ANNEX 2: SAMPLE FINDINGS

The following are finding for ABC University as a result of the first internal audit –
In the auditors meeting, discuss the findings, classify and give a conclusion based on
the objective. For the non- conformities raise the CAR form

Objective:- To determine the extent to which the implemented system conforms to

requirements

1. The risk profile in the department is incomplete

2. The auditee could demonstrate progress in achievement of the quality
objective
3. The Workshop technicians did not have PPEs
4. The labs did not have signage for fire exits and in Workshop 2 there was no
fire extinguisher
5. There was evidence that the activity on Transport booking and scheduling
was being done as per the sampled Transport requisition.
6. There was evidence of prompt reporting of accidents, incidents and repairs of
the same
7. Sampled staff was not aware of the already determined knowledge
management matrix in the QMS; however the HOD was able to demonstrate
how knowledge was being managed
8. Retrieval of the sampled information was taking too long.
9. The disposal card from the outsourced service provider namely LUMU
Cleaning and health care services had not been updated the last time being
26/10/2015 and not filed
10. There was no evidence of communication of the repair and maintenance
schedule. Admin procedure 7. Repair and maintenance procedure
(ABC/MR/ADMIN/04, clause 2.1.2)
11. 1st quarter report FY 2016/2017 was yet to be submitted from the Maintenance
Officer (MO) to the Estates Manager (EM) Admin procedure 7. Repair and
maintenance procedure (ABC/MR/ADMIN/04, clause 2.1.9).