Missing Documents and Records - What should I do?

J

j3p101

#1
hi i would just like to seek your opinion on what to do if hard copies of non conformances are lost. the function as a DDC was transferred to me and i found out that a lot of reports are missing including non-conformances. also, some reports bears incomplete information like corrective/preventive actions, some non-conformances have no follow up reports from which non-conformances are not closed for a long period. hopefully you could assist me. thank you in advance.
 
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#3
j3p101 said:
the function as a DDC was transferred to me and i found out that a lot of reports are missing including non-conformances. also, some reports bears incomplete information like corrective/preventive actions, some non-conformances have no follow up reports from which non-conformances are not closed for a long period.
I agree with Harry. You found a problem, and it should be dealt with using the ordinary tools to your disposal: Turn it into one or several corrective actions.

/Claes
 
J

j3p101

#4
but my dilemma is that this finding was already called by external auditor last year and subject for follow-up this year. the previous person handling DDC already have her corrective/preventive but did not worked and was not properly monitored. the recent conducted internal audit still have the same problem. in this case would i be expecting a non-conformace come next external audit because of the recurrence whether i fix the problem or not. thank you for assisting im new to ISO and your views helps a lot. thanks
 
G

Greg B

#5
j3p101 said:
but my dilemma is that this finding was already called by external auditor last year and subject for follow-up this year. the previous person handling DDC already have her corrective/preventive but did not worked and was not properly monitored. the recent conducted internal audit still have the same problem. in this case would i be expecting a non-conformace come next external audit because of the recurrence whether i fix the problem or not. thank you for assisting im new to ISO and your views helps a lot. thanks
If the records were NOT located and you have conducted a Corrective or Peventative Action on this and NO further NCs have gone missing, in that time, then you have suitable evidence to show the auditor. You have:
1: Identified a problem (the missing NCs)
2: Corrected the problem (no further recurrence)

I cannot tell you what your auditor weill do but if it was me and you had fixed it i would not rasie an NC. I would be talking to your management team though about the tardiness of the fix.
 

harry

Super Moderator
#6
I agree with Greg. To improve your chances further and also to show commitment, somebody higher up such as your QMR should undertake to carry out monthly monitoring of this particular item. In that manner, the auditor should give you the benefit of doubt and not give you a 'major'.

By the way, you mentioned that you are the DDC (document controller?). Where is your QMR and what is his/her input. This problem belongs to the QMR.
 
F

favqty

#7
harry said:
I agree with Greg. To improve your chances further and also to show commitment, somebody higher up such as your QMR should undertake to carry out monthly monitoring of this particular item. In that manner, the auditor should give you the benefit of doubt and not give you a 'major'.

By the way, you mentioned that you are the DDC (document controller?). Where is your QMR and what is his/her input. This problem belongs to the QMR.
Humm, the real problem is your QMS. It is not working at all. I am very sorry to be this straight but you must to get down to the earth and make a call for Managment review or at least your QMR get in to the kitchen. :caution:

It will be not easy task to do. You must be very polite but clear and try to get every one involved. Are your running internal audits?, When will be the next one?. It is the best shield you have now to bring this problem to your QMR. :evidence:

I hope my coments help you. :cool:
 
L

Laura M

#8
So the corrective action taken following the last external audit was determined by your internal functions not to be effective. You need to draw attention to higher management prior to your next external audit, including discussion at a management review meeting. Note that the ISO requiment of management reviewing a summary of corrective actions. An ineffective corrective action, especially to a 3rd party audit should get attention at that level.
 
J

j3p101

#9
thanks for all your suggestions. ill take your advice to meet up with the qmr and discuss this problem. hopefully everything turns out well.
 

gpainter

Quite Involved in Discussions
#10
Be honest and show them that since you have taken over you can account for everything. Or you could give them papers that say "this page left intentionally blank" :D If you do the first thing, I do not believe that you will have any trouble.
 
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