculty that does not leave the classroom in order
Program Coordinator
1. Coordinates with other departments faculty within the college and other colleges relevant to teaching and learning;
2. Facilitates teachers and students learning activities; Serves as a conduit between teachers and department chairs and the dean.
Faculty
1. Confers with the department chairs as to their teaching schedules and subjects assigned;
2. Develops the syllabus of the topics that are assigned to him/her; 3. Prepares instructional materials/modules relevant to the topic assigned; 4. Facilitates classroom instruction; 5. Briefs/orients students of the do’s and don’ts in the classroom; 6. Briefs students on the evaluation procedure of the University; 7. Utilizes the teaching materials prepared for classroom instruction. 8. Develops test based on TOS and administer the test to students; 9. Conducts item analysis to determine the difficulty and discrimination indexes
of the test. 10. Practices classroom management and supervision 11. Ensures the cleanliness of the classroom. 12. Must always be prepared.
Students
1. Attends the first day of classes; 2. Attends the classes to the assigned schedule; 3. Participates in the learning activity introduce and prepared by the faculty; 4. Observes punctuality; 5. Submits reports, assignments and other requirements on time; 6. Demonstrates academic integrity and honesty 7. Attends and participates in lecture and laboratories classes. 8. Completes the assigned work/task as required by the faculty; 9. Avoids making excuses for their behavior 10. Communicates in a careful and respectful manner with professors, peers,
and other members of the college community 11. Utilizes university/college resources and seek help when needed.
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Instructional Materials
These are the tools used in educational lessons, which includes active learning and
assessment. Basically, any resource a teacher uses to help him teach his students is an instructional material Module
Standardized or self-contained segment that with other such segments constitutes an educational course or training program
2.2. Acronyms
CTE College of Teacher Education
IDP Individual Daily Program
MISTO Management Information System Technology Office
ROR Report of Rating
3. Procedure Details
Activity Details
Responsible Person
Documented Information
1.0 Receive and Review Subject Load
1.1 The Dean through the respective Department Head/Program chair assigns the subject load to the faculty for the current semester.
Dean/ Department Head/ Program Chair Faculty
Subject Load Form (WMSU-VPAA-FR-
01) 1.2 Confers with the Department Heads the teaching
schedules and subjects assigned.
Department Head/ Program Chair
Faculty
2.0 Preparation of IDP
2.1 Input the necessary data needed following the work instruction, using IDP template.
WMSU- VPAA-FR.02 WMSU-VPAA- W1-02
Faculty
WMSU-VPAA-WI-02 Individual Daily
Program (IDP)Guidelines
WMSU-VPAA – FR-02
I.D.P 3.0 Acquire and update copy of Course Syllabus and MISTO List of Students
3.1 The faculty checks on the availability of the course syllabi. And do updates that fits the learners needs.
Faculty
(WMSU-VPAA-PM-XXX). Syllabus Development
3.2 Download a copy of the MISTO list from the WMSU portal refer to WMSU-VPAA- W1-03
WMSU-VPAA- WI-02 Class list Downloading Instructions
3.3 Submit the IDP (WMSU- VPAA- FR-02 to the Faculty
Start
Receive and Review Subject
Load
Preparation of
IDP
Acquire & Update copy of Course Syllabus and MISTO List of
Students
A
Prepare Instructional
Module and Other Materials
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Activity Details
Responsible Person
Documented Information
Dept Head and the Dean for approval.
3.4 Checks the IDP entries and submits the IDP to the OVPAA and /or OP as the case maybe for approval. (WMSU-VPAA-PM-013)
4.0 Prepare Instructional Materials (Modules, Manuals, Workbooks and Powerpoint Presentation)
4.1 Review the course syllabi and develop instructional modules and/ or instructional materials. (WMSU-ISMP-PM-001)
Faculty
WMSU-VPAA-WI-03 Developing/ Designing Instructional Modules
4.2 The teacher prepares the instructional modules and other materials relevant to the assigned topic.
5.0 Carry-out the Instructional Activities
5.1 In carrying out instructional activities, the faculty must input on the syllabus remarks as to the modifications of activities and other details like data conducted, new references and others.
Faculty
Used Syllabi IMS
Monitoring/Evaluation Tool
5.2 Using the developed module and instructional materials
5.3 Enrichment activities may be included by the faculty to reinforce learning after actual class activities.
6.0 Assessment/Evaluation of Students Performance
6.1 For written summative examinations such as Midterm and Final Examinations, the Faculty is encourage to ensure the summative test. Refer to WMSU-VPAA-WI-04 on the guidelines on developing quality test. Other alternative assessment modes maybe utilized for the students performance WI-05
Faculty, Students Other interested
individual
WMSU-VPAA-GU-01 Guidelines on Developing Quality Tests WMSU-VPAA-GU-02 Alternative Assessment Guidelines. WMSU-VPAA-GU-03 Policy and guidelines on Student Assessment
6.2 Administers the test, Refer to WMSU-VPAA-WI-06.
6.3 Checks and records the test results of the students Refer to WMSU-VPAA-WI-07.
6.4 Provide feedback regarding the results, common errors, misconception.
7.0 Prepare and Submit Report of Rating (ROR) and other Documentary Attachment
7.1 Preparation and Submission of ROR and other documentary attachment
Carry – out the Instructional
Activities
Assessment and Evaluate Student
Performance
OK
Prepare and Submit Report of Rating (ROR) and Other Documentary
Attachments
END
A
No
Yes
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
4. Risk Assessment
NO KEY STEPS RISK DESCRIPTION
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RIS
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MITIGATION CONTINGENCY
1
Receive and review subject load
The number of students does not meet the required number for a subject to be open.
Monitor the number of students in the assigned subjects. Check the COR of the students.
Coordinate with MISTO
2 Preparation of IDP Changes of load due to an avoidable
circumstances. (Retirement, sickness, schooling)
Coordinate with the Dean In case the Dean is unavailable refer the problem to the next person of authority.
3
Acquire copy of course syllabus and MISTO List of Students
References used in the course syllabus are not updated. (Year published, Ref: 2010 to 2016)
COR submitted by students are not reflected in the MISTO List.
Posting of the names of students is not done on time.
Delayed enrollment due to financial constraints.
Download e-books or the college must create a poll of updated resources to be shared by the faculty.
Check the COR of the students
Follow-up from MISTO regarding the Master List of students
Buy books available at book stores Create a parallel list of students based on the COR Coordinate with MISTO
4
Prepare instructional module and other materials
The number of instructional module to be prepared is dependent upon the number of teaching load hence, a difficulty will arise if the teacher is assigned several subjects with different preparations.
Lack of resources published within 10 years, from 2017.
The 18 teaching units / 3 preparations should be maintained.
Overload subjects should be aligned to the regular load to avoid extra preparation.
Create a poll of resources in the college.
Buy books available at book stores
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 9 of 10
Subject: INSTRUCTIONAL DEVELOPMENT
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
NO KEY STEPS RISK DESCRIPTION
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MITIGATION CONTINGENCY
5 Carry-out instructional activities
Unforseen suspension of classes due to natural calamities and other events.
Make-up classes should be scheduled and approved.
No make-up class should be scheduled on Sundays.
Follow the standard protocol in requesting a make-up class.
6
Assessment and evaluate students performance
The validation of the instrument is highly dependent upon the experts hence delay of the validation of the experts will cause a delay in the assessment.
Delay in the approval of the final draft of the instrument.
Students are absent during the evaluation day.
Provision of feedback takes longer time
Validators should be mandated to evaluate the instrument in 3 days.
Coordinate with the Dean regarding the approval of the final draft to avoid delay.
Schedule a make-up class.
Consultation hours should reflect the giving of feedback
For compliance
Coordinate with the Dean
Follow standard protocol in requesting a make-up class
For compliance
7
Prepare and submit report
Few students were not able to take the exams
Announcement of the scheduled exam must be announced repeatedly to avoid absences.
Use FB group/ text/e-mail/PM to announce the exams.
Organize the class of officers to delegate follow-up responsibilities
Western Mindanao State University
PROCEDURES MANUAL
GRADES SUBMISSION PROCESS
NAME POSITION SIGNATURE
PREPARED BY: DR. RHUDAINA Z. MOHAMMAD CSM Graduate School Chair
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
<dd MMM yy>
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibility ................................................................................................................................... 4
2. Definitions, Acronyms and Abbreviations ......................................................................................... 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 4
3. Procedure Details ................................................................................................................................. 5
4. Risk Assessment .................................................................................................................................. 7
5. References ............................................................................................................................................ 8
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
The Western Mindanao State University Code (2014) states that the work of undergraduate and graduate students shall be reported at the end of each semester or summer term in accordance to the grading system therein stated, except as may be otherwise provided by the Board of Regents. As stipulated in Article 299 of the University Code, faculty members shall submit their Report of Ratings fifteen (15) days after the final examination at the end of each term.
1.1. Purpose
The purpose of this document is to systematize the process of submitting and uploading of grades at the end of each semester and summer term.
1.2. Scope
The procedure applies to all faculty members with teaching load.
1.3. Responsibility
Responsibility Description
Vice-President for Academic Affairs
Approves the Dean-approved copy of the reports of ratings
College Dean Verifies and recommends approval of the report of ratings submitted by the faculty.
College Secretary Furnishes a copy of the VPAA-approved ROR to the registrar and keeps a copy of the same in the Office of the Dean
Faculty Member Evaluates student performance in the course and submits report of ratings
Registrar Verifies the submitted report of ratings with the online grades and posts the final grades to student portal
College Clerk Facilitates the submission of the report of ratings
2. Definitions, Acronyms and Abbreviations
2.1. Definitions
Individual Daily Program (IDP) It is an official document that details the daily and weekly program of classes
assigned to faculty as well as their quasi-teaching activities. Online Grades
It is an electronic copy of the grades of the students uploaded by the faculty. Report of Ratings (ROR)
It is an official document that contains the list of students and their grades with the equivalent remarks.
2.2. Acronyms
VPAA Vice President for Academic Affairs
OVPAA Office of the Vice President for Academic Affairs
MISTO Management Information Systems and Technology Office
OBE Outcomes-based Education
PDF Portable Document Format
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details Responsible
Person Documented Information
1.0 Grading System Identification (WMSU-ROR-WI-001)
1.1 Set a course evaluation system (course requirements and grading system) in consultation with the students. Refer to Work Instruction WMSU-ROR-WI-001. Faculty
Member
OBE Course Syllabus (WMSU-
CSM-FR-xxx) 1.2 Write down course evaluation
system and OBE-based assessment activities for each topic in the course syllabus and submit for approval
2.0 Student Evaluation
2.1 Record student scores/rating in a class record.
Faculty Member
Class Record 2.2 Evaluate student performance in
the subject in accordance to the agreed grading system.
2.3 Compute student’s final grade.
3.0 Tagging of Subject ID to Respective Faculty
3.1 College Clerk tags the subject ID to respective subject teacher as reflected in the approved IDP of the faculty member in WMSU portal.
College Clerk
IDP
4.0 Encoding of Grades in WMSU Portal
4.1 Login to WMSU Portal with your account username and password.
Faculty Member
4.2 Open Grades Submission Portal and the appropriate subject ID. Encode student’s final grade opposite his/her name. Check if the auto-generated remark is appropriate to each student.
4.3 The Grades Submission Portal automatically closes fifteen (15) days after the final examination dates. In this case, the faculty member should accomplish a letter of request addressed to the VPAA for reconsideration to reopen the portal.
5.0 Printing of ROR
5.1 Print a draft of the ROR by clicking on the “Draft Print” button.
Faculty Member
Report of Ratings (WMSU-REG-FR-018.00)
5.2 Make necessary corrections, if applicable. Otherwise, click the “Post Grade” button.
5.3 Open the appropriate Subject ID and click the “Final Print” button to generate the final ROR in PDF format. Print in two copies and affix signature.
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Activity Details Responsible
Person Documented Information
6.0 Submission and Approval of ROR
6.1 Submit ROR to the Dean’s Office with supplementary sheet.
Faculty Member Report of
Ratings (WMSU-REG-FR-018.00)
6.2 The College Dean recommends approval of ROR to the VPAA.
College Dean
6.3 VPAA approves and returns ROR to the office of the College Dean.
VPAA
7.0 Final Posting of Online Grades
7.1 College Secretary furnishes a copy to the University Registrar
College Secretary Report of
Ratings (WMSU-REG-FR-018.00)
7.2 Registrar verifies the submitted ROR with the online grades and authorizes the posting of the final grades to the student portal.
Registrar
8.0 Grade Rectification in ROR
8.1 If errors are detected on the entries of the ROR, the faculty member must accomplish a letter of request for rectification of entries, duly notarized in four (4) copies with the following attachments: Photocopy of Class Record, Samples of Tests/ Examination, and other Requirements. Faculty
Member
Letter of Request for Correction of
Entries 8.2 This letter of request must be
submitted to the VPAA for approval through the Office of the Academic Dean upon the recommendation of the Department Chair. All rectification of entries in the ROR must be done only per approval of the VPAA.
8.3 Faculty member must present the proposed rectification of entries to the ROR at the Academic Council Meeting for further approval.
Faculty Member
8.4 Once approved, the same letter will be sent by the OVPAA to the Director of MISTO for the appropriate rectification of entries. After rectification, MISTO will return the said letter to the OVPAA.
MISTO
8.5 The Office of the University Registrar will be notified by the OVPAA of such grade rectified through the same letter.
VPAA
8.6 The faculty concerned should follow-up the rectification request after three (3) working days at the OVPAA.
Faculty
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
4. Risk Assessment
No. Key Steps Risk Description
Se
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1.0 Grading System Identification
No student consultation (Students are unaware of the grading system implemented in the class)
2 1 4 Low Risk Provide student with a copy of the approved OBE course syllabus
Require faculty to conduct an orientation and student consultation on the course evaluation system on the first day of class
2.0 Student Evaluation Miscalculation of grades 3 2 4 Medium
Risk Double check before recording grades
Give student their scores and ask them to compute for their individual grades
3.0 Tagging of Subject ID to Faculty Members
Wrong Entry 2 1 4 Low Risk Double check entry
4.0 Encode Grades in WMSU Portal
Wrong entry 3 2 4 Medium
Risk Double check entry before posting of grades
Print the ROR draft and check for errors before posting of grades
5.0 ROR Printing Printing with undetected errors
2 2 4 Medium
Risk
Accomplish a letter of request for correction of entries (WMSU-ROR-WI-002)
Monitor faculty uploading of grades
6.0 Approval of ROR Late submission 2 2 4 Medium
Risk Accomplish a letter of request for reconsideration
Remind faculty members of the deadline for submission of grades (Memo from the VPAA)
7.0 Online Posting of Grades
Mismatch of grades in student passbook and portal account
2 2 4 Medium
Risk Talk with the concerned student
Do not sign the student passbook without approved ROR
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 8
Subject: Report of Ratings Submission
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
5. References
WMSU University Code (2014)
Western Mindanao State University
PROCEDURES MANUAL
ENROLMENT PROCESS
NAME POSITION SIGNATURE
PREPARED BY: ENGR. MARINELLA T. TOSE MISTO OIC-Director
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ-HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 12
Subject: Enrolment Process
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 12
Subject: Enrolment Process
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibilities ................................................................................................................................ 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 5
3. Process Flow ......................................................................................................................................... 5
4. Procedure Details ................................................................................................................................. 6
5. Risk Assessment .................................................................................................................................. 9
6. References .......................................................................................................................................... 12
6.1. Quality Manual ............................................................................................................................... 12
6.2. WMSU-ADM-PM-001: Admission Process .................................................................................... 12
6.3. WMSU-VPAA-PM-002: Advising Process ..................................................................................... 12
6.4. WMSU-FIN-WI-001: Assessment Work Instruction ....................................................................... 12
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 12
Subject: Enrolment Process
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
The Western Mindanao State University as the premier university in the region aims to offer the best services to their main clientele, the students. One of the major objectives of the university is to provide an efficient enrollment procedure that will facilitate a smooth admission of students into the university.
1.1. Purpose
The purpose of this document to ensure that proper procedure is adopted for enrolment of
undergraduate, graduate, and foreign students into the university from admission to the
issuance Certificate of Registration (COR).
1.2. Scope
This procedure covers the from the admission to printing of the Certificate of Registration
(COR). It provides a general perspective on the process of enrolment while detailed
procedures for Admission and Advising are included as a separate procedures manual.
1.3. Responsibilities
Responsibility Description
Dean of Admissions Approves the admission of student into the university
College Admission Officer
Reviews the requirements of the students and recommends their admission for approval.
Adviser Person in-charge in evaluating subjects to be taken by the student
Department Head / Dean of the College
Approves the subject taken by the student. Recommends for increase in class size or change in schedule.
Encoder Encode the subject on the advising form
Assessor Assess the enrolment fees of the students for the given semester
Collector Collect payment from the student
Enlister Person in-charge in releasing COR
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Advising
It is a process that evaluates the subjects to be taken by the student based on their status and their academic history (including grades and guidance student contracts). Admission
It is the first step of the enrollment process that involves reviewing and approval of student requirements before accepting into the university. Assessment It is the process of defining the fees of the students based on their program and status (regular, foreign, or scholar), and total units based on the subjects taken by the student. COR (Certificate of Registration)
It is an official document that records the subjects taken by the student for the semester and the account summary of their payments.
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 12
Subject: Enrolment Process
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Enlistment It is a process of enlisting the names students and their subjects into the official
classlist for uploading.
2.2. Acronyms
EAF Enrolment Advising Form
COR Certificate of Registration
3. Process Flow
START
Admission
Advising &
Approval
Encoding of
Subjects
Assessment of
Fees
Payment
Enlistment
Update Official
Classlist
END
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 12
Subject: Enrolment Process
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4. Procedure Details
Activity Details
Responsible Person
Documented Information
START
Admission
Valid Schedule
Advising &
Approval
Verification of
Subjects
Invalid
Schedule/
Advising
Details
Incomplete
Student Data
A
B
1.0 Admission (refer to procedures manual for the detailed Admission process -
WMSU-ADM-PM-001)
1.1 Student submits requirements to College concerned and/or Admission Office.
Student
Admission Requirements &
Student Admission Form
1.2 College Admission Office reviews documents and recommends approval
College Admission
Officer Student Admission
Form WMSU-ADM-FR-000 1.3 Deans of Admission approves
student admission Deans of
Admissions
2.0 Advising and Approval (refer to procedures manual for the detailed Advising
process - WMSU-VPAA-PM-02)
2.1 Pre-advising of subjects (before the scheduled enrolment) 2.1.1 Assign subjects to be
taken by the students for the semester
2.1.2 Encode subjects into the advising system
Adviser Pre-Advising Form
WMSU-VPAA-FR-001
2.2 Advising of subject for the semester at the Respective Department.
Adviser Enrollment Advising
Form WMSU-REG-FR-000
2.3 Approval of the Advising Form. Dean/
Department Head
3.0 Encoding (at Enrolment Service Points)
3.1 Verify the Advising form details.
- Student information must be
complete. If student basic
information is incomplete
(name & course), return to
Admission (section 1.0)
- Must be duly signed by the
adviser and
dean/department head. If
there are missing
signatories, return to
Advising (section 2.0).
- Must not have previous
balance (automatically
verified by the system). If
student have previous
balance, proceed to Cashier
for payment.
Encoders
Enrollment Advising Form
WMSU-REG-FR-000
Inter-College Form WMSU-VPAA-FR-000
Change Schedule Form WMSU-VPAA-FR-000
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 12
Subject: Enrolment Process
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Activity Details
Responsible Person
Documented Information
A
Assessment of
Fees
Payment
Auto-Enlistment?
No
No Assessment
Details
Verify Enrollment
Details
B
Mismatched
Subjects
No Payment
Details
Auto-Print
COR
Yes
Encoding of
Subjects
Valid Schedule
C
3.2 Encoding of subjects. If the
following occurs during
encoding, equivalent step must
be followed:
- If conflict in schedule, return
to advising (section 2.0) for
other possible schedule
- If full slot, return to advising
(section 2.0) for either
increase in class size or re-
advising (change schedule or
change subject)
- If subject/s are from other
college/department, secure
Inter-college form from the
concerned college or
department
- If either of the above but with
the approval of the VPAA,
proceed to encoding through
manual override.
4.0 Assessment of Fees (refer to work instruction for the detailed Assessment
process – WMSU-FIN-WI-001)
4.1 Assessment of fees at any major enrollment points or at the WMSU Assessment Section Assessor
Assessment Report WMSU-FIN-FR-000
4.2 Provide printed copy of the assessment form
5.0 Payment (refer to work instruction for the detailed Payment process – WMSU-
FIN-WI-002)
5.1 Pay at any major enrollment service points, at the WMSU Cashier Section, or any Land Bank branch across the Philippines. If not yet assessed, proceed to Assessment (section 4.0).
Collector
Official Receipt WMSU-FIN-FR-000
Cash Deposit Slip (from Landbank)
Certificate of Registration
(COR) WMSU-REG-FR-000
5.2 Print official receipt for the student If land bank payment, show deposit slip
5.3 Auto-print of Certificate of Registration (COR) for major enrolment service points.
6.0 Enlistment
6.1 Verify if all subjects written in the advising form is correct. If not encoded or mismatched, proceed to Encoding (section 3.0).
If not assessed, proceed to Assessment window (section
Enlister
Enrollment Advising Form
WMSU-REG-FR-000
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 12
Subject: Enrolment Process
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Activity Details
Responsible Person
Documented Information
Enlistment
Update Official
Class List
END
C
4.0). If not yet paid, proceed to Cashier for payment (section 5.0).
Certificate of Registration
(COR) WMSU-REG-FR-000
6.2 Enlistment of subjects to class list
6.3 Print and release copy of the Certificate of Registration (COR) to the student
6.4 Submit of Dean’s copy of the COR to the respective college
Student/Dept Head
7.0 Update Class list
7.1 Daily update of Official Online Class List
MISTO WMSU Class List
WMSU-VPAA-FR-000
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 9 of 12
Subject: Enrolment Process
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CONTROLLED copy by the WMSU Quality Management Office.
5. Risk Assessment
NO KEY STEPS RISK DESCRIPTION
SE
VE
RIT
Y
OC
CU
RR
EN
CE
DE
TE
CT
ION
RIS
K
PR
IOR
ITIZ
AT
ION
MITIGATION CONTINGENCY
1
3.1 Verify the Advising form
o Student Information
Incomplete information on the students advising form.
3 4 2 24 (Medium)
All the required information should be filled-out accurately and verified by program adviser/dept. head
Form is returned to the student to fill-up all the necessary information
2
o Adviser and approval signature
No advise and approved signature 3 4
2 24 (Medium)
All the required information should be filled-out accurately and verified by program adviser/dept. head
Any correction made on the EAF should be properly signed by the program adviser/ dept. head
3
3.2 In the encoding of subjects, the encoder checks the following details before encoding:
o Conflict schedule
Preferred subject is in conflict with other subject
1 1 1 1 (Low)
Subjects with problem will not be encoded
Program adviser should recommend other schedule and must be properly signed
4
o Full Slot
Slots are no longer available on the preferred subjects
3 4 1 12 (Low)
Can be subject for increase class size or change of schedule.
Request VPAA for increase in class size
5
o Incorrect units or schedule
Uploaded schedule by the college are incorrect
2 2 3 12 (Low)
Request VPAA for change in schedule
6
o Subject are from other College
Subject is assigned in other colleges or course
2 2 1 4 (Low)
Students are required an inter-college form signed by the department and deans of the college concerned
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 10 of 12
Subject: Enrolment Process
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CONTROLLED copy by the WMSU Quality Management Office.
NO KEY STEPS RISK DESCRIPTION
SE
VE
RIT
Y
OC
CU
RR
EN
CE
DE
TE
CT
ION
RIS
K
PR
IOR
ITIZ
AT
ION
MITIGATION CONTINGENCY
7
4.1 Assessment of fees at any major enrollment points or at the WMSU Assessment Section
o Loading of Subjects for the students
Subjects are not yet encoded 1 2 1 2 (Low)
Process of enrollment is placed on every enrollment points.
Students are advised to go back to encoding to check or encode the subjects.
8
o Verification of Subjects
Units assessed does not match due to change in units
2 2 1 4 (Low)
Verification of the uploaded schedule by the college must be made before approval
Reassess the students enrollment details.
9
o Reassessment of Fees
Student assessment are not updated (reassess)
2 2 1 4 (Low)
Any change in units due to change in schedule must be reassessed
Reassess the students enrollment details.
10
o Assessment for Scholars
For scholars, scholarship grants are not yet approved.
1 2 1 2 (Low)
Timely approval and processing of scholarship grants
Initial partial/full payment is made by the student scholar
11
4.2 Provide printed copy of the assessment form
12
5.1 Pay at any major enrollment points or at the WMSU Cashier Section / Any Land Bank branch across the Philippines
No server or no power resulting to long queues
2
2
1
4 (Low)
Minimize power outage, should have stand by genset at colleges
Proceed to main cashier section for payment
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 11 of 12
Subject: Enrolment Process
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
NO KEY STEPS RISK DESCRIPTION
SE
VE
RIT
Y
OC
CU
RR
EN
CE
DE
TE
CT
ION
RIS
K
PR
IOR
ITIZ
AT
ION
MITIGATION CONTINGENCY
13
5.2 Print official receipt for the student
3 2 2 12 (Low)
14
6.1 Verify if all the subject written in the advising form is correct.
Student did not make initial payment 2 2 1 4 (Low)
Review the encoded subject before returning the advising form to student
Students are advised to go back to encoding to correct the subject.
15
6.2 Enlistment of subjects to class list
16
6.3 Print and release copy of the Certificate of Registration to the student
Subject encoded are not the same as to what is written on the advising form
2 2 1 4 (Low)
Class list should be verified by the instructors
17
6.4 Submission of Dean’s copy of the COR to the respective college
Lost copy of COR 1 2 5 10 (Low)
The department must maintain and secure a duplicate copies of COR.
Provide affidavit of lost to prior to reprinting of COR.
18
7.1 Daily update of Class list
No server / No power / No ISP 1 1 1 1 (Low)
Maintain availability of power and server after 5pm
- Update early in the morning the next day
- Follow up technical update from ISP
- Access class list through local network
Western Mindanao State University Doc. No.: WMSU-VPAA-PM-016
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 12 of 12
Subject: ENROLMENT PROCESS
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6. References
6.1. Quality Manual
6.2. WMSU-ADM-PM-001: Admission Process
6.3. WMSU-VPAA-PM-002: Advising Process
6.4. WMSU-FIN-WI-001: Assessment Work Instruction
Western Mindanao State University
PROCEDURES MANUAL
Student Internship / Practicum Procedure (SIPP)
NAME POSITION SIGNATURE
PREPARED BY : DR. LUCIA M. SANTOS CHE DEAN
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ-HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 2 of 8
Subject: Student Internship / Practicum Procedure
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
<dd MMM yy>
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 3 of 8
Subject: Student Internship / Practicum Procedure
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Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibility ................................................................................................................................... 4
2. Definitions, Acronyms and Abbreviations ......................................................................................... 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 4
3. Procedure Details ................................................................................................................................. 5
4. Risk Assessment .................................................................................................................................. 6
5. References ............................................................................................................................................ 8
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 4 of 8
Subject: Student Internship / Practicum Procedure
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1. Introduction
1.1. Purpose
The purpose of this document is to define the procedure in the conduct of student internship practicum and ensure quality learning experience while undergoing practicum.
1.2. Scope
The procedure covers all activities related to practicum immersion from MOA signing to deployment up to culmination.
1.3. Responsibility
Responsibility Description
University President Approves the conduct of practicum.
Vice President for Academic Affairs
Certifies and recommends approval to the president the conduct of practicum.
Dean Prepares and recommends practicum proposals to the president thru VPAA
Department Heads Certifies student interns qualified to undergo practicum
Practicum Supervisors
Supervise student interns in the field.
2. Definitions, Acronyms and Abbreviations
2.1. Definitions
Internship/ On the Job training (OJT)/ Apprenticeship Refers to the application of classroom learning to actual work such as but not limited to commercial and industrial services government and non-government agencies on the field laboratory. Practicum
Refers to the subject of internship/ on the job training/ apprenticeship.
Student Interns Refers to the tertiary students enrolled in the Philippine schools duly qualified to
undergo internship program.
2.2. Acronyms
CMO CHED Memorandum Order
VPAA Vice President for Academic Affairs
2.3. Abbreviations
<Abbreviations>
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 5 of 8
Subject: Student Internship / Practicum Procedure
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3. Procedure Details
Activity Details
Responsible Person
Documented Information
1.0 MOA Signing
1.1. MOA is entered into by the university with the agency where students are deployed.
Legal Officer, Board
Secretary, President, Head of agency
(WMSU-VPAA-FR-001) (WMSU-VPAA-FR-002)
1.2. Terms and conditions are prepared by the university and agency based on program PSG and industry guidelines in accepting student interns.
1.3. MOA is submitted to the legal office following the WMSU's MOA's routing form.
2.0 Practicum Proposal Preparation and Approval
2.1. Request approval from OP thru VPAA in the conduct of practicum following CMO's 17 and 23 guidelines.
Dean, VPAA, President,
CHED Regional Office
(WMSU-VPAA-FR-003) EGD1 EGD2
2.2. Online submission to CHED with the university president transmittal letter.
3.0 Orientation of Students and Practicum Supervisors
3.1. Students are oriented regarding practicum during Pre- practicum phase.
Student interns and practicum supervisors,
Dean
GU1 EGD1 EGD2 3.2. Practicum supervisors are oriented
regarding the practicum guided by the CMO 17 and 23.
4.0 Endorsement of Student Practicum to the Area
4.1.Proper communication is sent out to the agency head where the students are to be deployed. Practicum
Supervisor, Dean
(WMSU-VPAA-FR-004) 4.2. Students are accompanied by the
practicum supervisors to the agency where the students are to be deployed.
5.0. Monitoring and Evaluation
5.1. Students are regularly assessed and monitored by the practicum supervisor using practicum manual as a guide.
Practicum Supervisors
(WMSU-VPAA-FR-005)
5.2. Practicum coordinator conducts spot inspection.
Practicum Coordinator
(WMSU-VPAA-FR-006)
5.3. Conduct exit conference with industry partners/ agency.
Dean, Head of Agency,
Legal Officer, RP
Students culminate practicum
START
MOA Contract Negotiation
Practicum Proposal Preparation and Approval
Orientation of Students and Practicum Supervisors
Endorsement of Student Practicum to the Area
Monitoring and Evaluation
END
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 6 of 8
Subject: Student Internship / Practicum Procedure
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4. Risk Assessment
No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
1.0
1.1. MOA Contract Preparation
1.1 Unauthorized representative of the institution/company
Rank 1 Rank 2 Rank 1 Lower Rank
1.1 Profile of the institution representatives will be certified by the HR
1.1 Verify from the company
1.2 MOA Terms and Conditions Preparation
1.2 Not following strictly terms and conditions
Rank 3 Rank 3 Rank 4 High Risk 1.2 Conduct regular monitoring
1.2 Discussed during orientation and exit conference
1.3 MOA Submission 1.3 Absence of signatories Rank 2 Rank 2 Rank 2 Low Rank 1.3 Authorize representative should sign the MOA
1.3 Provide enough time before initial/ start schedule of OJT
2.0 Submission of requirements in the proposal as indicated
in CMO 23
2.1 a. Parental Consent
Rank 3
Rank 3
Rank 2
Medium Risk
2.1 a. Forged signatures of parents
2.1 a. Consent to be sign during parents meeting
2.1 b. Student Medical Clearance Rank 3 Rank 3 Rank 4 High Risk 2.1 b. Not fit for duty 2.1 b. Semestral medical clearance should be conducted
2.2. Person in charge to acknowledge receipts of document failed to open e-mail
Rank 2 Rank 2 Rank 2 Low Risk 2.2. Follow up call 2.2 Request acknowledgment receipt.
3.0
3.1 Orientation of Students 3.1 Students not attending orientation
Rank 3 Rank 3 Rank 3 Medium
Risk 3.1 Requirement before OJT
3.1 Certificate of Completion
3.2 Orientation of Supervisors
3.2 Supervisors not attending orientation
Rank 3 Rank 3 Rank 3 Medium
Risk 3.2 No orientation, no duty
3.2 Certificate of Attendance
4.0 4.1 Endorsement Letter to Institution/ Agency
4.1 Did not send letter on time and authorized representative to approve not available
Rank 2 Rank 2 Rank 2 Low Risk 4.1 Endorsement Letter to be approved
4.1 Personal appearance
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
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PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 7 of 8
Subject: Student Internship / Practicum Procedure
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No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
4.2 Endorsement of students to institution/company
4.2Simultaneous endorsement of OJT not enough practicum supervisor to attend
Rank 2 Rank 2 Rank 2 Low Risk 4.2 Check endorsement schedule
4.2Visit to the institution/company
5.0
5.1. Students monitoring using the OJT Manual
5.1. No manual accomplished by the students
Rank 2 Rank 4 Rank 4 Medium
Risk 5.1 Regular checking of manual
5.1 Countersign by the immediate supervisor.
5.2. Spot inspection by Practicum Coordinator
5.2. OJT’s not in their post during inspection
Rank 2 Rank 4 Rank 4 Medium
Risk 5.2. Provide locator’s logbook
5.2 Coordinate with school supervisor
5.3 Conduct exit conference with industry partners/ agency.
5.3. Sending representatives during the exit conference
Rank 2 Rank 2 Rank 2 Low Risk 5.3. Include in the MOA negotiation
5.3 Agree as indicated in the terms and conditions.
Western Mindanao State University Doc. No.: WMSU-CHE-PM-001
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PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 8 of 8
Subject: Student Internship / Practicum Procedure
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5. References:
CMO
OJT Handbook
Practicum Manual
Western Mindanao State University
PROCEDURES MANUAL
Instructional Support and Materials Production
NAME POSITION SIGNATURE
PREPARED BY : BERHANA I. FLORES ISMP Officer
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
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Revision History
Date Rev No.
Details of Change Owner
<dd MMM yy>
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
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Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
2. Definitions, Acronyms and Abbreviations ......................................................................................... 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 5
3. Procedure Details (Development, Submission and Review of Self-Instructional Modules) ......... 6
4. Risk Assessment .................................................................................................................................. 8
5. References ............................................................................................................................................ 8
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
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1. Introduction
The Instructional Support and Materials Production Office (ISMP) is under the OVPAA and is mandated to assist the faculty members coming from various colleges in the development and production of instructional materials that is deemed necessary to enhance instruction and learning process.
1.1. Purpose
The manual is developed according to the WMSU Instructional Support and Materials Production (ISMP) Office identified work procedures in terms of the development, submission, review and production of instructional materials. The procedures described adhere to the prescribed academic policies and regulations of the Western Mindanao State University, the requirements of ISO 9001:2015 as well the Quality Management Systems requirement established by the institution.
1.2. Scope
The operations and procedures are well identified and simply written which covers the activities related to the efficient and effective development, submission, checking/reviewing and utilization of quality instructional materials in Western Mindanao State University’s ISMP Office. Faculty Members from various colleges will submit their instructional materials to the ISMP Office for review and correction.
1.3 Responsibilities
Responsibility Description
Faculty Develops the instructional materials based on the approved subject syllabus then submits this to his/her respective college ISMP Coordinator
College ISMP Coordinator
Reviews the content of the instructional materials vis-à-vis the approved syllabus for the subject; Reviews the format of the instructional materials with reference to the WMSU approved Templates
ISMP Clerk Receives and logs-in the IMs submitted to the office; releases and logs-out IMs going out of the office
ISMP Deputy Officer
Assists the Director in evaluating the Instructional Materials
ISMP Officer Evaluates the Instructional Materials as to the formats and content
ISMP Review Committee
Compose of the ISMP Officer, ISMP Deputy Officer and the members of the University Review Committee, their task is to validate and evaluate the Instructional Materials as to content, proper citation and referencing
2. Definitions, Acronyms and Abbreviations
2.1. Definitions
Instructional Materials are materials that are designed for use by students and
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
teachers of Western Mindanao State University as a learning resource and help students acquire facts, skills, or opinions or to develop cognitive processes are educational resources used to improve students’ knowledge, abilities, and skills, to monitor their assimilation of information, and to contribute to their overall development and upbringing
Module An instructional package dealing with a single conceptual unit of subject-matter. Modules are designed to help the students accomplish certain well-defined objectives. With the use of a module, instruction can be individualized. The learners can go through the material at their own pace and at their own time. They may also be used to complement instruction.
Self-Instructional Module
Self-instructional modules allow for individualized learning. The learners can go through the material at their own pace and their own time. Learning is viewed as largely self-motivated and self-paced.
Laboratory Manuals Written works containing concise background and directions for activities, including conducting experiments or diagnostic tests in the laboratory
Workbooks Written works that contain sets of problems and practice exercises that students can work on
PowerPoint Presentation A complete presentation graphics package of a lesson or unit.
2.2. Acronyms
ISMP Instructional Support and Materials Production
IMs Instructional Materials
SIM Self-Instructional Module
PPT PowerPoint Presentation
2.3. Abbreviations
Lab. Manual Laboratory Manual
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PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
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3. Procedure Details (Development, Submission and Review of Self-Instructional Modules)
Activity Details
Responsible Person
Documented Information
1.0 Planning and Analysis
Faculty
conducts needs assessment;
identifies target population characteristics;
analyses the characteristics of the environment; and
develops content outline based from the syllabus
Faculty
Checklist WMSU- ISMP-FR01
Syllabus
2.0 Design and Development
Faculty selects or modifies existing instructional materials (curating) and develops the IMs using these guidelines:
Self-Instructional Modules
Laboratory Manuals
Workbooks
PowerPoint Presentation
Faculty
Instructional
Materials
WMSU- ISMP-GU01 WMSU- ISMP-GU02 WMSU- ISMP-GU03 WMSU- ISMP-GU04
3.0 Submission of the Instructional Materials
3.1 After the development of the IMs, the faculty submits the first version to the College ISMP Coordinator 3.2 College ISMP Coordinator receives the IMs
Faculty; ISMP College Coordinator
Instructional Materials
Logbook
WMSU-ISMP-LB-01
4.0 Review of the Instructional Materials
4.1 The ISMP College Coordinator reviews the IM vis-à-vis the subject syllabus and format. 4.2 If the IM is in order, this will be forwarded to the ISMP Office for final evaluation, if not, this will be returned to the faculty for revision
ISMP College Coordinator
Checklist WMSU- ISMP-FR02
Endorsement Form WMSU- ISMP-FR03
5.0 Final Evaluation of the Instructional Materials
5.1 The ISMP Office will convene the University Review Committee for evaluation of the IMs (as the need arises)
ISMP Review Committee
Minutes of the
Meeting
Evaluation Form WMSU- ISMP-FR04
Feedback Form WMSU- ISMP-FR05
Logbook
5.2 Copies of the IMs will be given to the members of the committee for validation and evaluation as to content, proper citation and referencing subject to test for plagiarism
5.3 If the ISMP Review Committee finds the IMs in order it will be stamped as “REVIEWED” and shall
START
1. Planning and Analysis
4. Review
5. Evaluation
Revision
?
Yes
No
A
3. Submission
2. Design and Development
Revision
?
Yes
No
B
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Activity Details
Responsible Person
Documented Information
be forwarded to the OVPAA for approval , if not it will be returned to the faculty for final revision
WMSU-ISMP-LB-02
6.0 Approval of the Instructional Materials
The Vice President for Academic Affairs approves the IMs per evaluation of the ISMP Review Committee and recommendation of the ISMP Officer. The IMs will be stamped as “APPROVED”.
VPAA ISMP Review
Committee
Instructional Materials
7.0 Implementation of the Instructional Materials
7.1 Production a. Once the IMs are approved, it will be returned to the faculty. b. The faculty will bring the IMs, with the endorsement from the ISMP Officer, to UPRESS for computation of production cost and eventual signing of MOA
Faculty
ISMP Officer
ISMP Deputy Officer
UPRESS Director
Endorsement Form WMSU- ISMP-FR06
Logbook WMSU-ISMP-LB-02
Utilization Form
WMSU- ISMP-FR07
7.2 Utilization/Circulation a. The faculty shall secure the approval of his/her Dean for the utilization of the IMs
b. Once approved, the faculty and or the department can start utilizing the IMs for WMSU instructional purposes
8.0 Evaluation for Effective Utilization
At the end of the semester, the faculty together with the ISMP College Coordinator shall conduct evaluation on the effective utilization of the IMs and recommend feedback for the IMs possible revision/upgrade
Evaluation Form WMSU- ISMP-FR08
7. Implementation
8. Evaluation for Effective Utilization
6. Approval
Upgrade
?
Yes
No
END
B
A
Western Mindanao State University Doc. No.: WMSU-ISMP-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 8
Subject: Development, Submission, Review and Production of Instructional Materials
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
4. Risk Assessment
No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
1 Planning and Analysis
Some faculty do not conduct needs assessment prior to developing IMs
1 1 1 Low Risk
Conduct Seminar-Workshop
Maximize the use of Checklist
2 Design and Development
Few faculty are engaged in writing/developing IMs due to lack of time
3 3 3 High Risk
Release time for faculty
3 Submission of Instructional Materials
The number of IMs submitted is low in relation to the number of trained faculty members
3 3 3 High Risk
Submission of IMs be required in clearance
4
Review of the Instructional Materials
Non-conformance to the approved subject syllabus and approved WMSU guidelines
1 1 1 Low Risk
Conduct Seminar-Workshop on how to go about the IMs guidelines
Maximize the use of the WMSU Guidelines
5
Final Evaluation of the Instructional Materials
Availability of the members of the ISMP Review Committee
1 1 1 Low Risk
Set the schedule two (2) weeks before the actual evaluation
Remind the ISMP Review Committee through a memorandum
6
Approval of the Instructional Materials
Revisions may delay approval
2 2 2 Medium Risk
Provide time table for revisions
Remind faculty through memorandum
7
Implementation of the Instructional Materials
Signing of MOA may take time
2 2 2 Medium Risk
Provide time table for implementation
Make follow-up through memorandum
8 Evaluation for Effective Utilization
5. References
Western Mindanao State University
PROCEDURES MANUAL
Development and Revision of TEC’s Tests
NAME POSITION SIGNATURE
PREPARED BY : Dr. LOURDES B. FILOTEO Director
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents 1. Introduction ........................................................................................................................................... 4
1.1. Purpose ......................................................................................................................................... 4
1.2. Scope ............................................................................................................................................ 4
1.3. Responsibilities ............................................................................................................................. 4
2. Definitions, Acronyms and Abbreviations ......................................................................................... 5
2.1. Definitions ..................................................................................................................................... 5
2.2. Acronyms ...................................................................................................................................... 5
3. Procedure Details ................................................................................................................................. 6
4. Risk Assessment .................................................................................................................................. 7
5. Reference/s ........................................................................................................................................... 8
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
The Testing and Evaluation Center (TEC) of the Western Mindanao State University is established to develop and put in place the university entrance test (CET) and other tests like the LSAT, GSAT, JRAT, etc. It also endeavors for the revision of the different tests utilized and administered to make these tests relevant with the changing times. With these, it ensures that proper procedure in the development and revision of the tests is in order and in accord with the standard.
1.1. Purpose
To develop a University standard procedure in the development and revision of the university admission tests and other tests utilized by the Testing and Evaluation Center (TEC).
1.2. Scope
The TEC’s main function is to develop, validate, revise, enhance when the need arises to make it relevant with new development and administer the tests.
1.3. Responsibilities
Responsibility Description
University President
1. Approves the test schedule and travel thru OVPAA 2. Approves the roster of TEC test staff thru OVPAA 3. Approves the revision, development and enhancement of the
different test thru OVPAA
Director
1. Communicates, recommends and seeks approval with the Top Management re: develop/review/revise and enhance the tests WMSU administers to make it relevant with new developments.
2. Upon approval communicates with college deans for a
meeting to discuss with them the need to review, revise, and enhance the test.
3. Communicates with and requests some college deans with
the approval of the OVPAA to identify faculty from their college experts as test items developer to review, revise and enhance the part of the test assigned to them
4. Confers and discusses with identified faculty based on their
expertise and stresses to observe the proper steps to follow in developing test items to make it valid and reliable.
5. Contributes test items based on her/his expertise.
Deans of the different colleges Recommends and identifies experts from their college.
Item Developer (Experts in respective discipline)
1. Confers with the TEC director as to the relevance, suitability and adequacy of behaviors and skills to be tested as reflected in the Table of Specifications.
2. Constructs test items following the test blueprint. 3. Submits items in manuscript form to the director at appointed
date without failure. 4. Assists in pilot-testing the test
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Validators (Experts in respective disciplines)
1. Review items to check their compatibility with the behaviors and skills for which they purportedly test.
2. Check correctness of concepts presented and plausibility of options
3. Validates tests
Test Supervisor
1. Oversees the physical arrangement of the test site 2. Distributes the test materials 3. Supervises test activity, and retrieve test materials
Room Examiners
1. Checks the permits and picture of the examinee/s against the TEC’s copy
2. Admits the examinee/s for testing 3. Reads the examination manual before testing 4. Administers the test following the allotted time
Statistician
1. Treats statistically all types of test results (to include pilot-test) using appropriate statistical tests.
2. Validates randomly chosen statistically computer-treated data through manual computations.
2. Definitions, Acronyms and Abbreviations
2.1. Definitions
TEC is the arm of WMSU that is task to administer all kinds of admission tests. Item Developer refers to faculty identified as experts in their disciplines and is tasked to prepare test item for Testing and Evaluation Center (TEC).
2.2. Acronyms
<Acronyms>
TEC Testing and Evaluation Center
CET/UAT College Entrance Test/ University Admission Test*
LSAT Law School Admission Test
GSAT Graduate School Admission Test
JRAT Job Related Aptitude Test
AAT Accounting Aptitude Test
EAT Engineering Aptitude Test
PIT Personality Inventory Test
PAT Psychology Aptitude Test
EM Examiner’s Manual
2.3. Abbreviations
<Abbreviations>
ToS Table of Specification
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details
Responsible Person
Documented Information
1.0 Review/ Revision of the Instrument
1.1 Review/Revisit of the old instrument
1.2 Endorses recommendation to the OP through the OVPAA
1.3 Communicates/Confers with Deans/Recommendation of Experts
Director/Staff/ Faculty Expert
WMSU-TEC-W1-01
WMSU-TEC-Memo-01
WMSU-TEC-LB-01 WMSU-TEC-LB-02/
RS-01
2.0 Requests Identification of Item Developer Expert
2.1 Convening/Briefing of Experts 2.1.1 Item Developers on
Communication Arts English
2.1.2 Item Developers on Numeracy
2.1.3 Item Developers on Science Process Skills
21.4 Item Developers on Logic and Reasoning
Deans from Different colleges,
Faculty Experts Director
WMSU-TEC-Memo-03
Minutes of the Meeting Attendance Sheet
WMSU-TEC-Memo-04
3.0 Development/Pool/Collation of items by item developers
3.1 Development and submission of ToS 3.2 Submission of developed items 3.3 Sorting and grouping of items based on content/topic/skills 3.4 integration of new items
developed for enhancement
Faculty Experts Director
TEC Staff
WMSU-TEC-GU-01 WMSU-TEC-ToS-01
4.0 Validation by Expert
4.1 Evaluation of experts 4.2 Integration of suggestions/ recommendations
Faculty Experts
WMSU-TEC-GU-01
(Criteria)
5.0 Initial Pilot Testing
5.1 Small Group Testing 5.2 Item Analysis 5.3 Revision of Test
Director TEC Staff Examiners Statistician
WMSU-TEC-Memo-05 Draft Test (Results)
6.0 Final Pilot Testing
6.1 Identification of Test site of School (External)
6.2 Administration of the Revised Test
Director TEC Staff Examiners Statistician
WMSU-TEC-Memo-06 WMSU-TEC-LM-01
(Letter Memo)
7.0 Reliability Testing
7.1 Computation of r Coefficient Director
TEC Staff Statistician
WMSU-TEC-LB-02 (Record Book)
Draft Test WMSU-TEC-6-02
Start
Review/Revision of the Instrument
Requests Identification of Item Developer/
Experts
Developing/Pooling/ Collating
of Items
Validation by Experts
Initial Pilot Testing
Reliability Testing
END
Final Pilot Testing
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
4. Risk Assessment
No. Key Steps Risk Description
Se
ve
rity
Oc
cu
rre
nc
e
De
tec
tio
n
RPN Mitigation Contingency
1 Review/Revision of the Instrument
Irrelevance of the old testing tool
3 3 3 Medium Risk
Revise and Enhance the old tool by incorporating new items
New curriculum development
2 Identification of Item Developer Experts
Qualification of Item Developer
2 2 4 Medium Risk Identify qualified item developer
Item developer identified
3 Developing/Pooling/collating of items by item developers
Utilization of ToS is not complied
3 3 3 Medium Risk
Emphasize the need of utilizing ToS
Repeated reminder to item developers
4 Validation by Expert Unavailability of experts; failure to meet deadline
3 3 3 Medium Risk
Look for another available validator; meets deadline
Alternate/ Substitute experts identified
5 Initial Pilot Testing Unavailability of samples
2 2 3 Medium Risk
Item analysis results will be affected and likewise reliability
Look for more samples
6 Final Pilot Testing Unavailability of school to be pilot tested
2 2 3 Medium Risk
Communicates with available schools for pilot testing
School availability for pilot testing
7 Reliability Testing Low reliability 2 3 3 Medium
risk
Increase number of items
Calculated r coeff. is met
Western Mindanao State University Doc. No.: WMSU-TEC-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 8
Subject: Development and Revision of TEC’s Tests
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
5. Reference/s
TEC Operation Manual Revised Edition 2014
Western Mindanao State University
PROCEDURES MANUAL
Administration/Conduct of the TEC’s Test
NAME POSITION SIGNATURE
PREPARED BY : DR. LOURDES B. FILOTEO Director
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 2 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 3 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibility ................................................................................................................................ 4-6
2. Definitions, Acronyms and Abbreviations ......................................................................................... 6
2.1. Definitions ........................................................................................................................................ 6
2.2. Acronyms ......................................................................................................................................... 7
3. Procedure Details ................................................................................................................................. 8
4. Risk Assessment ................................................................................................................................ 10
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 4 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
The Testing and Evaluation Center (TEC) of the Western Mindanao State University is established to develop and put in place the university entrance test and other tests like the LSAT, GSAT, JRAT, etc., the results of which is the mode utilized in admitting students into its fold based on its cut-off score as agreed by the Council of Deans to include the Dean of Admission and the Vice-President for Academic Affairs. It also endeavors for the revision of the different tests utilized and administered to make these tests relevant with the changing times.
1.1. Purpose
To institute a procedure in the administration of the university admission test and other
tests to students/clients/customers who is/are seeking entry into the university
1.2. Scope
The TEC’s main role is administering tests, but it also endeavors by providing assistance to other agencies through testing in job screening of clients not only within the city, but also the entire Zamboanga Peninsula and the neighboring ARMM region.
1.3 Responsibilities
Responsibility Description
University President
Approves the test schedule and travel thru OVPAA
Approves the roster of TEC test staff thru OVPAA
Approves the revision, development and enhancement of the different test thru OVPAA
Director/Chief Examiner
Oversee the function of the office
Serve as Chief Examiner
Orients prospective examiners
Communicates officially to deans, principals, chief of sections, security director requesting permission to utilize the college buildings, securing the University premises, admitting examinees on campus and other matters related to test administration
Briefs security guards and janitors on job expectation
Informs test supervisors of their respective jobs as designated by the director
Monitors activities of every test staff to include janitors and security guards on test dates.
Confers with Test Supervisor in solving problematic conditions during test proper
Have a roster of alternate Room Examiners and request for their assistance when necessary.
Present a written report of the test administration activity highlighting unusual events
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 5 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Computer Operator
Encodes and computerized TEC communications and papers
Serve as CET/NAT/GSAT/LSAT registration officer
Encode test results of GSAT/LSAT/JRAT
Scan answer sheet of CET
Produce/print individual repot of rating of administered test
Upload test results (CET) to WMSU website
Manage TEC databases for easy retrieval of CET scores
Maintain computer hardware/software & peripherals
Do other related works as maybe required by the Director
Office Clerk
Serves as CET/NAT/GSAT/LSAT registration officer
Types certification, assists in item encoding
Collates test materials, test guidelines and application forms
Checks and counter check examinees with OR’s
Manipulate the stencil duplicator
Answers queries related to tests and others as mandated by competent authorities
Double check number of printed test materials
Does other related work
Official Contact Person
Attends conferences intended for Contact Person
Signs Conformé if agreeable to specified duties and responsibilities.
Posts test notices in respective campuses and other public places.
Secure from TEC and distribute CET application forms to students in their respective schools.
Secures Form 137 of applicants and photocopy this.
Checks correctness of entries of needed data in the application forms.
Countersigns photos of applicants to insure veracity of identity.
Submits duly accomplished application forms for final processing.
Test Supervisor
Prepares test materials, test distribution report, roster of examinees by room, test room label, test site evaluation form, a day prior to test date
Distributes test materials to the room examiners under his/her charge on the test date
Monitors activities of the Room Examiner
Substitutes an absent/late Room Examiner
Attends to late examinees after the distribution of the test materials. Guides examinees with test permit problem to see the TEC Director.
Confers with the Director re: problems in his/her area of concern
Counts and recount test materials after every examination
Room Examiners
Reports at the TEC at 6:00 Am/12:00nn
Secures test materials from the Test Supervisor and count these
Administers the test as stipulated in the Test Administrator Manual
Monitors closely examinees activities during test proper
Refers to the Test Supervisor of any problem situation
Accomplishes Test Site Evaluation Form and Attendance Sheet
Returns Test Materials in Serial order and in correct number to Test Supervisor
Proctor
Assists the Test Supervisor in preparing all test materials.
Assists the examiner in test distribution and retrieval of test materials
Guides examinees with problems on test permit or late registration and present them to the TEC director.
Counts and retrieves test materials.
Checks each test booklet for any missing pages , segregate them and repacks those intact in serial order for the next session or for safe –
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 6 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
keeping.
Electrician Checks on all electrical connections in all area of concern to ensure
proper lighting during the exam day.
Janitor
Cleans and maintain cleanliness of the area of concern to include the hallways and restrooms before, during and after the exam.
Arranges seats properly for test-taking activity.
Puts back the chairs in proper order for the next day’s class.
Security Guard
Gates:
Checks individually and allow only those examinees with test permits to be on Campus at 6:00 – 7:00 AM and 11:30 – 12:30 PM
Allows entry of applicants with problems after 8:00 AM and after 1:00 PM
Registers at TEC at 6:00 AM and 12:00 PM Roving:
Registers at TEC at 6:00 AM and 12:00 PM
Patrols area of concern at all times.
Panel of Correctors
Must be a faculty member who has signified willingness to check papers manually.
Attends briefing orientation for correctors.
Prepares key stencil for correction.
Reports for overtime work only during free time.
Rechecks paper if need be after validation.
Panel of Validators
Chosen from among the Panel of Correctors, the validators go over work of colleagues to insure that NO ERROR was committed by any corrector.
Accomplishes Validated Report Form for every set validated.
Breaks the seal and prepare roster of examinees for computerization
Essay Evaluators
Only MA or Ph.D in Language qualifies to be an essay evaluator. Essays are rated by the evaluators following the given criteria.
Edits test items prior to and after pilot-test and after printing of a final draft.
2. Definitions, Acronyms and Abbreviations
2.1. Definitions
TEC Test Staff these are personnel who signify their intention to serve as Supervisor, Room Examiner, Proctor, Validator, Corrector, Janitor and Security Guard. Regular Exams refer to the examination aimed at assessing entry behaviors of learners seeking admission to the various curricular programs of the University Main Campus and San Ramon Campus. These also referred as high stakes test since entry to the university centers on meeting the cut-off percentile rank for admission. These are paper-pencil test administered regularly within any school year done both in WMSU Main Campus and TEC external test centers, Zamboanga Peninsula and ARMM Region. Special Exams refer to those exams requested by external agencies such as WMSU External Studies, Government Agencies in Zamboanga Peninsula, the ARMM and other industries.
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 7 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
2.2. Acronyms
<Acronyms>
TEC Testing and Evaluation Center
CET/UAT College Entrance Test/ University Admission Test*
LSAT Law School Admission Test
GSAT Graduate School Admission Test
JRAT Job Related Aptitude Test
AAT Accounting Aptitude Test
EAT Engineering Aptitude Test
PIT Personality Inventory Test
PAT Psychology Aptitude Test
IRR Individual Report of Rating
2.3. Abbreviations
<Abbreviations>
e.g. dept.
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 8 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details Responsible
Person Documented Information
Start
Conference with Significant Others
Announcement and posting
of Test Schedules
Evaluation of Credentials for Test
Applications
Orientation/Traiing of Examiners
Preparation for the Administration of CET
and other Tests
Issuance of Application
Forms
Start
1.0 Conference with Interested Parties
1.1 Convenes the deans, director, principal, guidance counselor and program advisers to discuss the thrust of the university for quality delivery systems, prerequisites for the university admission.
1. Director
(WMSU-TEC-FR-01)
2.0 Announcement and posting of Test Schedules
WMSU-TEC-P-01(CET) WMSU-TEC-P-02(GSAT) WMSU-TEC-P-03(LSAT) WMSU-TEC-P-04(NAT) WMSU-TEC-P-05(HRM) WMSU-TEC-P-06(SHSPT)
3.0 Evaluation of Credentials For Test Applications
3.1 For Kindergarten Program 3.2 For Undergraduate Program (CET) 3.2.1 For HS Senior grad students 3.2.2 For Currently Enrolled Students 3.2.3 For Students who earned some units in college 3.2.4 For Students who failed in previous years CET or stopped schooling 3.2.5 PEPT (Phil. Educ’l. Placement Holder 3.3 Nursing Aptitude Test 3.4 Graduate Program (GSAT, LSAT & other exams)
3.4.1 For New Applicants 3.4.2 For Currently Enrolled
Students 3.4.3 Other Exams
Director TEC Staff
(WMSU-TEC-FR-02) WMSU-TEC-W1-01
WMSU-TEC-FR-03 WMSU-TEC- WI-02
WMSU-TEC-AP1-01 WMSU-TEC-AP2-02
4.0 Issuance of Application Forms WMSU-TEC-AP-03
5.0 Orientation/Training of Examiners Director
TEC Staff Examiners
WMSU-TEC-LB-01
6.0 Preparation for the Administration of CET and other Tests
6.1 Material/Equipment Application Form Test Booklet Answer Sheet (OMR Sheet) Examiner’s Manual Attendance Sheet Duplicating Machine
Director TEC Staff
WMSU-TEC-LM-01
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 9 of 10
Subject: Administration/Conduct of the TEC’s Test
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Activity Details Responsible
Person Documented Information
START
Test
Administration
Evaluation of Staff
Performance
Evaluation of Test
Results
Test Results
Preparation
Preparation of IRR
and Master List
Releasing of Test
Results
END
7.0 Test Administration
7.1 Identification of Examiners to constitute TEC test staff
7.2 Briefing-Orientation with all involved in the Administration of the exam
7.3 Emphasis on the overriding Principles of TEC
7.4 Conduct of Test
Director/Staff
WMSU-TEC-MFR-01 WMSU-TEC-LB-01 WMSU-TEC-AS-01
WMSU-TEC-EM-01
8.0 Evaluation of Staff Performance
8.1 Evaluation by Observation 8.2 Shares feedback
TEC Staff WMSU-TEC-CL-01 (Checklist)
9.0 Evaluation of Test Results
9.0 Machine –Scanned for correction of answer of examinees 9.1 Other Tests –manually done
Test Evaluators
WMSU-TEC-WI-02 WMSU-TEC-OM-01
WMSU-TEC-WI-03
10.0 Test Results Preparation
10.1 Scanning /(OMR) Checking of Answer Sheet
10.2 Answer sheet Arrangement 10.3 Convening of all deans, VPAA
to present results to decide for the percentile rank cut –off score (only for CET)
TEC Staff/Director
WMSU-TEC-MFR WMSU-TEC-FR-
11.0 Preparation of IRR and Master List
11.1 Checking of IRR for Errors TEC Staff WMSU-TEC-WI
12.0 Releasing of Test Results
12.1 Releasing of CET/LSAT/GSAT/NAT Master List to the deans of different colleges to include the Dean of Admission
12.2 Release of Individual Report
of Rating as requested
TEC Staff
WMSU-TEC-6-01 WMSU-TEC-6-01
WMSU-TEC-6-02
Western Mindanao State University Doc. No.: WMSU-TEC-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Operations Page No.: 10 of 10
Subject: Administration/Conduct of the TEC’s Test
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4. Risk Assessment
No. Key Steps Risk Description
Sev
erit
y
Occ
urr
ence
Det
ecti
on
RPN Mitigation Contingency
1 Conference with significant others
Not in Attendance 2 2 2 Low Risk
Remind attendees ahead of time
Alternate/ Substitute
2
Announcement and posting of Test Schedules
Limited coverage of announcement
2 2 2 Low Risk
Widen the scope of announcement
Media announcement(web & radio)
3
Evaluation of Credentials For Test Applications
Improper/Incomplete/Lacking credentials
1 3 4 Low Risk
Orientation of Official Contact Person
Comply with the needed requirements
4 Test Administration
Tardiness of Test Examiner
Delay of administration of examination
2 2 2 Low Risk
Strict observance of punctuality by examiner; remind ahead of time to be on time
Alternate/ Substitute by Supv.
Decorum of examiner No proper decorum of examiners 3 3 3
Medium Risk
Strict observance of appropriateness (RA 6713)
Examiners observe proper decorum
Room Ventilation/ lightings
Lacks ventilation / lightings in rooms not conducive to test takers
2 2 2 Low Risk
Remind the electrician 2 weeks prior to the exam date
Requests admin for alternative measure
Clarity of Instruction by examiners
Tendency for test takers to proceed to the next part as instruction given is not clear
2 3 3 Medium
risk Brief examiners regarding this matter
Reminds examiners to read administration manual
For late comer test takers
Test taker/s may not be able to cover all the parts of the test
3 3 3 Medium
risk Allow to take but warn him of the consequence
Schedule to take in the next test date
No permit by test takers
Test taker/s forget/s to bring his/her test permit
2 3 3 Medium
risk
Ask for two identical pictures for re-issuance of test permit
Schedule to take in the next test date
Test Leakage Overlooked by the test examiner to inspect the examinees for cellphone/camera
3 2 2 Low Risk
Remind examiners to be watchful/ vigilant on the behavior of test takers
Examiners must check prior to administration of the test
5 Evaluation of Staff Performance
Not following test procedures 2 2 3 Low Risk
Remind examiners to follow test administration manual
Supervisor advises examiner to follow test manual
6 Evaluation of Test Results
Errors committed by evaluators 3 times
2 2 4 Medium
Risk Double check by another evaluator
Disqualify the evaluator
7 Test Results Preparation
Error in each part that result to composite total error
2 3 4 Medium
Risk Double check by another evaluator
Review and check by panel validator
8 Preparation of IRR and Master List
Misspelled entry of examinees name
3 2 3 Medium
Risk Double check by office staff
Immediate correction done
9 Releasing of Test Results
Lost test permit; repeated request 2 2 4 Medium
Risk Require affidavit of loss; payment of fee
Issuance of permit again
Western Mindanao State University
PROCEDURES MANUAL
TRAINING
NAME POSITION SIGNATURE
PREPARED BY : DR. CLAIRE A. MADRAZO CCE Director
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 2 of 14
Subject: Conduct of Training
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 3 of 14
Subject: Conduct of Training
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Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3 Responsibility…………………………………………………………………………………………….
2. Definitions, Acronyms and Abbreviations ......................................................................................... 7
2.1. Definitions ........................................................................................................................................ 7
2.2. Acronyms ......................................................................................................................................... 8
3. Procedure Details ................................................................................................................................. 9
4. Risk Assessment ................................................................................................................................ 11
5. References .......................................................................................................................................... 14
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 4 of 14
Subject: Conduct of Training
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1. Introduction
The Center for Continuing Education is a support system of the Resource Generation
Unit of the University under the Office of the Vice-President for Resource Generation. The Center for Continuing Education envisions to be a dynamic and innovative center that advances vital human resource and organizational development strategies, consistent with its mission and needs of the clients. It aims to develop competent, efficient , productive and forward looking individuals.
1.1. Purpose
This document defines the system in the conduct of Training/ Seminar/Workshop among faculty and employees of the University and other agencies.
The Center for Continuing Education’s primary purpose of this process is to
strengthen the functions of instruction, research and extension of the University by increasing the competence, efficiency and productivity of the faculty and employee of the University through continuous training, updates and seminar/workshop.
1.2. Scope
The trainings shall serve as venue for faculty members and other concerned parties to enhance their entrepreneurial acumen, skills and values as well as research capability.
The Center for Continuing Education will address the training needs of the
client as the product of the training needs assessment conducted by the human resource management office through the office of the Vice-President for Academic Affairs concerning Academe and for the Administrative concerns needs assessment will pass through the office of Vice-President for Administration and Finance. Priority needs per college/administrative office will be assessed thus, be the basis for action as far as scheduling of training for the academic year.
Updates and Trainings conceived by the different colleges and administrative
office which was not included in the Training Needs Assessment for the year will be acted upon by the respective college Training Coordinators as far as facilitating the procedures for the said training/seminars/updates. The Center for Continuing Education will be assisting as the Management Team for the seminar/training/updates to ensure the smooth flow of the conduct of the activity as long as the schedule is not in conflict with the plotted training schedule for the year.
In the event that a certain college or admin office will be hosting a seminar or
training, the Center for Continuing Education shall assist in the conduct of the said event as management team. The training coordinator of each college will be following up all the needs in the conduct of the said activity.
For trainings requested from other agencies, the request will be addressed to
the President through the Center for Continuing Education. The request will be acted upon considering the availability of schedule and availability of speakers with their area of specialization.
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 5 of 14
Subject: Conduct of Training
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Responsibility Description
Director, CCE
The CCE Director administers control and supervision of the day-to-day activities of the center, and acts as support system on issues related to marketing, sales, production and personnel . Generally, the CCE Director:
1. ensures that the operation of the center are efficient and
effective and that proper management of resources and
services to customers, as well as analysis of queue systems
is done;
2. creates and maintains a positive flow of work by utilizing
available resources and facilities;
3. prioritizes customer, employee, and organizational
requirements.
Specifically, the CCE Director: 1. formulates strategic directions and priority programs,
policies, guidelines, and procedures under the Center for
Continuing Education;
2. prepares proposals for projects and review and
enhancement programs;
3. monitors and evaluates the overall operations of the Center;
4. oversees the implementation of projects and reviews;
5. provides overall supervision on the implementation of all
projects and reviews;
6. coordinates with the Project Coordinators in the planning,
organizing and the conduct of projects and activities using
the expertise of the college/university;
7. establishes and defines working responsibilities of
Management Team.
Asst. Director, CCE
1. Coordinates with resource speakers and other persons
involved in identifying materials, resources, equipment and other needs for trainings, seminars, for and other CCE projects;
2. Assists in orchestrating activities exigent to the smooth and effective operation of the center;
3. Assists in the preparation of proposals for CCE projects; 4. Assists in the monitoring and evaluation of CCE projects; 5. Assists in the overseeing of the implementation of the
projects; 6. Assists in the identification of training needs assessment,
learning application plan and impact assessment in collaboration with the human resource management
Administrative Aide (A) 1. Extends technical assistance to facilitate the implementation
of projects by providing materials, multi-media equipment and other devices;
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 6 of 14
Subject: Conduct of Training
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Responsibility Description
2. Performs duties and responsibilities as maybe assigned by the CCE Director;
3. Layout tarpaulin, certificate and program.
Administrative Aide (B)
1. Deliver communications to different offices; 2. Record and release endorsement of official
communications & other respective concerns to the Office of the President for approval;
3. Follow-up requests, supplies and other pertinent papers for the Office of the Director of the Center for Continuing Education;
4. Perform administrative functions relative to the conduct of projects (trainings, seminars, seminar-workshop, review courses, symposia, conferences, conventions) of the center;
5. Prepare the materials needed for the conduct of projects (trainings, seminars, seminar-workshop, review courses, symposia, conferences, conventions) such as tarpaulins, CD burning, IDs, and writing pads;
6. Prepare and process pertinent documents necessary for the procurement of materials, which includes: Purchase Requests & Petty Cash Vouchers;
7. Canvass materials and venue for the training; 8. Do other responsibilities as mandated by the Director,
relevant to the functions of the Center for Continuing Education.
Training Coordinators are faculty designated as training focal persons from various colleges of the University
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 7 of 14
Subject: Conduct of Training
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2. Definitions, Acronyms and Abbreviations
2.1. Definitions
Evaluation Form
- Refers to the form given to the participants to rate the performance of the speakers, management team, the content and timeliness of the training and overall /general assessment of training.
Impact Assessment
- This assessment form will be introduced to the training participants
during the presentation of the house rules, Imparting the essence of the application of what was learned in the trainings/seminar. This Impact Assessment will be administered by the Human Resource Office three months after the training.
Learning Application Plan
- This form will be filled out by the participants during the setting of
house rules. This comprises the participants’ training goal, what they intend to do in their workplace relevant to the nature of training, and strategies to achieve their goal.
Management team
- Compose of the CCE director, Asst. director, training coordinator, facilitator, technical assistant and the administrative aide.
Memo
- Refers to the letter given to the concern authority for their approval of the conduct of the training.
Registration Form
- Refers to the form where participants fill out personal information such as
complete name, affiliation, contact number and email address.
Training
- Refers to the organized activity aimed at imparting instructions/knowledge to improve the client’s performance or to help him/her attain a required level of knowledge.
Training Needs Assessment (TNA)
- This form comes from the Human Resource Office , disseminated to
the different Colleges through the Office of the Vice-President for Academic Affairs then returned to the Office of the Vice-President for Academic Affairs. Results will be forwarded to the Human Resource Office wherein Training Needs Analysis will be done. Priority Training Needs for the year will be forwarded to the Center for Continuing Education. This TNA result will be the basis for action of the Center for Continuing Education.
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 8 of 14
Subject: Conduct of Training
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2.1 Acronyms
CCE Center for Continuing Education
OP Office of the President
IGP Income Generation Project
BR Budget Requirement
MT Management Training Team
TNA Training Needs Assessment
LAP Learning Application Plan
IA Impact Assessment
2.2. Abbreviations
Mngt. Management
Prog. Program
Act. Activity
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 9 of 14
Subject: Conduct of Training
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3. Procedure Details
Activity Details Responsible
Person Documented Information
1 Receives request from various colleges and offices and other agencies
1.1 Accepts the requests for the conduct of the training related to the Training Needs Assessment Consolidated Result from the HR
Client
(Deans, VPs,Directors,
HRMO Agency Client)
TNA form Result from the HRMO WMSU CCE-
FR-O1 WMSU-CCE-FR-O2A,O2B 1.2 Communicates with the
client on the training budget and the need analysis
2.0 Submits of required documents
2.1 Prepares the memos required documents
CCE Director
Administrative aide
2.2 Submits the memos to the concern signatories
2.3 Follow up the memos
3.0 Approves of the memos and MOAs
3.1 Recommends by the concern signatories
3.1.1 Memos to be signed by the following:
CCE Director, Finance Director, concerned VP (VP for Resource Generation, VP for Academic Affairs, VP for Administration and Finance)
Finance Director
VPs President
WMSU-CCE-FR-02A, O2B
3.2 Approves by the President
4.0 Prepares Purchase Request, Petty Cash, and requests for venues for training
BAC accounting procedure
No
Yes
Is the request included in the list of priorities relevant to TNA?
Start
Submits BR, conduct, proposal, designation of MT, attendance of the
participants and speakers
Receives Request for Conduct of Training product
of the TNA
Approves needed requirements
Complete?
Prepares PR, Petty Cash. and request for venues
for trainings
No
Yes
A
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 10 of 14
Subject: Conduct of Training
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Activity Details Responsible
Person Documented Information
5.0 A. Pre-Training Prepares Training Materials, attendance, registration form, evaluation forms, certificates and coordinates for food and venue of the training/seminar.
5.1 Produces the training kits, and materials
Director/Admin Aide
5.2 Submits menu for the food service to prepare
5.2.1 Gives a copy of approved letter, budget & menu
5.2.2 Submits to the University Food Service in-charge
Admin Aide WMSU-CCE-FR- 02A
5.3 Identifies the venue of the training
Director
5.4 Prepares certificates
Admin Aide
WMSU-CCE -CERT-01
WMSU-CCE-CERT-02
5.5 Prepares attendance sheet
5.6 Prepares the registration
and evaluation form
Admin Aide
WMSU-CCE-FR- 03
WMSU-CCE-FR-04
WMSU-CCE-FR-05
B. Actual Training 6.1 Program proper 6.2 Presentation of House
Rules
CCE Management
Team
WMSU-CCE-INVI-01
6.0 Evaluates the Training
7.0 Submits Accomplishment Report
Director WMSU-CCE-RP 01
End
Evaluates the Training
Submits Accomplishment Report
Conduct of Training House Rules LAP Impact
Assessment
A
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 11 of 14
Subject: Conduct of Training
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4. Risk Assessment
No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
1.0
Receives Request for Conduct of
Training
Conflict Date of Conduct of Training
per Request 2 2 1
Low risk
Inform requested client for a reschedule
Feedback client on the
status of rescheduling
of training
Exceeds the number of training
per month (2 training/month)
3 3 1 Low risk
Provide copy of the Calendar of
training and what is
stipulated in the manual of operation
Reschedule the training
2.0
Submits of required
documents
Disapproval and/or lack of documents
attachment 2 2 1
Low risk
Produce required documents and attachments
Provide required documents attachments
Availability of the
signatories 1 2 1
Low risk
Request an OIC to sign
An OIC in the office sign the memos
3.0
Approves of the memos and
MOAs
Availability of signatories
1 2 1 Low risk
Use of Electronic Signature
SOP in case the signatory is out, the next in rank can sign in her/his behalf or must have an OIC
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 12 of 14
Subject: Conduct of Training
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No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
4.0
Prepares Purchase
Request, Petty Cash, and
venue for the training
Availability of Signatories
1 2 1 Low risk
Request an OIC to sign
SOP in case the signatory
is out, the next in rank can sign in
her/his behalf or must have
an OIC
No available funds
for Petty Cash 1 2 1
Low risk
Inform the concern to
release the petty cash
Follow up the petty cash
Bidding and Awards
Failure/Cancelation 2 2 1
Low risk
Request for rebidding
Follow up the notice of award
5.0
Conduct of Actual Training
Exceeds number of
participants
1
2
Low risk
Inform concerned client to submit list of participants to
attend said training
Remind the concerned
client to endorse
exact number of
participants to attend training
Failure of the participant with special order to
attend the seminar
1 2 Low risk
Participants to inform authority in writing incase he/she cannot make it prior to
An official memo
coming from the President
will be the
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
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PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 13 of 14
Subject: Conduct of Training
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No. Key Steps Risk Description Severity Occurrence Detection RPN Mitigation Contingency
the conduct of the
seminar/training.
source of the
replacement of the
participants.
6.0
Evaluates the training
Discrepancy in the number of
evaluation and number of
participants
1 3 1 Low risk
Inform the concerned
participants to fill out the
evaluation form
House rules to be
emphasized from the start of the training
7.0 Submits
Accomplishment - - - - - - -
Western Mindanao State University Doc. No.: WMSU-CCE-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 07-DEC-2016
Section: Support Page No.: 14 of 14
Subject: Conduct of Training
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5. References
1 Quality Manual 2 WMSU University Code 2014 Chapter V section 3 3 Training and Review Center Manual of Operation 4 Quality Records
FORMS FOR TRAINING WMSU-CCE-FR-01 TRAINING REQUEST FORM WMSU-CCE–FR-02A BUDGET PROPOSAL WMSU-CCE–FR-02B TRAINING PROPOSAL WMSU-CCE–FR-03 ATTENDANCE SHEET WMSU-CCE-FR–04 REGISTRATION FORM WMSU-CCE–FR-05 HOUSE RULES FORM TRAINING NEEDS ASSESSMENT LEARNING APPLICATION PLAN IMPACT ASSESSMENT WMSU-CCE-FR–06 EVALUATION FORM WMSU-CCE-CERT–07 CERTIFICATE OF PARTICIPATION WMSU-CCE-CERT-08 CERTIFICATE OF RECOGNITION WMSU-CCE-INVI-09 PROGRAM AND INVITATION WMSU-CCE-RP-010 ACCOMPLISHMENT REPORT TEMPLATE
Western Mindanao State University
PROCEDURES MANUAL
DOCUMENTED INFORMATION
NAME POSITION SIGNATURE
PREPARED BY : ERLINDA C. MACASO Document Controller
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ-HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-QMO-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Support Page No.: 2 of 18
Subject: DOCUMENTED INFORMATION
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Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-QMO-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Support Page No.: 3 of 18
Subject: DOCUMENTED INFORMATION
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Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibilities ................................................................................................................................ 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 6
3. PROCEDURES DETAILS (Internal Documents) ................................................................................. 7
4. Risk Assessment (Internal Document) ............................................................................................. 10
5. Risk Assessment (External Document) ........................................................................................... 13
6. Procedure Details ............................................................................................................................... 14
7. Risk Assessment (Records) ............................................................................................................. 17
8. References .......................................................................................................................................... 18
Western Mindanao State University Doc. No.: WMSU-QMO-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Support Page No.: 4 of 18
Subject: DOCUMENTED INFORMATION
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1. Introduction
1.1. Purpose
To ensure that all documents and records needed for the quality management systems areidentified, stored and protected, easy retrieval and disposed when needed andare approved for adequacy prior to use, reviewed and updated, identified as to changes and available at point of use, legible and readable identifiable as to external origin and their distribution controlled and prevented from unintended use of obsolete document.
1.2. Scope
This procedure covers all activities related to the control of records and documents internal and external documents from identificationto disposal.
1.3. Responsibilities
Responsibility Description
Quality Management Officer
Reviews and approves documents and Records included in the Quality Manual; approves the Agency-wide distribution of external documents; reviews and approves the Records Retention Schedule for records pertaining to mandatory procedures on control of documents, records, internal audit, corrective action and preventive action
Unit Manager
Review and approves internal documents needed by his unit; approves the distribution of copies of external documents pertaining to his process; reviews and approved the records retention schedule for records pertaining to his process or function. (Refer to the RDS of the National Archives of the Phils.)
Document Controller
Ensures that the controls provided in this procedure are effectively implemented throughout the university. Maintains the central Document Masterlist, listing all the controlled documents of the university; ensures that the controls provided in this procedure are effectively implemented throughout the university; maintains the Central Records Retention Schedule
Unit Document Controller
Prepares draft of new or revised internal documents; receives new or revised external documents from source; ensures that thedocuments and records needed by the unit are properly maintained and are readily available; maintain the units RDS and the Documents and Records Master list held by the unit.
Document Copyholder
Receives new or revised documents from Document Controller or Unit and maintains copies.
Records Officer Maintains inactive records of the university, Assist in the disposal of obsolete records of each unit; Maintains the Records Center’s Master list
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Documents - are created by planning what needs to be done. Itoriginate in the planning
phase of the PDCA cycle of the process approach.
Controlled Documents - Refers to documents for which there are specified requirements on
Initiation/review/approval/registration/issuance/revision and withdrawal.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Support Page No.: 5 of 18
Subject: DOCUMENTED INFORMATION
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Document Master list - refers to list which identifies the Quality Management System Documents
indicating current revision Internal Document
- Document generated by WMSU External Document
- Document not generated by WMSU Effectivity Date
- refers to the date when a revision is made effective and is indicated on a per page per document basis. File
- A cabinet with records in it; a folder containing records; a collection of papers involving a specific name of topic
Filing system - A plan for identifying, arranging and finding records. Filing systems maybe
alphabetical, numerical, chronological or functional subject-alphabetical
classification system.
Records - Recorded information regardless of medium or characteristic that is evidence
of its operation and has value requiring its retention for a specified period of
time.
- Need to be identifiable, stored, protected, retrievable, retain but disposed of
when obsolete
Active Records
- That is currently being maintained, used and control. Normally kept in a
nearby filing cabinet for easy access and retrieval.
Inactive Records - Records that are not being used and which must be transferred to inactive
storage area. These records have already served their purpose but must be
kept just the same for legal requirements. They are only destroyed the moment
their retention period have expired.
Obsolete Records - Records whose retention period has expired and which are no longer needed.
Records Disposition Schedule - A listing of records series by organization showing, for each record series, the
period of time it is to remain in the office area, in the storage area (inactive),
and its preservation or destruction.
Records Master list A list that identifies the records needed and maintained for the QMO
Retention Period
Refers to the specific period of time established and approved by the National
Achieves of the Philippines as the life span of records, after which they are
deemed ready for permanent storage or destruction.
- Period of time when records must be kept, usually stated in terms of number of
months or years, but sometimes expressed as contingent upon the occurrence
of an event such as employee termination, contrct closure, project completion
etc.
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Revision Number
- Refers to the frequency of revisions on a documentsas reflected on a per page per document basis.
Uncontrolled Copy
- A document copy not subject to further document control after it is issued
2.2. Acronyms
DC Document Controller DUN Document Update Notice QMO Quality Management Officer PO Process Owner
Unit DC Unit Document Controller WMSU Western Mindanao State University
RDS Records Disposition Schedule NAP National Archives of the Philippines
PDCA Cycle Plan, Do, Check, Act
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3. PROCEDURES DETAILS (Internal Documents)
Activity Details
Responsible Person
Documented Information
1.0 Prepare New Doc./Revise Existing Doc. and Register Doc.
1.1 Prepares Document Update Notice (DUN) and submits new or revised document to Document Controller for registration.
WMSU-QMO-WI-002.00 How to revise a controlled document
UM/Process Owner
DUN WMSU-QMO-
FR-01.00
Master list of internal doc.
WMSU-QMO-FR 02.00
1.2 Assign code to the new document using appropriate coding system. If approved needs revision refer to DUN and update masterlist. WMSU-QMO-WI-OO1.00 Coding System
DC
2.0 Review and Approve Document
2.1 Review and Approved Document 2.2Concerned personnel sign the appropriate document. Signature is in blue ink to have distinction of the original copies. 2.3 Update Document Control masterlist.
QMO
UDC/DC
Doc. Update Notice (WMSU-QMO-FR-01.00)
2.4Effectivity date is set at least one week after approval to allow orientation/training.
2.5Document requires further modification return toprocess owner and advise document controller.
2.6 Modifies documents as required and resubmit document for review.
2.7 Check for legibility, format and completeness of documents.
3.0 Distribute Documents
3.1 Prepares controlled copies of document for distribution to process owner and copy holders. File Master Copy of Document stamped in Green ink.
3.2 All copies are stamped with controlled copy inblue ink in all pages prior to issuances.
DC
3.3Receives controlled copies of document and return
any obsolete copies to DC and kept according to recommended retention period except for documents containing propriety information.
3.4Archives obsolete mastercopy of document and dispose other obsolete copies by shredding.
UDC
DC/UDC
4.0 Update Document Control Records
4.1 Update document masterlist
DC
Master list of internal doc.
WMSU-QMO-FR 02.00
4.2 Files Document update notice. 4.3 Files Document Master list
5.0 Orientation of personnel on the new revised document
START
Prepare new document/
Revise existing doc. And
register document
END
Review and Approve
Document
Distribute Documents
Update Document
Control Records
ApprovedNo
Yes
Orient Personnel on new/
revised document
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Details
A. Revise Existing Document The Unit Manager shall validate the need of the new or revision of the document New QMO documents as well as revisions to existing QMO documents shall be registered to ensure
proper control DC shall assigned code to the new document using appropriate coding system
Format AAA-BBB-CC-DDD AAA - Agency Code BBB - Unit Code CC - Document Type QM - Quality Manual QP - Quality Plans SP - Specifications PO - Policies GU - Guidelines PR - Procedures WI - Work Instructions FR - Forms RP - Reports DDD - Doc. Number, Sequential (001,. . . . . . . 999) Revision - Code Number- Revision 01.00
Where an internal document has been revised, the process owner shall indicate the nature of revision in the Document Update Notice. The revised text in the document shall be identified in a unique way from the original version whenever changes are made by underlying it.
DC distributes the revised document/pages to the Process Owner and withdraw all the “Obsolete” document/pages of the document and marked “diagonally” using a pen and dispose by shredding
B. Review and Approved Document Shall ensure that the documents are appropriate to the needs of the University. All QMOdocument are prepared by Process Owner and submit to DC to checkthe completeness of the
document. DC will route the new/revised document to QMR and shall conduct review for acceptability and
approval Approved new document shall be endorsed to DC and stamped “MASTER COPY” on each page and
“RECEIVED” (cover page only) affixed date of receipt A master copy of each internal document shall be retained by the DC The copy of the external document submitted by the Process Owner for registration shall be
considered the Master Copy and shall be retained by the DC and Controlled Copy to Process Owner until revised
C. Distribute Documents The DC shall determine the necessary distribution to different recipients as indicated in the
Document Update Notice (DUN). (WMSU-QMO-FR-01) and shall be reviewed against the document Masterlist. (WMSU-QMO-FR-02) New documents which are not in the Masterlist, shall be temporarily noted and reflected in the next issue.
Update the Masterlist of Controlled Document to prevent unintended use of obsolete document.
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All Obsolete documents must be retrieved by the DC upon issuance of the new revised document and shall be stamped “OBSOLETE COPY” in red ink. “NO RETRIEVAL, NO ISSUANCE Policy”will be implemented.
Obsolete document master copy must be stored for reference purpose by QMO Controlled copies of document shall be stamped “CONTROLLED COPY” in all pages and
stamped “ISSUED” (cover page only) prior to distribution to process owner and copyholders with affixed date of issuance.
Document intended for reference purpose or temporary use only are classified as “UNCONTROLLED” document and are not subject to updating. It shall be stamped with “UNCONTROLLED COPY” inblackink on each page.
Request for uncontrolled copies of documents must be made in writing address to QMO for approval. Uncontrolled copies of internal documents shall be photocopied from Master copies and stamped “Uncontrolled Copy” prior to release to the requisitioner. He shall sign on the Logbook to indicate receipt.
D. Update Document Control Records
The UDC shall maintain a copy of his Unit’s Document Master list. He shall submit a copy of his
Unit’s updated Document Master List to the DC, who shall then update the Central Document Master list.
Obsolete Master Copies of internal Documents shall be stamped “OBSOLETE COPY” and attached to DUN (Refer to the Records Retention Schedule of NAP for the Retention Period)
E. Orient Personnel on New/Revised Document (Concerned PO/ DC)
Check for legibility, format and completeness of document/s before reproduction Refer to Master List of Controlled Documents to determine number of copies.
Copyholder shall acknowledge receipt of copy using the (DUN) WMSU-QMO-FR-01.00 All copies are stamped with “CONTROLLED COPY” on all pages prior to issuance to
requester Refer to WMSU-QMO-WI-003.00 withdrawal of obsolete copies of documents. Original copy of obsolete document/s are marked “OBSOLETE” and kept according to
recommended retention period Other retrieved copies are marked “diagonally” using a pen and shall dispose by
shredding.
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4. Risk Assessment (Internal Document)
NO KEY STEPS RISK DESCRIPTION SEVERITY OCCURRENCE DETECTION RPN MITIGATION CONTINGENCY
Prepare New Doc./Revise existing
Doc. and Register Doc.
The use of obsolete document Document created are not appropriate to the needs of the unit
2
2
2
2
2
2
8 Low risk
8 Low Risk
-Mark document “obsolete” -Brainstorming –creation of document
-Request to use updated copy -Revised doc. to fit the needs of the unit
Review and Approve Documents
The approval of obsolete document
1 1 3 6 Low risk
-Mark document obsolete to prevent of using
Distributes Documents Circulation of Document to wrong recipients
2 2 2 8 Low risk
Orient staff of the procedure
Retrieved document right away
Update Document Control Records
Document Control Records are not updated
2 3 2 12 Low risk
Update Doc. Control Records as needed
Orient Personnel on New/Revised Documents
No clear instruction given to personnel on the use of new/revised document
3 2 2 12 Low risk
Work Instruction should be simple and precise
Orient Staff of the WI
Western Mindanao State University
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Subject: DOCUMENTED INFORMATION
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B. EXTERNAL DOCUMENTS
Activity Details Responsible Person
Documented Information
Submit copies and master list of external document to document controller
UDC Master list of External Doc. WMSU-QMO-FR-03.00
The master list of external documents include the ff:
Document title Reference/Issue/Dates Origin Department document
belongs to
DC/UDC Master list of External Doc. WMSU-QMO-FR-03.00
Reproduce and distribute copies of updated external document if needed. Copyholder shall acknowledge receipt of copy using the issue withdrawal form WMSU-QMO-FR-01.00(DUN)
All superseded document are marked “obsolete” and kept according to recommended retention period prescribed by the National Archives of the Philippines (NAP)
DC/UDC DUN WMSU-QMO-FR-01.00
START
Identify external documents
END
Prepare/Update the master list of
external document and identify
copyholder
Maintain copies of updated
external document and
distribute
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Subject: DOCUMENTED INFORMATION
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Details
A. Identify External Documents
The QMO ensures that reference document of external origin determined by WMSU to be necessary for the continous operation of the University and shall be identified on the Masterlist of External Document.
Received external document must be stamped “CONTROLLED COPY” on each page and “RECEIVED” (cover page only) Affixed date of receipt and signature of the recipients except for equipment manuals which shall be stamp “CONTROLLED” on the cover page only.
External documents may have been assigned their respective document reference codes at source. In the absence of codes, reference to external documents may be made using document titles.
The DC shall identify the distribution on the received documents and should be acknowledged by the recipients on the distribution list.
External documents received electronically shall be printed to facilitate registration. Document received by fax and printed on a fax thermal paper must be photocopied because thermal paper printouts fade in time.
B. Prepare/Update the Masterlist of External Document and Identify Copyholders
The UDC shall maintain a copy of his Unit’s Document Masterlist of External documents. He shall submit a copy of his Unit’s updated Document Masterlist to the DC, who shall then update the Central Document Masterlist of External Documents.
The DC shall identify the distribution on the received documents and should be acknowledged by the recipients on the distribution list.
C. Maintain copies of updated external document and its distribution
The copy of the external document submitted by the Process Owner for registration shall be considered the master copy, and shall be retained by the DC until revised.
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Subject: DOCUMENTED INFORMATION
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5. Risk Assessment (External Document)
NO KEY STEPS RISK DESCRIPTION SEVERITY OCCURRENCE DETECTION RPN MITIGATION CONTINGENCY
Identify External Documents
UDC fails to submit copies of external document to the DC
2 3 2 12 Low Risk
Always remind UDC to give copies to DC
Call Attention of the UDC for negligence, on first offense
Prepare/Update the master list of external
document and Identify copyholder
DC/UDC fails to update the master list
2 3 2 12 Low Risk
Update Master list of external doc. whenever you received the doc.
Maintain copies of updated external
document and distribute
Copies were given to wrong recipients
2 2 2 8 Low Risk
Refer often times to the distribution list
Retrieved right away the document
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Section: Support Page No.: 14 of 18
Subject: DOCUMENTED INFORMATION
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6. Procedure Details (Records)
Activity Details
Responsible Person
Documented Information
START
Identify Records
END
Maintain Active Files
Maintain inactive Files
Dispose Records
Records may include but not limited to logbook, filled-out forms, minutes of meeting, incoming and outgoing communication.
Identifies records series and determine the records’ value and retention period(RDS-NAP). In determining the records retention period, please refer to National Archives of the Phils. RDS common to all gov’t. agencies
Update the Records Disposition Schedule. Indicate the RDS of records series not covered by NAP RDS for approval by NAP through the agency head
DC/Unit DC DC/Process Owner
RDS-NAP
Create/Receive records and filed in labeled folders and placed in a filing cabinet with proper label for easy retrieval kept in a safe and ventilated storage area to protect from damage.
Maintain file of active records in conjunction with its function or process
Separate active from inactive records of your unit
Maintain masterlist of active records
Correction on mistakes should be identifiable by placing a line on it and writing the corrections above and must be signed by the person making the alteration. Use of correction fluid is strictly prohibited.
Charge out receipt (COR) is being use whenever records are borrowed.
Retrieval of files is only allowed with the consent or approval of the department head.
Process Owner Records Master ListWMSU-QMO-FR-004.00 Charge Out Receipt WMSU-QMO-FR-005.00
Each unit/department shall set up and label inactive storage location/filing cabinet as needed.
Through the supervision of the university records officer shall separate inactive file for storage and kept until it reaches its retention period.
Maintain masterlist of inactive records. Inactive records with research and historical value shall be transfer to the records and archives office. An inventory list shall accompany such transfer.
Adopt the RDS of NAP common to all Government Agencies Obsolete Records are listed in the Log Book
Process Owner/RO
Records Master List WMSU-QMO-FR-004.00
Dispose records in his area following the retention schedule
and Disposal Authorization. WMSU-QMO-WI-004.00 (How to dispose Documents and Records)
Approves the disposal of files of his unit
UDC/RO
UM
WMSU-QMO-WI-004.00
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Subject: DOCUMENTED INFORMATION
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Details
A. Identify Records
1. Records shall be classified in terms of value as:
a. Time Value – a record may be appraised as either temporary or permanent value b. Utility Value – a record may be further appraised on the basis of various categories of
usefulness Administrative Value - serves as administrative tolls to accomplish the mission of
the agency Fiscal Value - serves as tools in discharging the financial obligations of
the agency Legal Value - states legal decisions and opinions, either of a permanent
or temporary character Archival Value - historical or research significance of records or documents
such as the creation and development of an agency, its various policies and procedures
2. Maintenance of Active Records
Every unit is responsible for proper filing and storing of their documents and records. The DC randomly check document and records of each unit every 6 months to ensure their availability at point of use.
a. Filing System maybe one of the following:
Alphabetical – records are arranged in dictionary order, by names (individual or organization)
Numerical – records are identified by the numbers assigned to them. This is use for records such as invoices and issuances.
Chronological- records are arranged by time sequene or date (year, month,day) Functional Subject – Alphabetic Classification System – Records are arranged by
function and their component subjects (Alphabetical).
b. File storage areas shall be identified and labeled. Filing cabinets, shelves, racks and drawers may be labeled alphabetically or
numbered accordingly. Control of Records shall generally comply with the RA 9470 of RMAO
3. Maintenance of Inactive Records
a. At the end of active retention, files shall be place in boxes and kept in a storage area of each unit. There should be a list of all inactive records and Disposal Authorization with the following information: Unit Code Box Number (Sequential) Date filed in boxes Disposal date
b. Filed boxes are arranged on racks in each unit storage area c. Charge Out Receipt shall be maintained on records borrowed. Ref. to WMSU-QMO-FR-
005.00
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Subject: DOCUMENTED INFORMATION
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4. Disposal of Records
a. Records shall be disposed when the records have reached their inactive retention period and are deemed obsolete or no longer needed. Records disposal shall be withy Disposal Authorization. A request shall be sent to NAP for an “Authority to Disposed Records.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-001
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Section: Support Page No.: 17 of 18
Subject: DOCUMENTED INFORMATION
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7. Risk Assessment (Records)
NO KEY STEPS RISK DESCRIPTION SEVERITY OCCURRENCE DETECTION RPN MITIGATION CONTINGENCY
Identify Records Wrong identification of record series
2 2 2 8 Low risk
Analyze/Evaluate the records before indicating the records series
Re-do the entry to correct mistake
Maintain Active Files Mishandling in retrieving and re-shelving of records
3 2 2 12 Low risk
Use ladder in retrieving of records
Rehabilitation of effected records
Maintain Inactive Files Misfiling of Inactive Records 3 2 2 12 Low risk
Label records according to records series
Dispose Record The disposal of active records 2 2 2 8 Low risk
Copy of the RDS should be visible to the staff in the office
Secure another copy from source
Western Mindanao State University Doc.No.:WMSU-QMO-PM-001
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Support Page No.: 18 of 18
Subject: DOCUMENTED INFORMATION
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8. References
8.1. Quality Manual
8.2. WP: Documented Information
8.3. Related Work Instructions
8.4. Related Guidelines
8.5 National Archives of the Philippines (NAP) RDS 8.6 Generic Manual on ISO 9001 Six Mandatory Procedures Government Quality Management Program Citizen-focused
Western Mindanao State University
PROCEDURES MANUAL
RISK MANAGEMENT
NAME POSITION SIGNATURE
PREPARED BY: ENGR. MARINELLA T. TOSE Internal Auditor
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-QMO-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: PLANNING Page No.: 2 of 6
Subject: RISK MANAGEMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-QMO-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: PLANNING Page No.: 3 of 6
Subject: RISK MANAGEMENT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibilities ................................................................................................................................ 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 5
3. Procedure Details ................................................................................................................................. 5
4. References ............................................................................................................................................ 6
Western Mindanao State University Doc. No.: WMSU-QMO-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: PLANNING Page No.: 4 of 6
Subject: RISK MANAGEMENT
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1. Introduction
1.1. Purpose
The purpose of this document is to establish the process for the management of risks faced by the Western Mindanao State University (WMSU). The aim of risk management is to maximize opportunities in all university activities and to minimize adversity.
1.2. Scope
This procedure applies to all activities and processes associated with the normal operation of the WMSU.
1.3. Responsibilities
Responsibility Description
Quality Management Officer (QMO)
Reviews the risks identified and evaluate the effectiveness of the actions taken to address these risks and opportunities.
Risk Owner Manages risks and is usually the person directly responsible for the strategy, activity, function that relates to the risk.
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Consequence
It is the outcome of harm that could result, taking into account many factors e.g. the number of people that could be affected, the possibility of an event escalating, and other influencing factors.
Occurrence
It is a qualitative description of probability or frequency that the harm will occur. Risk
It is the effect of uncertainty on an expected result. It is the possibility of events or activities impeding the achievement of an organization’s strategic and operational objectives.
Risk Assessment
It is the process of evaluating and comparing the level of risks against predetermined acceptable levels of risk.
Risk Control
Action taken to eliminate health and safety risks so far as is reasonably practicable, and if that is not possible, minimizing the risks so far as is reasonably possible.
Risk Management
It refers to a coordinated set of activities and methods that organizations use to manage and control the many risks that affect its ability to achieve objectives.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-002
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: PLANNING Page No.: 5 of 6
Subject: RISK MANAGEMENT
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2.2. Acronyms
WMSU Western Mindanao State University
3. Procedure Details
Activity Details
Responsible Person
Documented Information
1.0 Risk Identification
1.1 Identify the risks that have the potential to have a meaningful impact on the university.
Risk Owner Risk Register
(WMSU-QMO-FR-006) 1.2 Lists down the risks identified with the full description of the risks including how it impacts the university.
2.0 Risk Analysis
2.1 Analyze and prioritize risks and opportunities.
Risk Owner
Risk Register (WMSU-QMO-FR-006)
Risk Rating Reference
Table (WMSU-QMO-FR-007)
Request for Action
(WMSU-QMO-FR-018)
2.2 Plans actions to address the risks
2.3 Implement the plan
3.0 Risk Control &Evaluation
3.1 Check the effectiveness of the actions
Risk Owner & QMO
Risk Register (WMSU-QMO-FR-006)
3.2 Review the actions plans for the recurring risks.
3.3 Updates the risk action plan.
4.0 Review Control Measures
4.1 Review organization’s process.
Risk Owner & QMO
Risk Register (WMSU-QMO-FR-006)
4.2 Repeat risk identification and assessment (section 1.0).
START
Risk Identification
Risk Analysis
Risk Control & Evaluation
Review Control Measures
END
Western Mindanao State University Doc. No.: WMSU-QMO-PM-002
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PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: PLANNING Page No.: 6 of 6
Subject: RISK MANAGEMENT
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4. References
4.1. Quality Manual
4.2. WMSU-QMO-PM-004: Control of Nonconforming Products & Services
4.3. WMSU-QMO-PM-005: Corrective Action
4.4. WMSU-QMO-GU-001: Internal Audit Guidelines
Western Mindanao State University
PROCEDURES MANUAL
INTERNAL AUDIT
NAME POSITION SIGNATURE
PREPARED BY: ENGR. MARINELLA T. TOSE Internal Auditor
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 2 of 7
Subject: INTERNAL AUDIT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 3 of 7
Subject: INTERNAL AUDIT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibilities ................................................................................................................................ 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 4
3. Procedure Details ................................................................................................................................. 5
4. Risk Assessment .................................................................................................................................. 6
5. References ............................................................................................................................................ 7
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 4 of 7
Subject: INTERNAL AUDIT
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1. Introduction
1.1. Purpose
The purpose of this document is to systematize and define the methods used for identifying, documenting, analyzing the nonconformance encountered in the process and eliminating the origin of nonconformities in order to prevent recurrence and implementing corrective action to attain the effectiveness of the process.
1.2. Scope
This procedure applies to the organization’s core and support processes included in the quality management system’s scope and shall be used to initiate and complete corrective actions with clients and internally within the university.
1.3. Responsibilities
Responsibility Description
Quality Management Officer (QMO)
Reviews and approves the annual audit program. As audit client, identifies priority areas of the quality management system which will focus of the audit program.
Internal Quality Audit (IQA) Chairman
Plans and manages the audit programme; coordinates the programme with the audit client and the QMO
IQA Team Leader Plans and manages audits assigned to him; coordinates audit plans with the auditee. Conducts audits assign to him/her.
IQA Team Member Conducts audits assigned to him/her.
Auditee Provides audit evidence to the IQA team; responds to audit findings as needed.
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Audit It is an official inspection of the organization’s business process by a group of people within the organization (internal) or an external organization.
Auditor
It is an individual assigned to conduct inspection to the organization’s business processes.
Corrective Action
It is a term that encompasses the process of reacting to product problems, customer complaints or other nonconformities and fixing them.
Nonconformance
It is a deviation from a documented standard or procedure used by the university
2.2. Acronyms
CA Corrective Action
IQA Internal Quality Audit
NC Nonconformance
QMO Quality Management Officer
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 5 of 7
Subject: INTERNAL AUDIT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details
Responsible Person
Documented Information
START
Plan Audit Programme
END
Manage the auditor pool
Prepare for audits
Conduct audits
Review audit results
and status
1.0 Plan the audit programme
1.1 Schedules the different audits for the year. Determines the audit objectives, scope, and applicable criteria; identifies the audit team leader and members per audit.The number of audits is determined by the level of importance of each process or area to be audited.Refer to the Internal Audit Guidelines (WMSU-QMO-GU-001).
IQA Chairman Annual Audit Schedule (WMSU-QMO-FR-008)
1.2 Approves the audit programme for the year. QMO
2.0 Manage the auditor pool
2.1 Evaluates candidate auditors.
IQA Chairman / QMO
Qualifications of Internal Auditors
(WMSU-QMO-FR-009) Auditors Performance
Evaluation (WMSU-QMO-FR-010)
Audit Programme Monitoring and Review
Checklist (WMSU-QMO-FR-011)
2.2 Maintains the directory of auditors. List of Auditors
(WMSU-QMO-FR-012)
2.3 Identifies auditor training needs; coordinates with Personnel Management on training and development requirements.
Training and Development Plan
(WMSU-QMO-FR-013)
3.0 Prepare for audits
3.1 Prepares the audit plan. IQA Chairman
Audit Plan (WMSU-QMO-FR-14)
Audit Checklist
(WMSU-QMO-FR-015)
3.2 Approves the audit plan. QMO
3.3 Prepares the audit checklist IQA Team
3.3 Review and approves audit checklist IQA Chairman
/ QMO
3.4 Coordinates audit arrangements with the auditee.
IQA Team
4.0 Conduct Audits
4.1 Gathers audit evidence and evaluates them against the audit requirements.
IQA Team
Audit Checklist (WMSU-QMO-FR-015)
4.2 Reports on audit findings and conclusion. Audit Findings
(WMSU-QMO-FR-016)
4.3 Prepares and implements corrective actions on non-conformities, if any.
Auditee
Request For Action (WMSU-QMO-FR-018)
RFAMonitoring Log (WMSU-QMO-FR-019)
5.0 Review Audit Results and Status
5.1 Conducts follow-up audits, if needed. IQA Team Audit Findings
(WMSU-QMO-FR-016) Audit Report
(WMSU-QMO-FR-017)
5.2 Reviews audit results and status of follow-up audit
QMO / IQA Chairman
5.3 Reviews audit results and status of corrective action.
QMO/Management
Team/Auditee
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 6 of 7
Subject: INTERNAL AUDIT
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
4. Risk Assessment
NO KEY STEPS RISK DESCRIPTION
SE
VE
RIT
Y
OC
CU
RR
EN
CE
DE
TE
CT
ION
RIS
K
PR
IOR
ITIZ
AT
ION
MITIGATION CONTINGENCY
1 Plan Audit Programme The audit programme does not anticipate other immediate audit tasks.
2 2 2 Low Risk The audit programme must be updated depending on the needs of the university.
Updates to the audit programme must be monitored and documented.
2 Manage the Auditor Pool
There are not enough qualified auditors assigned for each process area.
2 2 4 Medium
Risk Conduct trainings for new auditors.
Conduct regular trainings for new auditors with equivalent release time / honoraria.
3 Preparation for Audits The time allotted is limited and does not cover the needed processes for audit.
2 2 4 Medium
Risk
Schedule another audit for the process units based on the remaining items to be audited.
Properly schedule the audit programme to include a reasonable amount of time.
4 Conduct of Audits The auditees are not receptive to the feedback of the auditors.
2 2 2 Low Risk
Conduct a meeting to address the issues and concerns of the auditee (process owners).
The conduct of the meeting must include to address possible issues and concerns during the audit.
5 Review of Audit Results and Status
No equivalent corrective action is created for the nonconformance or potential nonconformance.
2 2 2 Low Risk An equivalent corrective action must be created immediately.
Review all nonconformance and create the equivalent corrective action request with the control number.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-003
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 7 of 7
Subject: INTERNAL AUDIT
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
5. References
5.1. Quality Manual
5.2. WMSU-QMO-PM-002: Risk Management
5.3. WMSU-QMO-PM-004: Control of Nonconforming Products & Services
5.4. WMSU-QMO-PM-005: Corrective Action
5.5. WMSU-QMO-GU-001: Internal Audit Guidelines
5.6. Generic Manual on ISO 9001 Six Mandatory Procedures Government Quality Management Program Citizen-focused
Western Mindanao State University
PROCEDURES MANUAL
CONTROL OF NONCONFORMING PRODUCTS & SERVICES
NAME POSITION SIGNATURE
PREPARED BY: ENGR. AYLENE R. INGKOH Internal Auditor
CHECKED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 2 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 3 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
2. Definitions, Acronyms, and Abbreviations ........................................................................................ 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 5
3. Procedure Details ................................................................................................................................. 6
4. Process Guidelines .............................................................................................................................. 7
5. References ............................................................................................................................................ 9
6. Annexes ................................................................................................................................................. 9
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 4 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
1.1. Purpose
The purpose of this procedure is to ensure that products and service procedures that do not conform to specified requirements are prevented from inadvertent use. If already delivered, appropriate action is effectively implemented and monitored.
1.2. Scope
This procedure is applicable to all products and service procedures produced and offered by Western Mindanao State University, found to be nonconforming in;
Receiving
Handling and Processing
Delivery
Feedback Control
In case of Customer Complaints, procedure for servicing is applicable (rework).
1.3. Responsibilities
Responsibility Description
QMO
Reviews and approves action requests related to handling of non-conforming products and service procedures included in the Quality Manual; also approves the corrective measures to be taken at each unit in the University.
IQA Team
Detects non-conforming products and service procedures ; control and implement corrective action for short-term and long term action planning Evaluate conforming and non-conforming products and service procedures and recommend corrective actions.
Process Owner
Identify non-conformance of products and service procedure; endorse identified non-conforming products and service procedure to the Department Head/Supervisor and then to IQA Team; take and implement corrective action recommended by the Quality Manager.
Department Head / Supervisor
Investigate, review, and validate nonconformities. Also implements corrective action for nonconforming products and services at their respective units and as recommended by the Quality Management Office.
Document Controller
Maintains and control documents related in handling non-conforming products and service procedures.
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Terms Description
Non-conforming products/service procedure
Products or services that do not fulfill requirements. Products may include physical items, as well as reports and other documents prepared and released in conjunction with service delivery of the business processes of Western Mindanao State University.
Initial disposition Action taken to contain the nonconforming product/service and minimize its immediate effect. This may include putting the nonconforming product on hold
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 5 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Terms Description
and setting it assigned, or temporarily discounting service delivery.
Final disposition
Action taken to correct the nonconforming product/service, to make it conform to requirements or otherwise prevent its unintended use or delivery. This may include reworking, regarding, repairing or scrapping of nonconforming products, or redoing the service.
Concession
Permission to use or release a product or deliver a service that does not conform to specified requirements. A concession is generally limited to the delivery of a product that has nonconforming characteristics within specified limits for an agreed time or quantity of that product.
Corrective action Action to eliminate the cause of a detected nonconformity (nonconforming product/service) or other undesirable situation, and prevent recurrence.
Process Owner Identify nonconforming product/service and take appropriate action.
Department Head/Supervisor
Review nonconforming product/service situation and determine how it may be effectively resolved.
Quality Management Officer
Authorize actions involving high levels of risk to the agency.
2.2. Acronyms
RFA Request for Action
IQA Internal Quality Audit
QMO Quality Management Officer
PO Process Owner
NC Non-conformance
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 6 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details Responsible
Person Documented Information
1.0 Identification of non-conforming products and services or potential non-conformities
1.1 Evaluate and validate NC QMO/PO/IQA/
Department Head Request for
Action (RFA) (WMSU-QMO-
FR-018)
1.2 If valid, generate RFA. Otherwise, re-evaluate NC source. 1.3 Submit RFA to Quality Management Office for review.
QMO/IQA/ Department
Head
1.4Approve RFA and generate action plan. 1.4 Log RFA items to RFA master list and update status.
QMO/IQA/ Department
Head
RFA Log (WMSU-QMO-
FR-019)
1.4 Implement action plan based on the RFA details.
QMO/IQA/ PO/
Department Head
RFA Log (WMSU-QMO-
FR-019)
NC Matrix (WMSU-QMO-
FR-021)
1.5 If NC/potential NC has effect on the quality of the products or services, submit RFA to process owner for evaluation. Otherwise, discard RFA and update status in the AR Master List.
QMO/IQA/PO
2.0 Evaluate RFA
2.1 Evaluate and validate RFA.
QMO/IQA
Request for Action (RFA)
(WMSU-QMO-FR-018)
2.2 Identify risk level for NC or potential NC.
2.3 If RFA is valid, proceed to Section 3.0. If invalid, modify RFA, repeat Section 1.1.
3.0 Assign NC corrections/corrective action
QMO/IQA/PO
3.1 If minor corrections, immediately replace products and service procedure. If major corrections, do risk analysis.
PO/ Department Head/QMO
WMSU-QMO-FR-022
NC Matrix
(WMSU-QMO-FR-021)
3.2. Implement major corrections and action plan from risk assessment plan.
PO/ Department Head/QMO
WMSU-QMO-FR-022
4.0 Acknowledge RFA and implement corrective measures
4.1 Determine the root/potential cause(s) of the NC identified.
PO/
Department Head
Request for Action (RFA)
(WMSU-QMO-FR-018)
4.2 Implement and document action plan. • If mitigating/immediate action
taken is insufficient to resolve the NC, then implement permanent corrective plan.
• If action taken is a short-term, then implement it as
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 7 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
mitigating/immediate action. • If action taken is for
permanent and long-term, then implement the permanent corrective/preventive action.
4.3 Submit RFA to responsible Dept. Head for verification.
5.0 Verify implemented action plan
5.1 Check if NC or potential NC is eliminated or prevented from occurrence, if yes, proceed to Section 5.2. If no, submit RFA to process owner for reevaluation. Repeat Section 2.0.
Department Head/
Process Owner
Request for Action (RFA)
(WMSU-QMO-FR-018)
5.2 Assess if implemented action is sufficient and acceptable, if yes, submit RFA to Management for validation. If no, return RFA to process owner for re-evaluation. Repeat Section 2.0.
6.0 Validate RFA
5.1 Review the document.
Department Head / QMO
Request for Action (RFA) (WMSU-QMO-
FR-018)
5.2 If action taken is effective, approve document. If ineffective, return RFA to QMO and Responsible Dept. Head for verification. Repeat Section 5.0.
4. Process Guidelines
a. Identifying Nonconforming Products and Service Procedure
1. Nonconforming products and service procedure may be detected by process owners with acknowledgement of the department head as they perform their functions, though observation, monitoring, inspection, verification and review. Sources of NC identification may come from; 1. Internal Audit Results 2. Customer Complaints & Feedback 3. Management Review Findings 4. External Reviews 5. Process Evaluation and Measurements 6. Targets VS Accomplishment Reports 7. Relevant QMS Documents and Records
2. When non-conforming products and service procedure are detected, they shall be evaluated against
requirements defined in applicable operating procedures, process guidelines, product and service procedure guidelines, or quality plans.
b. Determining and Applying Initial Disposition
1. Initial disposition is meant to contain the problem so that no additional nonconforming products and
service procedures are produced and delivered, and/ or prevent the already nonconforming products and service procedure from worsening.
2. The Control of Nonconformity Matrix outlines the initial specific actions which need to be taken and by whom. Actions may include the following;
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 8 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
i. Tagging or marking the product to identify it as nonconforming. ii. Segregating the product and storing it in a location designated for nonconforming products,
to prevent it from being mixed with conforming product. iii. Providing special treatment or handling of the product, to prevent it from further
deterioration. iv. Retrieving or withdrawing the nonconforming product from the customer. v. Temporarily discontinuing the nonconforming service.
3. When the nonconforming products and service procedure is detected just prior to delivery to the
customer/citizen or at any time thereafter, the customer/citizen shall be informed of the nonconforming products and service procedure.
c. Determining and Applying Final Disposition
1. Final Disposition is meant to correct the problem so that the products and service procedure is made to
conform to requirements, or if it cannot be made to conform, is prevented from unintended use or delivery.
2. The Control of Nonconformity Matrix outlines the initial specific actions which need to be taken and by
whom. Actions may include the following;
i. Re-work – action on a product to make it conform to requirements. ii. Re-grade – alteration of the grade of a nonconforming product in order to make it conform
to requirements differing from the initial ones. iii. Repair – action on a nonconforming product to make it acceptable for the intended use. iv. Scrap – action on a nonconforming product to preclude its originally intended use. This
may include recycling or destruction. v. Concession – obtaining permission (from the Quality Manager, Department Head,
President and/or the customer) to use or release a product that does not conform to specified requirements.
vi. Re-evaluation/re-testing to demonstrate conformity to specifications (after repair, regarde, or rework).
vii. Adjusting an ongoing service. viii. Restarting a service that has been temporarily discontinued. ix. Redirecting to other services or service providers.
3. Final disposition may require the approval of the Quality Manager/Department Head and/or the
President depending on the gravity of the situation and its cost implications.
d. Applying Corrective Action
1. Further action shall be undertaken to prevent recurrence of the problem, when;
i. The nonconforming products and service procedure is identified via Internal Audit Results,
Customer Complaints & Feedback, Management Review Findings, External Reviews, Process Evaluation and Measurements, and Targets VS Accomplishment Reports.
ii. Monitoring shows that nonconforming products and service procedure are recurring. iii. The frequency and extent of nonconforming product and service procedure are increasing. iv. Correction requires that the nonconforming product be reworked or replaced, or for the
service to be restarted or redirected, incurring significant cost in time and resources. v. The nonconforming product and service procedure represents legal implications to the
organization, the customer/citizen, or both.
2. Further action shall be subject to the Corrective Action procedure.
e. Provisions for detecting and correcting nonconforming product and service procedure shall be planned and outlined in the Control of Nonconformity Matrix. The plan links with controls built into the operating processes, as documented in the operating procedures, process guidelines, and product and service guidelines. The nature of nonconforming product and service procedure and subsequent actions taken shall be captured in process and product monitoring records. The plan shall be periodically reviewed for adequacy and effectiveness.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-004
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Performance Evaluation Page No.: 9 of 9
Subject: Control of Nonconforming Products/Services
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
5. References
5.1. Quality Manual
5.2. Related Work Instructions
5.3. Internal Quality Audit Work Procedure
5.4. Process Guidelines
5.5. Control of Non-conformity Matrix
5.6. Generic Manual on ISO 9001 Six Mandatory Procedures
Government Quality Management Program Citizen-focused
6. Annexes
6.1. WMSU-QMO-FR-018
6.2. WMSU-QMO-FR-019
6.3. WMSU-QMO-FR-020
6.4. WMSU-QMO-FR-021
6.5. WMSU-QMO-FR-022
Western Mindanao State University
PROCEDURES MANUAL
CORRECTIVE ACTION
NAME POSITION SIGNATURE
PREPARED BY: ENGR. MARLON C. GRANDE Internal Auditor
REVIEWED BY: DR. MARIO R. OBRA JR. Quality Management Officer
APPROVED BY: DR. MILABEL ENRIQUEZ HO University President
“This document is confidential to Western Mindanao State University. The information contained herein is not to be distributed or revealed or disseminated within or outside the university or to any other party without the prior expressed consent and written permission of Western Mindanao State University.”
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 2 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Revision History
Date Rev No.
Details of Change Owner
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 3 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
Table of Contents
1. Introduction ........................................................................................................................................... 4
1.1. Purpose ............................................................................................................................................ 4
1.2. Scope ............................................................................................................................................... 4
1.3. Responsibilities ................................................................................................................................ 4
2. Definitions and Acronyms ................................................................................................................... 4
2.1. Definitions ........................................................................................................................................ 4
2.2. Acronyms ......................................................................................................................................... 5
3. Procedure Details ................................................................................................................................. 6
4. Forms .................................................................................................................................................... 7 5. References .......................................................................................................................................... 11
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 4 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
1. Introduction
1.1. Purpose
The purpose of this procedure is to ensure that causes of detected nonconformities are eliminated in order to prevent recurrence.
1.2. Scope
This procedure applies to nonconformities found in the implementation of the quality management system.
1.3. Responsibilities
Responsibility Description
QMO
Reviews and approves action requests related to handling of non-conforming products/service procedures included in the Quality Manual; also approves the corrective measures to be taken at each unit in the University.
IQA Team Detects non-conforming products/service procedures ; control and monitor corrective action for short-term and long term action planning
IQA Chairman Plans and manages the audit programme; coordinates the programme with the audit client and the QMO
IQA Team Leader Plans and manages audits assigned to him; coordinates audit plans with the auditee. Conducts audits assign to him/her.
IQA Team Member Conducts audits assigned to him/her.
Auditee Provides audit evidence to the IQA team; responds to audit findings as needed.
IQA Chairman Plans and manages the audit programme; coordinates the programme with the audit client and the QMO
Process Owner Identify non-conformance of products/service procedure; endorse identified non-conforming procedure to IQA; take and implement corrective action recommended by the Quality Manager.
Other NC initiators Includes other sources of information for corrective action consideration (e.g. President, Process Head/Supervisor)
Document Controller
Ensures that the controls provided in this procedure are effectively implemented throughout the university. Manage and maintains document pertaining to control of NC products/service procedure in Western Mindanao State University.
Unit Document Controller
Ensures that the controls provided in this procedure are effectively implemented in his/her unit. Manage and maintains document pertaining to control of NC products/service procedure in his/her unit.
2. Definitions, Acronyms, and Abbreviations
2.1. Definitions
Terms Description
Non-conforming products/service procedure
Products or services that do not fulfill requirements. Products may include physical items, as well as reports and other documents prepared and released in conjunction with service delivery of the business processes of Western Mindanao State University.
Initial disposition Action taken to contain the nonconforming product/service and minimize its immediate effect. This may include putting the nonconforming product on hold
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 5 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
and setting it assigned, or temporarily discounting service delivery.
Final disposition
Action taken to correct the nonconforming product/service, to make it conform to requirements or otherwise prevent its unintended use or delivery. This may include reworking, regarding, repairing or scrapping of nonconforming products, or redoing the service.
Concession
Permission to use or release a product or deliver a service that does not conform to specified requirements. A concession is generally limited to the delivery of a product that has nonconforming characteristics within specified limits for an agreed time or quantity of that product.
Corrective action Action to eliminate the cause of a detected nonconformity (nonconforming product/service) or other undesirable situation, and prevent recurrence.
Process Owner Identify nonconforming product/service and take appropriate action.
Department Head/Supervisor
Review nonconforming product/service situation and determine how it may be effectively resolved.
Quality Management Officer
Authorize actions involving high levels of risk to the agency.
2.2.Acronyms
DC Document Controller
UDC Unit Document Controller
RFA Request for Action
RFAL Request for Action Log
QMO Quality Management Officer
PO Process Owner
POH Process Owner Head
IQA Internal Quality Audit
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 6 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
3. Procedure Details
Activity Details
Responsible Person
Documented Information
1.0 Review nonconformity
1.1 Receives and reviews the Request for Action
Process Owner
Request for Action (WMSU-QMO-FR-018)
1.2 Identifies concerned staff who will be involved in corrective action
Process Owner Head
2.0 Determine the cause of nonconformity
Conducts root cause analysis Unit
Document Controller
Request for Action (WMSU-QMO-FR-018)
3.0 Evaluate the need for action to prevent recurrence
Assesses the risks associated with a recurrence of
the nonconformity
Process Owner
Request for Action (WMSU-QMO-FR-018)
4.0 Determine and implement the action needed
4.1 Develops, plans and recommends corrective
actions
Process Owner/Proce
ss Owner Head
QMO/IQA
Process Owner
Request for Action (WMSU-QMO-FR-018)
4.2 Approves corrective actions
4.3 Implements corrective actions
5.0Review corrective action taken
Reviews the implementation status and evaluates
the effectiveness of corrective actions
Process Owner / IQA
Team / QMO
Request for Action (WMSU-QMO-FR-018)
RFA Log
(WMSU-QMO-FR-019.00)
Start
1.Review nonconformity
2. Determine the cause of nonconformity
3.Evaluate the need for action toprevent
recurrence
4. Determine and implement the action
needed
5. Review corrective action taken
End
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 7 of 11
Subject: CORRECTIVE ACTION
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Guidelines
a.) The corrective action procedure shall be triggered by Request for Action from other processes/procedures in response to identified nonconformities from:
1. internal quality audits
2. customer/citizen complaints (from the complaint handling process) 3. outputs from management review 4. qualified nonconforming products/services (from Control of Nonconforming Product/Service) 5. relevant QMS documents and records 6. objectives, targets and programs not met or not done as planned 4. poor business performance results and acceptable deviations from the organization’s programs
and plans (from management reviews)
b.) Review of Nonconformity
1. The initial review of the Request for Action (WMSU-QMO-FR-011) shall consider:
i.The extent and impact of the reported nonconformity. ii.The processes contributing to and affected by the reported nonconformity
2. The IQA Team together with Process Owner Head (POH) shall identify concerned personnel who need to be involved in corrective action. This may extend to personnel outside his/her own Unit; coordination with the other concerned Units should be established.
c.) Determining the Cause of Nonconformity
1. Root cause analysis shall consider the different factors contributing to the nonconformity, including:
i.Manpower – personnel competencies and their ability to consistently perform their functions as required. ii.Machine – the availability of appropriate tools, equipment and facilities to enable effective operations. iii.Methods – the availability and consistent application of appropriate procedures, guidelines and standards iv. Materials – the availability of the needed materials and supplies to enable effective operations.
2. Where several root causes are identified, they shall be prioritized relative to their contribution to the nonconformity
d.) Evaluating the Need for Corrective Action
1. Risk assessment shall determine the significance of the nonconformity, considering the following:
i.the likelihood of recurrence of the nonconformity ii.the severity impact of the nonconformity to the organization (and to customers and others) should it recur.
2. Likelihood can be evaluated in terms of “low”,”medium”,”high”, e.g. the possibility of recurrence is “Low”. Severity can likewise be evaluated in terms “low”,”medium”,”high”, e.g. the impact to the agency is expected to be “Low”.
3. The risk level can be determined by evaluating likelihood and severity together, using a Abasic Significance Table for assessing risk is shown below:
Likelihood of Recurrence
Low Medium High
Seve
rity
o
f
Imp
act Low 1 2 4
Medium 3 5 7
High 6 8 9
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 8 of 11
Subject: CORRECTIVE ACTION
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4. Using the Significance Table, for example, nonconformity with a likelihood of “High” will be rated “9”. Nonconformities with a rating of 4 and above are considered significant, and shall be subjected to corrective action. Corrections may suffice for nonconformities with a rating of 3 and below.
e.) Determining and Implementing Corrective Action
1. Planning of corrective actions (solutions) shall involve the following: i. generation of alternative solutions ii. the selection of the best solution (from the alternatives) iii. the identification of activities
2. Corrective actions (solutions) shall be approved by the Process Owner. Corrective actions involving multiple units may require higher-level approval (e.g. from the QMO, President, IQA team) before implementation.
f.) Reviewing the Status of Corrective Action
1. The implementation status and effectiveness of corrective actions shall be periodically reviewed
and evaluated by the concerned Process Owner; any related issues shall be promptly addressed.
2. Corrective actions shall be collectively reviewed by the IQA team (under management review). Depending on the nature of the solution n and the associated nonconformity, monitoring and review shall continue for at least 6 months after implementation, after which the corrective action shall be deemed completed.
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 9 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
4. Forms and Formats
1. CORRECTIVE ACTION STATUS REPORT
Form No. : WMSU-QMO-FR-014
DD-MM-YYYY Rev. No. 0001
SN No. Nonconformity Root Cause Corrective Action Target Date Status
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 10 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped
CONTROLLED copy by the WMSU Quality Management Office.
Table 1 – Responsibilities and Authorities in Implementing Corrective Action
Sources of information
for corrective action consideration
NC INITIATOR
(Designated Function)
ACKNOWLEDGE
NONCONFORMITY
INVESTIGATE CAUSE
& RECOMMEND CORRECTIVE ACTION
REVIEW/APPROVE
CORRECTIVE ACTION
IMPLEMENT
CORRECTIVE ACTION
FOLLOW-UP CORRECTIVE
ACTION
Internal Audit findings
Auditor Auditee/Process Owner Auditee/Process Owner POH Auditee/Process Owner Auditor
Complaints from customers
QMO POH Concerned Personnel POH Concerned Personnel QMO
Outputs from management review
University President QMO Concerned Personnel QMO Concerned Personnel QMO
System nonconformities which are not covered by internal audit
POH Concerned Personnel Concerned Personnel POH Concerned Personnel POH
Relevant QMS Documents and Records
POH Concerned Personnel Concerned Personnel POH Concerned Personnel POH
Process Measurements
POH Concerned Personnel Concerned Personnel POH Concerned Personnel POH
Objectives, targets and programs not met or not done as planned
POH Concerned Personnel Concerned Personnel POH Concerned Personnel POH
Western Mindanao State University Doc. No.: WMSU-QMO-PM-005
Rev. No.: 00
PROCEDURES MANUAL Effective Date: 31-OCT-2016
Section: Improvement Page No.: 11 of 11
Subject: CORRECTIVE ACTION
This online document is for reference use only, unless this document is stamped CONTROLLED copy by the WMSU Quality Management Office.
5. References
5.1. Quality Manual
5.2. WMSU-QMO-PM-003: Internal Audit
5.3. WMSU-QMO-PM-005: Control of Nonconforming Products & Services
5.4. WMSU-QMO-GU-001: Internal Audit Guideline
5.5 Generic Manual on ISO 9001 Six Mandatory Procedures Government Quality Management Program Citizen-focused