Checklist for Control of Records Procedure of ABC Company

S/NO. Question Conformity [Yes/No] Procedure Clause ISO9001:2008 Remarks

Violated Clause Violated
1. What is the record retrieval process? N 5.1/5.12 8.3 (b) No response
2. What constitutes to the expiration of the retention period of records? N 5.15 8.3 (a) Contradiction
3. How are records separated? N 5.14 8.3 (a) No e.g. of stamps
provided
4. What determines the retention period of the record? N 5.16 8.3 (a)
5. Who oversees the record retrieval process? Y 5.12 4.2.4
6. What are the mandatory records required by131 ISO9001:2008? Y 5.17 4.2.4
7. What is the record disposal process? N 5.5 8.3 (d)
8. What are the contents of the Record Retrieval Authorization Form? N 5.12 8.3 (a) Missing Form
9. What is the record updating process? N 5.13 8.3 (a)
10. Shall changes be made to a record? N 5.7 8.3 (a)
11. How are records destroyed? N 5.2 8.3 (a)
12. How are records identified? Y 5.8 4.2.4
13. When are records allowed to be destroyed? N 5.5 8.3 (d)
14. Why should records be protected? N 5.3 8.3 (a)
15. What can be done to ensure that handwritten records are legible? N 5.3 8.3 (a) No response
16. How does protection of records lead to readability? N 5.3 8.3 (a)
17. How does a record show if a company is succeeding or declining? N 5.9 8.3 (a)
18. How are records segregated? N 5.14 8.3 (a) No e.g. of stamps
provided
19. How many mandatory records required by ISO9001:2008? N 5.17 8.3 (a)
20. Is the filing location of the record labelled on the document? N 5.7 8.3 (c)
21. What is the filing process for the record? N 5.7 8.3 (c)
22. Are signatures necessary for the filing of records? N 5.7 8.3 (c)
23. What is the document control process? N 5.17 8.3 (a)
24. What ISO9001 standard is being used to create this procedure? N 5.17 8.3 (a)
25. How is an internal or external record differentiated? N 5.14 8.3 (a) No e.g. of stamps
provided
26. What is considered a rushed request? Y 5.13 4.2.4
27. Are all retention periods prescribed by law? N Definition
28. What is the parameter for the acceptance/rejection of record? N 5.10 8.3 (b) No response
29. How are records managed? Y 5.11 4.2.4
30. Where are records stored? Y 5.4 4.2.4
31. Which year of standard did you use? N 5.17 8.3 (a)