Table of Contents
Understanding the importance of record keeping
ISO 9001 requirements for records control
Steps for implementing the ISO 9001 records control procedure
- Identification and classification of records: Records should be properly identified and classified to facilitate searching and retrieval. This may include the use of codes, labels or any other form of identification.
- Secure storage of records: Records should be stored in a secure location and protected from loss, damage or alteration. This may include the use of fireproof cabinets or filing cabinets, electronic backups, or any other method that ensures the integrity of the records.
- Controlled access to records: Access to records should be controlled and restricted to authorized persons. This ensures confidentiality of information and prevents unauthorized alterations.
- Retention of records: Records should be retained for as long as necessary to comply with legal and regulatory requirements. This may include defining specific retention periods for different types of records.
- Secure disposal of records: When records are no longer needed, they should be disposed of in a safe and appropriate manner. This may include physical destruction of records or disposal of electronic files.
Documentation and organization of records
- Establish an implementation team: It is important to have a team responsible for the implementation of the records control procedure. This team should include representatives from different areas of the organization and be led by someone with knowledge of records management and experience in the quality management system.
- Assess the current situation: Before implementing the records control procedure, it is necessary to assess the organization’s current records management situation. This may include reviewing existing records, identifying areas for improvement and identifying potential obstacles or challenges.
- Define the specific requirements: Based on the requirements established by ISO 9001, it is necessary to define the specific requirements for records control in the organization. This may include defining the types of records to be managed, retention periods, storage methods and any other relevant requirements.
- Design forms and record sheets: Once the specific requirements have been defined, it is necessary to design the forms and record sheets needed to capture the required information. These forms should be clear, easy to use and tailored to the needs of the organization.
- Train employees: Employee training is essential to ensure a successful implementation of the records control procedure. All employees should be trained on the requirements of the procedure, how to complete record keeping forms and how to access records when necessary.
- Establish a storage and retrieval system: It is important to establish a records storage and retrieval system that is easy to use and ensures the security of records. This may include the use of filing cabinets or filing cabinets, electronic document management systems, or any other method that fits the needs of the organization.
- Monitor and audit the records control process: Once the records control procedure has been implemented, it is important to regularly monitor and audit the process to ensure its effectiveness and detect opportunities for improvement. This may include periodically reviewing records, conducting internal audits and gathering feedback from employees.
Ensuring accessibility and security of records
Implementation of a document retention schedule
- Identification and classification of records: The first step in properly implementing the records control procedure is to identify and classify records relevant to the quality management system. This involves determining which records are necessary to demonstrate compliance with customer requirements, applicable standards and the organization’s own internal procedures.
- Storage and protection of records: Once identified and classified, records must be properly stored and protected. This involves establishing physical and logical security measures to prevent loss, damage or alteration of records. In addition, access controls should be established to ensure that only authorized persons can access the records.
- Records retention and disposition: The records control procedure also states the need to establish a records retention schedule. This involves determining how long records should be retained before final disposition. Record retention is important to ensure traceability and the possibility of retrospective audits.
Train employees in document control procedures
- Designing proper forms and log sheets: Proper design of forms and log sheets is crucial to ensure that records are captured accurately and completely. Forms and log sheets should include clear and concise fields to capture relevant information. In addition, clear instructions should be provided on how to complete the forms and log sheets correctly.
- Implement a document control training program: Adequate employee training is essential to ensure proper implementation of the record control procedure. Employees should be trained on how to identify, classify, store and protect records in accordance with established requirements. In addition, ongoing training should be provided to keep employees up to date on changes in requirements and best practices for records control.
- Communication and ongoing monitoring: Communication and ongoing monitoring are critical to ensure that the records control system is working effectively. Clear communication channels should be established so that employees can report any problems or concerns related to records control. In addition, regular audits should be conducted to evaluate the effectiveness of the record control system and take corrective actions as necessary.
Supervise and audit the document control process
- Improved information management: By implementing an effective records control system, organizations can improve information management. This involves having quick and easy access to relevant records, which facilitates informed decision making and the identification of areas for improvement.
- Ensuring traceability: Traceability is essential to demonstrate compliance with customer requirements and applicable standards. By implementing the ISO 9001 records control procedure, organizations can ensure traceability of records, making it easier to conduct retrospective audits and identify any nonconformities.
- Demonstrating commitment to quality: Implementing the ISO 9001 records control procedure demonstrates an organization’s commitment to quality. By having a documented and effective system for record control, organizations can demonstrate to customers and stakeholders their commitment to continual improvement and the delivery of quality products and services.
