Employee Handbook in ISO 9001:2015 Section 7

[Randy]

I'm in agreement with Sidney on the slippery slope comments....Seen it 1st hand!

I've probably looked at a half-a-dozen employee handbooks this year alone during the multitude of audits I've done and focus on only the contents that are in the scope of the certificate involved, it's mainly a matter of relevancy.

Most handbooks are informational guidance only and not completely prescriptive with some ambiguity always present.

Also, if you did everything a consultant wants you'd never get done and you'll wind up with a Wildebeest when you actually only wanted a cow

 

[Big Jim]

Not disagreeing with Sidney...but I still think it a good idea to "control" your employee handbook...
I, personally, would use the control mechanism I've already got at my fingertips...but that's me.

Note that "control" and "incorporate" are not necessarily synonymous.

By "legal stuff", I mean things like vacation time vs. personal time and recompense on termination of employment, Bereavement leave policy, non-compete clauses, etc. It only becomes "legal-ish" when something goes badly and you have to use it as proof of communication of policy.
I've always been required to sign the employee handbook and it served as an employment contract as well...I imagine that varies from place to place.

So control it, but NOT as part of your QMS.

 

[Big Jim]

I am of the view that the Employee Handbook should be included in the QMS. It's scope is so broad and pervasive that the policies and practices prescribed therein have impact across the company, it's business practices, and its employees.

This document usually does address things like harassment policies, employee complaints, etc. which to me falls squarely under 7.1.4:


It is entirely possible to include the handbook in the QMS -AND- to maintain its control using the methods currently in place (e.g., HR Mgr controls it).

If you have concern that an auditor will delve into the employee handbook and find nonconformances, then hiding it from your QMS is just evading problems, not fixing them. Is your employee handbook really that far out of sync with your actual practices? If so, why has the responsible party not fixed it? Make it part of the QMS and bring it up in Management Review.

But it falls in a NOTE following 7.1.4. Notes are NOT requirements. They are intended to help provide illumination and might be considered a suggestions, but they are NOT requirements.

 

[Ninja]

So control it, but NOT as part of your QMS.

Fair enough. If I never pointed an auditor to it...they never saw it...your way is rather succinct and effective.

 

[Bluzman714]

If you have concern that an auditor will delve into the employee handbook and find nonconformances, then hiding it from your QMS is just evading problems, not fixing them. Is your employee handbook really that far out of sync with your actual practices? If so, why has the responsible party not fixed it? Make it part of the QMS and bring it up in Management Review.

My concern is that what is included in the Employee Handbook is irrelevant to our QMS. It is entirely written from a legal basis that governs employee conduct, etc. and has no input into anything related to our Quality Management System. It is controlled separately from the QMS through our Human Resources department and has been for decades. At this point all that we document in the QMS from each employee is that they have accepted the Employee Handbook.

 

[Sidney Vianna]

My concern is that what is included in the Employee Handbook is irrelevant to our QMS. It is entirely written from a legal basis that governs employee conduct, etc. and has no input into anything related to our Quality Management System.

Matches what I thought

, but, for the most part, typical Employee Handbooks have nothing to do with section 7.1.4 of 9001:2015.

The concerning thing is: what is this consultant thinking? Is s/he competent as a consultant? What kind of advice is that?

 

[Ninja]

Makes sense to me.

FWIW, I see three different, completely separable, things:

1. Your QMS
2. Your employee handbook
3. Your document control system.

For an employee handbook, I would involve #2 and #3...but not #1.
For your process and procedural documents, I would involve #1 and #3...but not #2.
#1 and #2 never have to meet each other in order to use #3...never the twain shall meet.

If HR already has a #4 of their own...have at it if you desire.
We used our doc control system (#3) to maintain our list of addresses for sending out Christmas cards to customers...why invent a #4 if you don't have to.

 

[Bluzman714]

Matches what I thought

The concerning thing is: what is this consultant thinking? Is s/he competent as a consultant? What kind of advice is that?

In her defense she does also audit for AS9100 and other quality certifications that would make the handbook relevant. She may have just forgotten which hat she was wearing that day.

 

[Jen Kirley]

The employee handbook can help describe policies that help promote a non-discriminatory environment, etc., but I have never seen it icluded in the QMS and don't think it would be needed there. To be clear, I don't audit to AS9100.

 

[Big Jim]

In her defense she does also audit for AS9100 and other quality certifications that would make the handbook relevant. She may have just forgotten which hat she was wearing that day.

There is nothing in AS9100 that would bring the employee handbook into the QMS. Nothing.