ISO 9001 Electronic Records

Reviewing confidential files, training records, human resources files
Q: I have a few questions about employee training records.  My company is certified to ISO 9001:2008 Quality management systems–Requirements, and we are considering transitioning to electronic records. However, we don’t know what the requirements are from an ISO perspective. Specifically, we want to know:1. Do we need to retain hardcopy originals, or can we just keep the scanned electronic copies?

2. Does a record need to be in each individual’s file, or can there be a spreadsheet, cross reference-type matrix?

3. How long do they need to be retained?

4. Are there different requirements for environmental and safety type training records?

A: Thank you for contacting the ASQ Ask the Experts Program. Responses to your specific inquiries follow:

1.You may retain records in any format or media you desire.  You do not need both hardcopy and electronic.

2. You may use a spreadsheet matrix.

3. Retention times are your determination. Consult with the corporate attorney as to any requirements from the U.S. Equal Employment Opportunity Commission to protect yourself if there is a lawsuit (assuming your organization is located in the United States).

4. Check with the U.S. Occupational Safety and Health Administration (OSHA) and the U.S. Environmental Protection Agency (EPA) regarding requirements for these records.  These are outside the scope of ISO 9001.

George Hummel
Voting member of the U.S. TAG to ISO/TC 176 – Quality Management and Quality Assurance
Managing Partner
Global Certification-USA
www.globalcert-usa.com/
Dayton, OH

For more on this topic, please visit ASQ’s website.

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