75: Other Documents and Records Issue

Node Other Documents and Records Issue

Definition/Typical Issues

Were documents inaccurate or incomplete? Were documents not available or missing? Were documents out of date?

Was there a failure to incorporate customer requirements into documentation processes?

Was there an issue with the documentation that was developed as a result of an inspection? Did the document contain errors or omissions? Were the records not created?

Examples of documents that are addressed by this node include:

  • Inspection records
  • Purchasing records
  • Regulatory compliance
  • Financial records
  • Marketing materials
  • Bills
  • Contracts
  • Inventory records
  • Any records in the above list submitted by a contractor to the contracting organization


Examples of records that are NOT addressed by this node include:

Examples

Example 1

  • The organization's copy of the Securities and Exchange Commission (SEC) regulations was out of date. As a result, the organization's SEC filing contained numerous noncompliances.

Example 2

  • The marketing materials for the polymers division were out of date. They did not reflect the current capabilities of the organization.

Example 3

  • There were no marketing materials available for the construction services offered by the organization. As a result, sales for the construction services sector were down 20% from the previous year.

Example 4

  • The expenditure records for personal credit cards issued to employees were incomplete. As a result, the company could not account for approximately $50,000 of the payouts it had made to employees.

Example 5

  • There were a number of errors in the bills supplied to customers. As a result, a number of customers took their future business elsewhere.

Example 6

  • A contract to hire subcontractors did not specify who was responsible for paying for hazardous material handling training for contract personnel. As a result, the company had to pay for the training and for the time that the contractor's personnel had to spend in the training.

Example 7

  • The contract for supplying maintenance personnel did not specify that equipment supplied and used by the contractor was subject to approval by the company. As a result, the contractor used ladders and other equipment that did not meet company requirements. A recordable injury occurred when a ladder shifted.

Typical Recommendations

  • Ensure that billing records are reviewed by knowledgeable personnel prior to being sent to customers.
  • Ensure that purchasing records are stored in a readily accessible manner.
  • Ensure that financial records are maintained in accordance with appropriate regulations.
  • Develop purchase specifications for contract services with input from the technical contacts, procurement specialists, attorneys, and others in your company to ensure that all contractual requirements are addressed.

Cross-References

Version 10 Element(s)
Node ID Node Name
99 Contractor Selection LTA

 

PSM Element(s)
14

 

RBPS Element(s)
Contractor Management

 

Maritime Element(s)
Node ID Node Name
115 Supplier/Contractor Selection Issue
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