Control of Documents and Records

Procedure
Reference Number

Description Name / Title Signature Date

Prepared by
Reviewed by
Approved by

Document Change Log Table

Rev. P Description of Amendment Approv Effect
No. a ed by ive
g Date
e
N
o
.
 Table of Contents
1.Purpose................................................................................................................. 4
2. Scope................................................................................................................... 4
3. Terms and Definitions........................................................................................... 4
4. Responsibilities.................................................................................................... 5
5. Procedure Description........................................................................................ 5
5.1. General Document Usage...............................................................................5
5.2. New Document / Manual or Change to the Existing Document / Manual........5
5.3. Document Effective Date & Version Control....................................................5
5.4. Obsolete / Outdated Document......................................................................6
5.5. Document Referencing and Numbering System.............................................6
5.6. Control of Records........................................................................................ 10
5.7. Standards / External Origin Documents........................................................10
5.8. Electronic Documentation.............................................................................10
5.9. Managing Development and Changes of Documentation.............................10
6. Reference Documents and Records.................................................................11
1. PURPOSE

The purpose of the manual is to:

Ensure that the information contained within Official Documents and Manuals pertaining
to the your organizations name are consistently up-to-date.
Ensure that all transactions (i.e. archiving, exchange and distribution of documents)
between internal / external parties are controlled and adhere to prescribed quality
standards.
To ensure that any update or change to Official Documents and/or Manuals is properly
reviewed and approved before issuance.
To control the preparation, identification, review, approval, issue, and changes of quality
management system documents as per the requirements of ISO 9001: 2008.

2. SCOPE

The scope of this procedure will cover:

All your organizations name process and procedure manuals.
All documents used to control the quality of the products and/or services provided by all
your organizations name Divisions.
Documents of external origins applicable to QMS of your organizations name
Divisions (i.e. standards, contracts, drawings).

3. TERMS AND DEFINITIONS

Term Definition
Controlled A copy of the current issue of procedures/manual/forms issued
Copy formally and subjected to the distribution control of this
procedure
Official Documents established such as policies, procedure manual,
Documents objective, process manual and plan (originated within your
organizations name)
Electronic Soft-copy of a document
Document
External Document originated by an external party (outside of your
Document organizations name)
Record Data that provides evidence of conformity to the established
process
 4. RESPONSIBILITIES

Owner Responsibility

5. PROCEDURE DESCRIPTION

5.1. General Document Usage

All the employees shall use the forms and read documents from the your
organizations name Network since the latest version of the documents are kept on the
Shared Drive (i.e. your organizations name Portal).
Hard copies of the manuals or documents are limited only for individual use. Printing of
the manuals or documents should be limited and based on imperative need only. Any
hard copies obtained will not be classified or considered as controlled documents,
except for master copies.

5.2. New Document / Manual or Change to the Existing Document / Manual

A register of the controlled copies of the manuals shall be maintained by each division in
a Controlled Copies Register.
All documents within your organizations name should be controlled through the
version number and effective date mentioned at the header of each page of the
procedure / process manuals.
The manuals / documents are controlled and the MR & appointed quality representative
from each division shall be the only persons authorized to edit them in whole or in part.

5.3. Document Effective Date & Version Control

The effective dates shall be allocated to each controlled document according to the
date of the approval obtained.
All controlled documents are to contain a version number which commences at 1.0.
An updated version of any controlled document will automatically increase the current
version by .1 (i.e. version 1.0 is updated to version 1.1).
Updates to any controlled documents should be briefly described in the Change Log.
5.4. Obsolete / Outdated Document

Any document with a date older than the latest or different version number should be
considered as obsolete and Uncontrolled Copy.
Any obsolete or outdated documents are removed from the Intranet / Shared Drive to
prevent improper or unintended use of them.
The contents of the controlled manuals or documents should not be modified/written-
on (ink or pencil) for any reason. Any type of modification will classify the document(s)
obsolete.

5.5. Document Referencing and Numbering System

a. Describe your organizations document referencing and numbering system by detailing all
protocols and abbreviations for internal and external recipients including:
a. Company Name Codes
b. Organizational Units and Sub Units Codes
c. Document Types and Abbreviations for each ex. Procedure (P), Policy (PO),
Manual, Form, Template, etc

b. Document Serial Number: The document serial number will consist of three (3) digits which
is set according to its relevant sequential order maintained by the MR in the Controlled
Copies Register, in exception of records which consists of five (5) digits (see section 5.5).
All documents shall be maintained in the Controlled Copies Register for Internal Documents
and therefore shall be allocated a reference number only by the MR.

c. Documents Referencing Sequence: In cases for controlled documents, the document

reference structure will be as follows:
General Documentation:

your organizations name abbreviation / Organizational Unit Code

Higher Level / Organizational Unit Code Mid Level / Organizational Unit
Code Low Level (if applicable) / Document Type + serial number

Example: Procedure Manuals of a Customer Care Division (CCD) within Support

Services Sector (SS) would be your organizations name
abbreviation/SS/CCD/P001

d. In cases where the document is a Letter or Memo, i.e. record, by also using the codes in
the tables mentioned previously, the reference structure will be as follows:
Describe your organizations method of numbering and recording incoming and
outgoing communications including memos, letters, reports, etc and describe any
record or document management system that is used for the control of records

e. In cases where the document is a Contract or Purchase Requisitions / Petty Cash, by

also using the codes in the tables mentioned previously, the reference structure will be as
follows:

Describe your organizations referencing system for procurement and purchasing

documents including tenders, contracts, and other purchasing documents that are used
5.6. Control of Records
 a. The process owner (concerned organizational unit) shall be responsible for ensuring that
all records are maintained in proper manner, retrievable and accessible to the concerned
persons and protected from damage or loss.

b. Describe your organizations procedure for the storage and filing of hard copy and
electronic records. Describe any record management systems that may be used and how
to use them as well as refer to any user manuals or procedures that may detail this
further

c. The records are retained for the appropriate retention period as mentioned in the relevant
procedure.

5.7. Standards / External Origin Documents

a. It is advisable that all external origin documents required for the divisions work or stated
in the contracts agreements with external parties (such as; national and international
standards like ISO 9000, etc.) are made available on the Intranet / Shared Drive (i.e. your
organizations name Portal) for the concerned personnel. The MR, in coordination with
concerned divisions, ensures the validity of such document and that it has the latest
issue/revision. If a standard is obsolete and retained for reference, it shall be removed
from the Shared Drive Network and all relevant parties are informed.
b. External documents are retained by the concerned division in the Controlled Copy Register
for External Documents.

5.8. Electronic Documentation

Where documentation is held in an electronic format/media, safe and proper procedure

shall be considered, such procedure should include but is not limited to the following:
a. Limited access rights for personnel to the master files and documents (i.e. PDF Format),
except for the MR and any authorized parties.

5.9. Document Change Control Procedure

Any changes required to the QMS documents of your organizations name should be
discussed with the MR and if the change is acceptable, the change becomes effective
and appears in the next issue of the related document. The original document shall be
saved with the Controlled Copies Register for reference.
The following table describes further procedural tasks for managing development and
changes of the documents:
T
a
s
Form /
k Ow
Description Docu
ner
ment
N
o
.
1 When an employee considers a need for a new Sec Docu
document / form or change to an existing tion ment
manual to improve the quality of work/service, - Chang
the employee will review the suggested Hea e
change with his/her line manager and the d / reques
assigned document controller. If endorsed, Doc
 T
a
s
Form /
k Ow
Description Docu
ner
ment
N
o
.
the document change request form should um t Form
be completed and then submitted to the MR. ent
Con
troll
er
2 The MR would then discuss the details of the MR
suggested amendment with relevant parties
to assess the impact of the amendment on
other functions within the your organizations
name.
3 If the request is accepted, the concerned MR
divisions will update any relevant change
whereas the MR will ensure the details of the
change are reflected in the concerned
documents / forms / document. The final
updated version of the document or manual is
then approved by the concerned Director.
Note: Changes to forms can be approved at
the section-head level.
4 Upon re-issuing any documents / forms, the MR
revision number and date are updated by the
MR and a formal approval must then be
obtained by the relevant parties on the hard-
copy document.
5 The Division Document Controller will archive Doc Contro
the approved/signed version as the Master um lled
copy. The Controlled Copies Register is ent Copies
updated accordingly. The old versions of the Con Regist
master copies are marked as Obsolete and troll er
filed by the QR with a copy of the revised er
pages in the Master File.
6 The MR has to inform all concerned individuals MR Email /
of the amendments via email or internal intern
memo. The MR shall also ensure that all new al
or revised documents are saved on the memo
Intranet / Shared Drive and available to the
concerned individuals in protected format
such as PDF files. Appropriate backup shall be
maintained in any format (diskettes, your
organizations name Network) every month
at least.

6. REFERENCE DOCUMENTS AND RECORDS

No. Name Reference In R Reco

 No. te et rd
rn ai Rete
al n ntio
/ e n
E d Peri
xt B od
er y
n
al
1.

2.

3.

4.