The effective implementation of retained records control process was not properly demonstrated (ISO

Clause 7.5.2):

Problem Answer
1. No updated masterlist for 2018 The available masterlist presented at the
time of the audit was the masterlist of
records from previous department order.
2. Controlled copy of the masterlist document is The controlled masterlist of records are
not available being kept by the document controller
3. Where is the document controller The document controller is not available
at the time of the audit.
4. Why is the document controller not available? The document controller is also an
auditee at the time of the audit, hence he
cannot be disturbed
5. If the DC is not available and cannot be To show compliance, the auditee
disturbed, what is the immediate action? presented an uncontrolled copy of the
masterlist.

There was a lapse in the implementation of Process Performance Monitoring and Measurement process.
There was no Monitoring and Measurement carried out from January to March 2018 (ISO Clause 9.1.1)

1. Why is there no PPMM for the period January The PPMM presented to the auditor at
2018 to March 2018? the time of the audit was not updated.
2. Why is the PPMM not updated? the basis for the measurement of the
performance is the monitoring log sheet
3. Is monitoring log sheet available? The monitoring logsheet is available and
presented to the auditor at the time of
the audit but did not satisfy the
data/information needed by the auditor
4. what are the data needed in the monitoring the current monitoring logsheet does not
logsheet? indicate the date and time application
was received and order or payment was
released to the client; it cannot give
correct measurement as to the process
cycle time

Corrective action: request for the revision of the monitoring logsheet from the regional document
controller to effectively measure and monitor the process performance.

Group 8: