Electronic Record Control (Specifically editable records not fixed documents!)

P

pmgeens

Greetings all! I have been using this site as a resource for over a year now and have found solutions and suggestions to dozens of problems. What an amazing collection of ISO information! :applause:

I am now facing a very specific problem and it hasn't quite been answered despite several days of searching through various SharePoint and wiki threads.

Basically, I am about to deploy a SharePoint document management system and as far as "fixed" document issuing and approval go I'm happy that the workflows satisfy the ISO standard. As I am the only person who can upload documents to SharePoint (with a password required to login), I am happy that I can demonstrate absolute control over the master set of documents and blank record sheets. However I am looking for advice regarding editable record sheets after their distribution to end users via SharePoint.

For example, an employee has access via SharePoint to their own training record sheet which is approved and is on version 1. This is a record sheet that will need to be filled out time and time again (whilst remaining on version 1), requiring the signature of both the employee and their supervisor each time a new skill is added. How can I demonstrate to an auditor that the signatures have genuinely been individually signed by both of these different people each time the record sheet is updated? I'd rather not go down the digital signature route if possible. I hope this scenario makes sense!

Any suggestions would be greatfully received!
 
P

pmgeens

Probably better to post this on a monday morning rather than friday afternoon!
 
R

Rickser

When you figure this out, let me know. I've been searching for a way to have employees digitally sign in SharePoint for a while now. I want them to sign that they have read certian HR documents as well. My IT person left before she got it done. Now I'm stuck.
 
P

pmgeens

Will do, still working on it and not too many responses from the cove so far! :confused:
 
N

nicole_i

Could you not just have a date of signature inserted into the record sheet, one for the employee and one for the supervisor?
I have a similar problem with showing that training has been delivered but I enter a signature date and then back up this up with an email filled in a public folder within outlook.
If the auditor wanted evidence that both supervisor and employee had signed and dated the record he would ask them for confirmation, they surely would have some evidence that a particular skill had been achieved.
The standard asks us to control records that have been established to provide evidence of conformity and that is what you are doing – you are controlling the record.
Sorry if I have misunderstood :)
 

v9991

Trusted Information Resource
I am not that familiar with sharepoint......Within purview of certain assumptions here's few thoughts..
First, its 'revision no.' of training record which is controlled through doc-control; each update of it with each trainee has to be versioned!!! (typically whenever an update wrt completion of training or even endorsement of supervisor they ought to be versioned)

second, I assume that trainee & supervisor are separately(electronically) updating the training record. so solution could be that
ensure that training record is not released untill the supervior has signed off.

however, it would help if you could provide few more details...
1) the workflow steps for a person to update/add the skill to the training record sheet.
2) also, what do you mean by "
requiring the signature of both the employee and their supervisor each time a new skill is added.
" does it mean that trainee & supervisor update the record(line item with their signatures) and upload it to sharepoint?)
 
P

pmgeens

Thank you for your replies.

Firstly, Nicole, the training record does have a date for each new signature entry but the same problem applies in that what is to stop the employee filling out both signatures and dating them?

I take your point that there may be evidence elsewhere to back this up but I am hoping to find a more elegant solution where all the info is contained on one record sheet within SharePoint.

v9991, I'm not sure about your first point. The training record sheet I describe is a working record for an individual trainee. The record is updated everytime they add a new skill so the version number doesn't change with each new skill added.

In answer to your second point, each employee has a "general training record" released to them (on version 1 for example) which starts off blank and resides in their own records folder on SharePoint.

Each time they demonstrate competence in a new task, a new line is filled out referencing the work instruction for said task followed by the electronic signature of the employee and supervisor (with date) to verify that the employee is competent in that task. The record then remains in their folder until the next task is added further down the line.

I'm probably trying to simplify something that can't be simplified but thought somebody may have had similar problems, particularly with SharePoint.

The problem with SharePoints versioning system is that once the record sheet is issued, I don't want a new version everytime the record is updated as a working record. I hope that makes sense, its tricky to explain!

I really appreciate everybodies input, I know this is a vague problem at best!
 

Mikishots

Trusted Information Resource
Greetings all! I have been using this site as a resource for over a year now and have found solutions and suggestions to dozens of problems. What an amazing collection of ISO information! :applause:

I am now facing a very specific problem and it hasn't quite been answered despite several days of searching through various SharePoint and wiki threads.

Basically, I am about to deploy a SharePoint document management system and as far as "fixed" document issuing and approval go I'm happy that the workflows satisfy the ISO standard. As I am the only person who can upload documents to SharePoint (with a password required to login), I am happy that I can demonstrate absolute control over the master set of documents and blank record sheets. However I am looking for advice regarding editable record sheets after their distribution to end users via SharePoint.

For example, an employee has access via SharePoint to their own training record sheet which is approved and is on version 1. This is a record sheet that will need to be filled out time and time again (whilst remaining on version 1), requiring the signature of both the employee and their supervisor each time a new skill is added. How can I demonstrate to an auditor that the signatures have genuinely been individually signed by both of these different people each time the record sheet is updated? I'd rather not go down the digital signature route if possible. I hope this scenario makes sense!

Any suggestions would be greatfully received!

What is it about digital signatures that you don't like? The latest version of Adobe Reader has this integrated and is extremely quick to use. We have 600 employees and it was very quick and simple to set up.
 
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