ISO9001:2008 STAGEONE(PRECERTIFICATION)AUDITREPORT MASINDEMULIROUNIVERSITYOFSCIENCEAND TECHNOLOGY(MMUST)

AUDITNO.QMS/188/01/2012

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StageOneAuditReportforMMUST

TABLEOFCONTENTS
1.0 2.0 3.0 4.0

Introduction....................................................................................................3 AuditSummary................................................................................................3 Detailedreport................................................................................................4 Conclusion.......................................................................................................11

Documentationreviewreport AuditTimetable Openingandclosingmeetingattendanceregisters

Appendix1: Appendix2: Attached:

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StageOneAuditReportforMMUST The ISO 9001:2008 stage one audit for the Masinde Muliro University of Science and Technology University College was carried out on 23rd and 24th July 2012 at the organizations premises in Kakamega. The scope of the audit was the management representatives offices, the Key process andsomesupportprocessesselectedatrandomasindicatedinthetimetableinAppendix2.

Theauditcriteria/basiswasISO9001:2008standardandtheorganizationsQMSdocumentationas wellasapplicablestatutoryandregulatoryservices.

The objective of the audit was to determine if a quality management system has been established and is being implemented at the organization for the purposes of confirming readiness for the certification (stage 2) audit. The audit included a detailed documentation review whose report is attachedasAppendix1.

Theauditwascarriedoutby: CarolineOuta(CO) IsabellaLunani(IL)

auditteamleader auditor

The contact person for the auditee was Professor Makhanu, the Deputy Vice Chancellor, AdministrationandFinance,whoisalsotheManagementrepresentative

2.0

AuditSummary

Duringtheaudittheauditorwasgiventhenecessarycooperationallowingthecollectionofaudit evidenceandtheevaluationofthisevidencetocomeupwiththeauditfindingsandconclusionsin thisreport.

Theauditorsfoundthat: TopManagementiscommittedtothedevelopment,implementationandimprovementof thequalitymanagementsystemasevidencedby: o QualityPolicyhasbeenestablished o Amanagementrepresentativehasbeenappointed o Managementreviewmeetingshavebeenheld o ResourcesfortheQMShavebeenprovided o Awarenesshasbeenraisedamongthestaff,Staffinterviewedwereawareofthe qualitypolicyandhowtheycontributetoitsachievement Documentsareavailableatpointsofuse(thoughseveralofthemarenotwithintherecords oftheMR) Courseallocationsandoutlinesaredoneasrequiredbytheteachingprocedures 2setsofinternalauditshavebeencarriedoutandrecordsmaintained CurriculumdevelopmentattheDepartmentofHealthScienceswasdoneasperprocedure AdequatevirtualresourceshavebeensubscribedtoattheLibrary

Howevertheauditoralsofoundthat: TherearenomeasurablequalityobjectivesacrosstheUniversity TheproceduresestablishedandmaintainedattheMR'sofficedonotindicatethestepsand timelines for the activities described. They answer the question who and what but not how,when,whichandwhere Thereareseveralgapsinthemandatorydocumentswhencomparedwiththerequirements ofthestandard Thereisnoeffectivecomplaintshandlingmechanism Thereisnoclearsystemtoensurethattherequired80%attendancelevelismonitored TheUniversityhasnotprocuredacorporateantivirusanddependsonfreeware ThemedicalexaminationcertificatesforfoodhandlersexpiredinOctober2011 Though audit records were available, there were some deficiencies in the conduct of the auditsasfollows: KEBSCertificationServices,2012 Page3

StageOneAuditReportforMMUST Forallcasessampledrootcauses,correctiveactionsandcorrectionshadbeen recordedbytheauditor. o Insomecases,therootcauseswerenotidentified,yetthecorrectiveactions wererecorded o Datesofcompletionforallsampledauditswasnotindicated o Forseveraloftheaudits,summaryreportshavenotbeenprepared o SomeCorrectiveactionsdonotaddresstherootcausesidentified o ForauditofDVCAAcarriedouton6thJune2012,thereisnorecordofcorrective action,neitherwasfollowupcarriedout FireextinguisherswerelastinspectedinMarch2010 Resourcesforelectricalmaintenanceandmedicalexaminationswerenotprovidedina timelymanner Thoughcustomersatisfactiondataiscollected,insomeareasitisnotbeinganalysedand thereisnoevidenceinsomecasesofactiontakenasaresult o

3.0Detailedreport
3.1 DocumentationReview ThedocumentationreviewreportisattachedtothisreportasAppendix1

3.2

ICT

3.2.1 Positivefindings i) Thewebsitewasupandrunningatthetimeoftheaudit ii) Thecontacttelephonenumberontheuniversityworkproceduresmanualwasconfirmedto be operational and was picked in a timely manner was answered professionally and was accuratelydirected iii) ICTpolicyhasbeenestablishedthoughitisnotyetincirculation iv) User support records are maintained, sampled records indicate that the user support was accomplishedwithinthespecifiedtimeperiod v) EventsloghasbeenestablishedattheICTtologinalltheactivitiesundertakenincludinguser supportrequests,normalmaintenance,etc. vi) Except for challenges with server space limitations, ICT is able to support a soft copy documentationsystem vii) Theautomaticbackupnotificationseenforallsampleddates 3.2.2 Opportunitiesforimprovement i) TheproceduresforICTarestillindraft ii) Thecontactspageonthewebsitewasnotyieldingtherequiredinformation iii) Notalltheusersupportrequestsareloggedintotheeventsloge.g.requestfromScienceand Mathematics education for which a user support request was made on 17th July 2012 but whichisnotintheeventslogandinternetproblemreportedbytheAdmissionsofficeon11th July2012forwhichthereisnohelpdeskformcompleted iv) Theuniversityhasnotprocuredcorporateantivirusandtheonlyonesinusearefreeware downloadedfromtheinternet.Asaresultmanyoftheusersupportproblemsaretodowith viruses v) Theeventslogdoesnotprovideameanstodeterminewhetherthetimeframesenvisagesin theICTpolicyhasbeenachieved(nowayofmonitoring) 3.3 HumanResource 3.3.1 Positives i). Approvedstaffestablishmentfor2008/2009to2012/2013wasavailable. ii). Departmentalstaffestablishmentneedssubmittedannually. KEBSCertificationServices,2012 Page4

StageOneAuditReportforMMUST iii). iv). v). vi). Procedureforstaffrecruitmentandhumanresourcetraininganddevelopmentavailableat pointofuse. Qualitypolicyhasbeendisplayedandprinteddocumentsissuedtostaff. Approvedbudgetforstafftrainingavailable. Datadealtwithinthedepartmentincludesstaffexit,customerfeedbacketc.

3.3.2 OpportunitiesforImprovement i). The procedure on the ground for staff recruitment is not the same as the documented procedureintermsoftimelines. ii). Thedepartmenthas4mainobjectives,howevertheyarenotqualityobjectivesandtheyare notmeasurable. iii). The approved staff establishment for Biological Sciences Department is 60 (2008/2009 to 2011/2012).However,thecurrentstaffis33. iv). The procedure for staff training and development just mentions the responsibilities but it doesnotindicatehowanactivitywillbedone. v). Timelinesintheprocedurearenotadheredto.

3.4

DepartmentofPureandAppliedChemistryteachingprocess

3.4.1 Positives i) CourseallocationmeetingforSemester1forcontinuingstudentssettostartinAugust2012 washeldon14thMay2012 ii) Courseoutlinesforsampledcoursesavailedonrequest.Theoutlinesincludethecourse objective,thelectureschedule iii) Proceduresforthedepartmenthavebeendevelopedandwereavailableatpointsofuse; theproceduresprovideadequatedetailandcanthereforebeusedeffectively 3.4.2 Opportunitiesforimprovement i) Thereisnoprovisionintheprocedureforteachingforapprovalofcourseoutlinesbefore theyaredistributedtothestudents ii) Theformatforcourseoutlinesisnotuniformandsomecourseoutlinese.g.SCH332and423 donotcontainkeyinformation,e.g.assessmentsandreferences iii) Thesystemofrecordingofstudentattendanceoflecturesisnoteffectivetohelpmonitor achievementofatleast25%attendancebyeverystudent.ForSCH320recordsavailableare onlyfor27thSeptember2011 iv) TheredoesnotseemtobeanydocumentdistributioncontrolsfortheLaboratoryprocedures 3.5 SchoolofHealthSciencesCurriculumDevelopment 3.5.1 Positives i). ThecurriculumforBScnursinghadbeenapprovedbytheNursingCouncil(letterofapproval fromtheNursingcouncildated25thJune2009). ii). Thereisevidencethatallcoursesareallocated. iii). The procedure for development, review and approval of academic programmes was available. iv). Qualitypolicyhasbeencommunicatedtostaff. 3.5.2 OpportunitiesforImprovement i). Therearenotimelinesintheprocedure. ii). The department of Nursing has another procedure which has not been referred to in the mainprocedureforprogrammedevelopmentandreview. iii). TherewerenoqualityobjectivesintheSchool. iv). Thedepartmentofnursinghasobjectivesbuttheyarenotqualityobjectives. KEBSCertificationServices,2012 Page5

StageOneAuditReportforMMUST v). Recordsarenotproperlymaintained. FacultyofEducationDepartmentofBusinessManagementTeaching Positives ApprovedcurriculumforBBMavailable. Courseoutlinesformanagerialstatistics(BBM318),financiallaw(BBM335)wereavailable. TherewasevidencethatCATSareadministered. Datacollectedisoncourseevaluationsbystudents.Reportfor2011wasavailable. OpportunitiesforImprovement CourseallocationforthesemesterbeginningmidAugust2012hasnotbeendoneby22ndJuly 2012.Theproceduresaysitshouldbedone1monthbefore. CoursecodeFLB405Labourlawsisnotavailableintheapprovedcurriculum. Clause6.2.1oftheprocedureisnotimplemented. TheproceduredoesnotindicatewhenCATSshouldbeadministered. Theproceduredoesnotdetailhowactivitiesaretobedone. Thedepartmentdoesnothavequalityobjectives,whatisavailableisthebalancedscorecard with5perspectives. Theexaminationscriptsarekeptintheheadofdepartmentsoffice,howevernosecurityfor thesame. Security Positives Therewasevidencethatsecuritycasesareinvestigatedassoonastheyarereported. Securityneedssurveyandfiresurveydonetwiceinayear. Proceduresavailableatpointofuse. Securityrecordsaremaintained. QualityobjectivesincludetoconductpromptinvestigationsofallcasesatMMUSTforasafe learningenvironment. Qualitypolicyhasbeencommunicatedtostaffinthedepartment.

3.6 3.6.1 i). ii). iii). iv). 3.6.2 i). ii). iii). iv). v). vi). vii).

3.7 3.7.1 i). ii). iii). iv). v).

vi). 3.7.2 OpportunitiesforImprovement

None

3.8
3.8.1 i) ii) iii) iv)

Managementrepresentativesoffice/Internalaudits

Positives InternalauditscheduleandnoticeforJune2012auditsavailedonrequest Alltheauditorssampledwereindependentoftheactivityaudited Allsampledauditsrequestedwereavailed(i.e.easilyretrievable) Internalauditreportssampledincluderecordsofopeningandclosingmeetings,checklists, findingsandCARs v) Auditofqualityassuranceunitcarriedouton5thJune2012waswelldone:NCs,rootcauses andcorrectionandcorrectiveactionsproperlyidentified(exceptforCAR4recordedbelow) vi) FollowuprecordsforJune2012auditsareavailableinmostcases

3.8.2 Opportunitiesforimprovement i) TherequirementfortheCARraisedatCateringmeetingsforauditcarriedouton5thJune 2012hasnotbeenrecorded;CARNo.2ofthesameauditdoesnothavethecorrectiveaction recorded

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StageOneAuditReportforMMUST ii) Forbothauditsofcateringservices(i.e.meetingsandStudents)therootcauses,corrective actionsandcorrectionshavebeenrecordedbytheauditor.Thesameistrueforallthecases sampled iii) ForCARNo.4raisedatQAUon5thJune2012,therootcausewasnotidentified,yetthe correctiveactionwasrecorded iv) Datesofcompletionforsampledauditsnotindicated v) Forseveraloftheaudits,summaryreportshavenotbeenprepared vi) CorrectiveactionforCARNo.1raisedatLibraryservicesdoesnotaddresstherootcause identified vii) ForauditofDVCAAcarriedouton6thJune2012,thereisnorecordofcorrectiveaction, neitherwasfollowupcarriedout BungomaCampus Positives Nominalrollsaresignedatthebeginningofeverysemester. Studentrecordsarewellmaintained. Qualitypolicyhasbeencommunicatedtostaff. Thelectureroomsarewellventilatedandhaveadequatelighting. Thecomputerlaboratoryiswellequippedandhasadequateventilationandlighting. Therewasevidencethatlibraryusersareregisteredaspertheprocedure.Registrationbook wasavailedonrequest. vii). Ventilationandlightinginthelibraryareadequate. viii). Procedureisadheredto. ix). Dataon;frequentlyborrowedbooks,entranceandreadersarecollected. x). Booksontheshelvesarecatalogued OpportunitiesforImprovement i). Theprocedureforlibrarycirculationservicesisnotapproved. ii). TherearenoqualityobjectivesatBungomaCampus. 3.9.1 i). ii). iii). iv). v). vi).

3.9

3.10 LibraryServices
3.10.1 i) ii) iii) Positivefindings Departmentalproceduresareavailableatpointsofuse ThereisnoformalsystemfordistributionofQMSdocuments Conditionofthelibraryserverroom: a. Accesscontrolfortheserverroomatthelibraryadequate b. Temperaturecontrolinbuiltinserverandsonoexternalcontrolneverthelessthe serverisduetomoveinaugust2012tothemainserverroom c. Backupdoneonsiteandoffsite d. Dailybackupisautomaticallydonebyserverwhileexternalbackupisweekly e. Anopensourceantivirushasbeeninstalled iv) Adequatevirtualresourceshavebeensubscribedto v) TheLibraryBookDevelopmentpolicy(proposal)availedonrequest(thoughitisnot identifiedasCDP) vi) Thetimetakenforaccessioningandcataloguingsampledbookswasapproximately2weeks vii) StaffinBibliographicssectionisawareofthequalitypolicyandhowsheaffectsits achievement viii) Adequateresourceshavebeenprovidedforthebindery ix) Overduepaymentrecordsprovidedonrequest x) Customerfeedbacksurveyhasbeendoneandtheresultsanalysed

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StageOneAuditReportforMMUST 3.10.2 Opportunitiesforimprovement i) Nearestfireextinguishertothecurrentserverroomiswaterbased ii) Thetwobackupdisksforonsiteandoffsitebackuprespectivelyhavethesameidentification iii) ThereisnoevidenceofapprovaloftheCDP iv) Noqualityobjectivehasbeensetfortheaccessionandcataloguingprocess v) CustomercomplaintslogsnotavailableattheLibrary vi) Theresultsofthecustomersatisfactionsurveycompletedon23rdApril2012areyettobe actedupon.Inadditionthetypedsummarywasdoneon2ndJuly2012 vii) Thereisnoevidencethatthefeedbackrecordedonfolio209offileMMU/COR:514013was addressed

3.11 Hostels
3.11.1 Positivefindings i) QMSdocumentsforthehostelssectionareavailableatpointofuse ii) RecordrecordedinthemaintenancerequisitionsfileasFolionumbers148onlockforroom 024reportedon1stMarch2012wasfollowedupandfoundinhall2studentsmaintenance reportbookandisindicatedasdone iii) Questionnaireforcustomerfeedbackhasbeendevelopedbutisyettobeused iv) Hostelsstaffspokentoisawareofthequalitypolicyandhowshecontributestoits achievement v) RoominglistfirHall2availedonrequest vi) StudentsspokeninHall2toaresatisfiedwiththeresourcesprovidedaswellasthespeedof responsetoreportedmaintenanceissues vii) Thewashroomsofhall2inspectedarerelativelycleanandhavefreeflowingwater viii) Hostelcleaninginspectionrecordsavailedonrequestandaredulycompletedtwiceaweek. Anydiscrepanciesarenotedandfollowedup

3.11.2 Opportunitiesforimprovement i) NoneofthesampledroomallocationformsforKotechahostelarecongruentwiththe roominglistsforthehostel ii) Customerfeedbackdatafromthesuggestionboxeshasneitherbeencollectednoranalysed iii) Thereisnocomplaintshandlingmechanisminplaceatthehostels iv) Kotechahostelconstitutesabulkofthemaintenancecomplaintsreceivedbytheuniversity v) Lightingproblemreportedforrooms33to35wasreportedon20thJuly2012andisyettobe addressed.Onfollowuptherecordatmaintenanceindicatesthatthematerialsareoutof stockandthattherepairwillbedonewhenthematerialsarereceived.Itisnotclearwhen thiswillbe. vi) Severalofthependingmaintenanceissuesaretodowithfluorescenttubesandhavenot beenaddressed,theoldestreportisfor11thJuly2012 vii) Therecordofrepairoflightingproblemreportedforrooms29to34reportedon2ndJuly 2012hasnotbeenmaintained

3.12 3.12.1 i). ii). iii). iv). v). 3.12.2 CateringStudentCatering Positives Dataoncustomersatisfactioncollected. Procedureforcleaningandmaintenanceofcateringareasavailableatpointofuse. Thekitchenisgenerallyclean. Themainfoodstoreisingoodcondition. Thereisadequateventilationandlighting. OpportunitiesforImprovement Page8

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StageOneAuditReportforMMUST i). ii). Dataanalysisisnotdone. Certificates of medical examination for all staff expired either in October 2011 or February 2012. Some have never undergone a medical examination i.e. Deborah Kerina and Ann Timonah. Cutting/preparation surfaces in the kitchen are not smooth. It was observed that same surfaceisusedforpreparation/cuttingofmeatandvegetables. Thecoldroomisnotproperlyfunctioning. Fireextinguishershavenotbeeninspectedsinceyear2010. Somecooks/staffdidnothaveheadgears.

iii). iv). v). vi).

3.13 TopManagement
3.13.1 Positivefindings i) Communicationoftheimportanceofmeetingcustomerrequirementsisdonethrough meetingswithinthedivisionsandatSenatee.g.minutesofsenate6thJune2012and16th May2012;DeansCommitteemeetingof15thMayalsodiscussedtheQMSasmin5926 ii) ThereisaweeklyMMUSTqualitymilestonespublicationthatcommunicatesontheQMS; issues1to3seen iii) QualityrepresentativesineachdepartmentmandatedfromthequalityAssuranceUnit iv) Complaintshandlingdoneacrosstheuniversitythroughinformationreceivedfromthe suggestionboxesplacedatstrategicpointswithintheuniversityandtabledattheweekly managementmeeting.ThereisalsoacomplaintslogattheVCsoffice.AlsothroughMMUST radio v) Aservicechartercommitmenthasbeenestablishedtorespondtocomplaintswithin7days vi) QualityPolicyhasbeenestablishedandhasbeencommunicatedthroughthemeetingsand seminarmentionedabove vii)JDsdefinedandcommunicatedtoeachstaffmember.ForChairmenofDepartment,as seminarisheldatleastonceeveryyeartosensitizeonroles.Rolesandresponsibilitiesare alsoincludedasclause7oftheQualityAssurancePolicy viii) MRhasdulybeenappointedvideletterdated4thNovember2011andsignedbythe Vicechancellor.ThedetailsresponsibilitiesarecongruentwiththerequirementsofISO 9001:2008 ix) BudgetaryallocationhasbeenmadeforthedevelopmentandcertificationoftheQMS. KES1,000,000hasbeenapprovedforthecurrentperiod x) Minutesofmanagementreviewheldon9thMarchand18thJune2012availedonrequest. TheagendaandcontentofthelatterreviewisconsistentwiththerequirementsofISO9001 clause5.6.2 xi) OnrecognitionofEngineeringcourses,thecurriculumprogrammeswerefromMoiUniversity andthusMMUSTaccreditedbyMoiUniversity.ThecurriculumbelongedtoMoiUniversity andhadbeenapprovedbyERB.AllthatisrequiredbyERBhasbeenimplemented.Acourt casewasfiledandthematterisabouttobeconcluded.Neverthelesstheuniversityis satisfiedthattheyproduceacompetentengineer. xii) ItwasagreedthattheTopManagementshallsupporttheestablishmentofasoftcopy documentationsystem xiii) Courseevaluationrecordsaremaintainede.g.forBusinessManagementDepartment for20120/2011

3.13.2 Opportunitiesforimprovement i) Therecordsofmanagementreviewdonotincluderecordofanyactionsanddecisions.Itwas thereforenotalwayspossibletodetermine ii) Qualityobjectivesacrosstheuniversityarenotmeasurable iii) Thedocumentcontrolsystemisnotwellestablished

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StageOneAuditReportforMMUST iv) MinutesofSecretariesretreatthatwasusedtocommunicateonimportanceofmeeting customerrequirementswerenoteasilyretrievable v) Resourcesforelectricalrepairshavenotbeenprovided.Severalofthependingmaintenance issuesaretodowithfluorescenttubesandhavenotbeenaddressed,theoldestreportisfor 11thJuly2012andrelatestoLibrarybasement vi) Itisnotclearwhetheranyactionistakenasaresultofthefeedbackfromthecourse evaluations.

3.14 Otherissues
3.14.1 Confirmationofinformationintheapplicationdocuments i) Confirmationofinformationontheapplicationdocumentsdoneandmissinginformation added 3.14.2 Proposedcertificationscope i) ItwasagreedthattheBungoma,NairobiandWebbycampuseswouldbeincludedwithinthe scopeofcertification. ii) Thecoursesoutsourcestootherinstitutionsarealsoincludedandtheirmonitoringbe includedaspartofstage2 iii) Theproposedscopeofcertificationfortheorganizationis: ProvisionofHigherEducation,Research,ConsultancyandExtensionattheMaincampus,Bungoma andWebuyeCampusesandtheNairobiCentre 3.14.3 Informationonclientlocationandsitespecificconditions It was found that for the applied scope, the client is located in four locations Kakamega, Webuye, BungomaandNairobi. 3.14.4 OtherpreparationsforStage2audit i) Another set of internal audits be carried out taking into consideration the findings of this audit ii) MeasurableQualityobjectivestobeestablished iii) QMSdocumentsbereviewedandupdatedandtoincludethedocumentsmaintainedbythe departmentswhicharenotwithintheMRssystem iv) Aneffectivecomplaintshandlingprocessbeestablished v) Considerationshouldbemadetotheestablishmentofasoftcopydocumentationsystem

4.0

Conclusion

It is the opinion of the auditors that a quality management system has been established at the MasindeMuliroUniversityofScienceandTechnologyandisbeingimplementedtoalargeextent. Thelistedaboveneedtobecarriedbeforethestage2audit Oncetheseactivitiesand otherissues raisedin thisreportareundertaken,a stage2auditmaybe requested. Signed Date: 20120724 AuditTeamLeader

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StageOneAuditReportforMMUST APPENDIX1 ISO9001:2008QMSDOCUMENTATIONAUDITREPORT ORGANIZATION:MMUST SCOPEOFTHISREPORT:COMPULSORYDOCUMENTATIONANDSELECTEDPROCEDURES 1. Sn 1 Z DOCUMENT:QualityPolicy:(clause5.3ofISO9001:2008standard) ISO9001 Requirement Findings Clause Ref Page 5.3a Beappropriatetothepurposeofthe Quality 1stpara organization Policy No.1 Quality Whole 5.3b Includescommitmenttocomplywith Policy policy requirementsandcontinuallyimprovethe effectivenessofthequalitymanagement system

Remark Complies.

5.3c

Providesaframeworkforestablishingand reviewingqualityobjectives Iscommunicatedandunderstoodwithinthe organization Isreviewedforcontinuingsuitability

Quality Policy Quality Policy Quality Policy

4 5

5.3d 5.3e

Complies. Forcompliancewithrequirements,itisexplicitforstatutoryand regulatoryrequirementsbutnotforcustomerrequirementsthough itisimplied Forcontinualimprovementitisimpliedinthesecondandfourth paragraphs st 1 and Complies 2nd para Allstaffinterviewedwereawareofthequalitypolicyandhowthey contributetoitsachievement Notyetbeenreviewed.Accordingtoworkplan,willbereviewedin October2012

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StageOneAuditReportforMMUST 2. Sn 1 DOCUMENT: QualityObjectives:(clause5.4ofISO9001:2008standard) ISO9001 Requirement Findings Clause Ref Page 5.4.1 Topmanagementshallensurethattheyare establishedatrelevantfunctionsandlevels withintheorganization 5.4.1 Bemeasurable 5.4.1 Beconsistentwiththequalitypolicy

Remark

2 3 3.DOCUMENT:QualityManual:MMU/QA:1.2301(clause4.2.2ofISO9001:2008standard) Sn ISO9001 Requirement Findings Remark Clause Ref Page Quality Allpgs 1 4.2.2a Qualitymanualincludesthescopeof Complies manual thequalitymanagementsystem includingdetailsofandjustificationfor anyexclusions 2 4.2.2b containsdocumentedproceduresor Quality Allpgs Complies: referencethem Manual Themanualreferstothedocumentedproceduresestablishedforthe QMS. Forsampledareas,theproceduresareaccuratelyreferenced Quality Doesnotcomply.Thoughappendix2ofthemanualistitledinteractions, 3 4.2.2c Containsadescriptionofthe manual thereisnodescriptionoftheinteractionsbetweentheprocessesofthe interactionbetweenprocessesofthe QMS qualitymanagementsystem PS: 7.5.3,7.5.4,7.5.5and7.6aremissingfromthemanual 4.DOCUMENT:Procedureforcontrolofdocuments:MMU/MR/WP/2.5.10(clause4.2.3ofISO9001:2008) Sn ISO9001 Requirement findings Remark clause Ref page 1 4.2.3a Definescontrolsforapprovalofdocuments 6.2 2 compliestoanextentitisnotexplicitthatthisisdonepriorto foradequacypriortoissue issue (ItindicatesthattheVCapprovesalldocuments,isthisfeasible?) 2 4.2.3b Definescontrolsforreviewandupdateas 6.3;6.8.2 2 Responsibilityforreviewisgivenhoweverthefrequencyof KEBS Certification Services, 2012 Page 12

Thoughqualityobjectiveshavebeenestablishedatfunctionallevel, theyarenotmeasurable

StageOneAuditReportforMMUST Sn ISO9001 Requirement clause necessaryandreapprovedocuments 4.2.3c Definescontrolsforensuringchangesand currentrevisionstatusofdocumentsare identified Definescontrolsforensuringthatrelevant versionsofapplicabledocumentsare availableatpointofuse Definescontrolsforensuringthatdocuments remainlegibleandreadilyidentifiable Definescontrolsforensuringthatdocuments ofexternaloriginareidentifiedandtheir distributioncontrolled Definescontrolsforpreventingthe unintendeduseofobsoletedocumentsand toapplysuitableidentificationtothemif theyareretainedforanypurpose. findings page Remark reviewisnotindicated;responsibilityforupdatingandre approvalgiven
NBthereisaclauseerrorat6.8.1

Ref

5.8.3

Responsibilityisassigned.Thedocumenthoweverdoesnot specifyhowthisistobedone Asabove.

4.2.3d

6.10

5 6

4.2.3e 4.2.3f

Noaddressed Notaddressed

4.2.3g

6.11.5

Responsibilityisassigned,butspecificcontrolsnotspecified

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StageOneAuditReportforMMUST 5.Document:ControlofRecords MMU/MR/WP/2.5.11(clause4.2.4ofISO9001:2008) Sn ISO9001 Requirement Findings Remark Clause Ref Page 1 4.2.4 DefinesControlsneededforidentification 6.2 2 Thewhoisdefinedbutnotthehow 2 4.2.4 DefinesControlsneededforstorage 6.3.1 2 Complies 3 4.2.4 DefinesControlsneededforprotection 6.4 2 Thewhoisdefinedbutnotthehow 4 5 6 4.2.4 4.2.4 4.2.4 DefinesControlsneededforretrieval DefinesControlsneededforRetention DefinesControlsneededfordisposition 6.5 6.6 6.7 2 2 2 Thewhoisdefinedbutnotthehow ITisnotclearwhoisresponsibleforthisactivity Asabove

PSDoesclause7refertolistofrecordsortherecordsthemselves?Ifitsthelistthentheresponsibilityistoodiverse.Ifitistherecordsthemselvesthenitrenderscause6.6redundant

6.Document:Procedureforinternalaudit:MMU/MR/WP/2.5.15(clause8.2.2ofISO9001:2008) Sn ISO9001 Requirement Findings Remark Clause Ref Page 1 8.2.2 Definedresponsibilitiesandrequirementsfor 6.1&6.2 3 Thewhoisdefinedbutnotthehoworthewhen planningaudits 2 8.2.2 Definedresponsibilitiesandrequirementsfor 6.3 4 Complies conductingaudits 3 8.2.2 Definedresponsibilitiesandrequirementsfor Notspecificallyaddressed. reportingresults Itmaybenecessarytoprovideguidanceonwhatshouldbe includedasaminimumintheauditreport 4 8.2.2 Definedresponsibilitiesandrequirementsfor 6.4.3 5 Complies maintainingrecords
PS Thepurposeofthisprocedureisnotclear.Canitreallybeachievedbyimplementationoftheprocedure? Oneofthemainrequirementsforinternalauditsisthattheyshallbecarriedoutatplannedintervals.Whatisthefrequencyofinternalaudits? Thoughevaluationofeffectivenessisimpliedinclause6.3.6(d)noproperguidanceisgivenonhow,neitherisitindicatedwhathappensifitisfoundthatthecorrectiveactionisnoteffective

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StageOneAuditReportforMMUST 7.Document:Procedureforcontrolofnonconformingproducts:MMU/MR/WP/2.5.12(clause8.3ofISO9001:2008) Sn ISO9001 Requirement Findings Remark Clause Ref page 6.1 2 Complies 1 8.3 Containscontrolsandrelatedresponsibilitiesand authoritiesforidentificationofnonconforming products 2 8.3 Containscontrolsandrelatedresponsibilitiesand 6.26.4 2 Complies authoritiesfordealingwithnonconformingproducts PS Theproposedmethodsofaddressingnonconformingproductseemsalittleextremegiventhatthenonconformitiesmaybeidentifiedduringnormal operations,e.g.misplacedresults,wrongentriesatfinance,etc. 8.Document:Procedureforcorrectiveaction:MMU/MR/WP/2.5.14(clause8.5.2ofISO9001:2008) Sn ISO9001 Requirement Findings Remark Clause Ref Page 1 8.5.2a Definerequirementsforreviewingnon Notaddressed. conformities(includingcustomercomplaints) 2 8.5.2b Definerequirementsfordeterminingthe 6.2&6.3 2 Complies causesofnonconformities 3 8.5.2c Definerequirementsforevaluatingtheneed Notaddressed foractiontoensurethatnonconformitiesdo notrecur 4 8.5.2d Definerequirementsfordeterminingand Notaddressed implementingactionneeded 5 8.5.2e Definerequirementsforrecordsofresultsof 6.2&6.3 2 Compliestoanextent actiontaken 6 8.5.2f Definerequirementsforreviewing Notaddressed effectivenessofcorrectiveactiontaken.

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StageOneAuditReportforMMUST 9.Document:Procedureforpreventiveaction:MMU/MR/WP/2.5.13(clause8.5.3ofISO9001:2008) Sn ISO9001 Requirement Findings clause Ref Page 1 8.5.3a Definerequirementsfordeterminingpotential nonconformitiesandtheircauses 2 8.5.3b Definerequirementsforevaluatingtheneedfor actiontopreventoccurrenceofnonconformity 3 8.5.3c Definerequirementsfordeterminingand 6.2&6.3 2 implementingactionneeded 4 8.5.3d Thewhoisdefinedbutnotthehow 6.4 2 5 8.5.3e Defineerequirementsforreviewingpreventive actiontaken

Remark Notaddressed Notaddressed Complies Complies Notaddressed

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Appendix2: AuditTimetable
Time Activity 09000930 Openingmeeting HumanResources 09301100 ICT SchoolofHealthSciencesCurriculum 11001300 developmentandreview DepartmentofpureandAppliedChemistry Teaching 13001400 Lunchbreak FacultyofEducationandSocialSciencesTeaching SecurityServices Managementrepresentative: 14001630 Documentreview Internalaudits Confirmationofinformationintheapplication documents 16301700 Auditorsmeeting TopManagement Managementcommitment 08301000 Managementreview Agreementonscopeofcertification Libraryservices 10001145 BungomaCampus Catering 11451300 Hostels 13001400 Lunchbreak 14001600 Auditorsmeeting 1600 Closingmeeting Auditor
CO;IL IL CO IL CO IL

CO

CO;IL

CO

CO IL IL CO CO;IL CO;IL

Appendix3:AttendanceRegisters(Opening/ClosingMeetings) Attached

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