Explanation of the records required by ISO 9001 version 2000. Also refer to quality manual, procedures, work instructions, Total Quality Management, TQM, international business and profits, Ron Kurtus, School for Champions. Copyright © Restrictions
Records Required by ISO 9001
by Ron Kurtus
Revised by Mohsin Nishat (14 April 2001)
ISO 9000 requires that records be kept of critical operations. Record keeping is the fourth tier of required documentation in ISO 9000, following the Quality Policy Manual, Procedures, and Work Instructions.
Questions you may have include:
- What is a record?
- What are the required records?
- What is the reason for these records?
This lesson will answer those questions. There is a mini-quiz near the end of the lesson.
What is a record?
Records consist of any historical documentation, such as summaries or meetings and reviews, specifications, invoices, results of tests and such. This is different than procedures and instructions that tell what do to. Instead, a record is the history of what has been done.
Records required
The following lists the records required under ISO 9001 version 2000, along with the referring sub-paragraph number from the standard. ISO 9002 and ISO 9003 would be subsets of this list. Of course, a company may choose to include additional records that they deem important.
| Para. |
Record Required |
| 5.6.1 |
Management reviews |
| 6.2.2 (e) |
Education, training, skills and experience |
| 7.1 (d) |
Evidence that the realization processes and resulting product fulfill requirements |
| 7.2.2 |
Results of the review of the requirements relating to the product and actions arising from the review |
| 7.3.2 |
Design and development inputs |
| 7.3.4 |
Results of design and development reviews and any necessary action |
| 7.3.5 |
Results of design and development verification and any necessary action |
| 7.3.6 |
Results of design and development validation and any necessary action |
| 7.3.7 |
Results of the review of design and development changes and any necessary action |
| 7.4.1 |
Results of supplier evaluations and actions arising from evaluations |
| 7.5.2 (d) |
As required by the organization to demonstrate the validation of processes where subsequent monitoring and measurement cannot verify the resulting output |
7.5.3 |
Unique identification of the product, where traceability is a requirement |
| 7.5.4 |
Customer property that is lost, damaged, or otherwise found to be unsuitable for use |
| 7.6 (a) |
Standards used for calibration or verification of measuring equipment where no international or national measurement standards exist |
| 7.6 |
Validity of previous results when measuring equipment is found not to conform to its requirements |
| 7.6 |
Results of calibration or verification of measuring equipment |
| 8.2.2 |
Internal audit results |
| 8.2.4 |
Evidence of product conformity with the acceptance criteria and indication of the authority responsible for the release of the product |
| 8.3 |
Nature of the product nonconformities and any subsequent actions taken, including concessions obtained |
| 8.5.2 |
Results of corrective actions |
| 8.5.3 |
Results of preventive actions |
Reason for records
The reason to keep records is for future use as a reference in case of questions related to contractual and legal matters, work techniques, verification of work done, and other parts essential to the company running smoothly. The company management should use sound judgment as to what records are non-essential and how long to keep a specific record.
Summary
In order to operate a business effectively, you should keep records of essential activities. To become certified under ISO 9001, there is a specific list of records that need to be maintained. Even if your company is not planning on being certified, this is a good list to follow.
Be valuable to your company
Resources
The following are some resources on this topic.
Websites
ISO Online - International Organization for Standardization website
ISO Standards Translated in Plain English - Extensive listing
ISO 9000 Certification Information - Good listing of ISO 9000 resources
ISO 9000 References and Resources
Books
Credit
Thanks to Mohsin Nishat of Taseer Hadi Khalid & Co., Charted Accountants in Pakistan, which is a member firm of KPMG International, of Karachi, Pakistan for providing the latest version of the ISO 9001 record requirements.
Mr. Nishat is a Textile Engineer, Qualified Lead Quality Auditor for ISO 9000 and Certified Quality Professional in Pakistan which is based on the same body of knowledge as of Certified Quality Manger of ASQ, USA.
Mini-quiz to check your understanding
1. Would a Memorandum of Understanding be kept as a record?
2. Can you keep more records that the 13 recommended types?
3. Which is a typical record to maintain?
If you got all three correct, you are on your way to becoming a Champion in Improving your Business with ISO 9000. If you had problems, you had better look over the material again.
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Records Required by ISO 9001