Auditing the Engineering Project/CAPEX process

Did you review the procedure for control of quality records before doing this audit to see what provisions there are for back up/retention? If not, make sure it's on your checklist next time as that will avoid a repeat of this situation of "after the fact auditing"...

 

Further to Andy's point, is there anything in place that describes how folders are handled (i.e., for live projects, for closed projects, etc.). If this folder contains information vital to the project, its loss could pose significant risk to the organization (e.g, project delays, increased costs, rework, loss of traceability in changes and approvals, etc.).

Is there some form of back-up?

Is there some way to consider reducing the risks associated with possible loss/damage to the folder?

Is there a sign-out process to indicate WHO has the folder or WHERE it can be easily located?

These are types of questions that could be addressed in a 'control of records' process.

I work in community healthcare. A client's chart is vitally important to what we do and what we've done. It's the story of care, is a college requirement, and can be used in legal settings. For our electronic records, we are able to see who has 'touched' the file - a way to help any issues regarding breaches of personal health information. For our hard copies - both on-site and those stored in a secured, off-site location - there are processes in place to show who has checked out a patient chart, when and why. These processes help us reduce the possibility of a lost chart.