Executive Division

Document and Records Control/Document Controller

OBJECTIVE:

The purpose of these guidelines is to ensure that the correct version of documentation is available at all
times.

These guidelines describe the system for issuing, approving, distributing, revising and updating
documents as well controls over customer information and electronic and external documents.

GUIDELINES:

I. Creation and Issuance of Forms

1. The template of the new form should be attached with the fully accomplished Document Control
Form (DCF) and should be reviewed and approved by the department and/or division head before
issuance.

2. The form should include the name of the form, department issuing the document, preparer,
reviewer and/or approver and document code.

a. Document code must be visible on the face of the form with the format:
“AAA-BBB_MMDDYYYY REV.##”

b. With the codes assigned as follows:

AAA – department or department/section

BBB – acronym of form/document

MM – month

DD – day

YYYY – year

## - revision number

c. Formatting to be used is as follows:

Font – Arial Narrow

Font Size – 9

Style – Italic

Color – Gray

Location – lower right of the form

 Executive Division
Document and Records Control/Document Controller

3. The forms must be in black ink and have a notation to fill out information legibly in ink along with
the confidentiality clause, ‘The information contained herein shall be treated confidential’, if
applicable.

4. Upon approval of the DCF and new form template by the department head, route both to all
concerned departments for their comments on the new form. These should be returned to the
requesting department with the accomplished DCF along with final comments and revisions on
the template.

5. Approved DCF and revised form template (in PDF) will be forwarded to the Document Controller
(DC) for e-signing once approved and returned to the requesting department for further action.
- If disapproved, DC will return the DCF and form template with reason for disapproval
and comments and/or suggestions for revision.

6. The Microsoft Word or Open Office of the department manual’s latest version will be requested
from the Document Controller to update Section C (Document Records Matrix), Section H (Work
Instructions), Section J (Forms) and to attach a copy of the form.

7. Relevant parties shall be informed of the new form by the requesting department through memo
or email.

8. Masterlist of Documents and Records maintained by DC shall be updated.

9. The new form will be requested through the Corporate Administration Division, if applicable.

10. Approved copy of the revised form and/or new form (hard copy or electronic copy) will be stored
in Google Drive folder that can be accessed by the DC and/or individuals authorized by DC only.
This will also be saved in the Document Controller’s folder which is saved and backed up in the
company’s server (Drive U:).

11. Obsolete copies of the form, hard copy or electronic copy (HC or EC) must be stamped and/or
watermarked “Obsolete”. All obsolete forms shall be logged into the Masterlist of Documents and
Records - ‘Obsolete Document Log’.

12. Back-up copy of the old form stored in Google Drive folder and company server’s folder of DC will
be transferred in “ARCHIVE FOLDER - OBSOLETE” and shall be replaced by the new version.

II. Issuance of Department Manuals

1. Department manuals shall contain a title page containing the department issuing the manual, the
preparer, reviewer and approver of the document, and document code. It shall consist of ten
sections which are as follows:
a. Circulation list
b. Revision Record
c. Document and Records Matrix
d. Introduction
e. Organizational Chart
 Executive Division
Document and Records Control/Document Controller

f. Quality Objectives
g. Process Flowchart
h. Work Instruction
i. Guidelines
j. Forms

2. Department manual will follow the template issued by Quality Management Committee (QMC),
with the following format but not limited to:

Font – Calibri

Font Size – 11

Style – Regular

Color – Black: Hex code: ##000000 or RGB Color Code: 0, 0, 0

Paper Size – long

3. Department manuals along with the DCF shall be approved and e-signed by authorized signatories
per department prior to sending to Document Controller in soft copy (Word 97-2003 Document or
Open Office).

4. Once approved, DC will put a watermark “Controlled Copy” and convert it to PDF. Final version of
the manual in Microsoft Word or Open Office will be kept by the DC.

5. Approved PDF copy of the department manual will be distributed to the concerned individuals
listed in the Circulation List via email. Recipients are required to acknowledge receipt of the
manual since it shall serve as a receiving. Individuals listed in the circulation list are the only
controlled copies.

6. If the department needs a hard copy (HC) of the manual, an original signed copy must be
forwarded to DC for signature prior to distribution. DC will stamp controlled copy of the hard copy
of the manual.

7. Masterlist of Documents and Records maintained by DC shall be updated.

8. Approved copies of the department manual will be stored in Google Drive folder that can be
accessed by the DC and/or individuals authorized by DC only.

9. DC will also save a copy in a folder in the company’s server.

10. Obsolete copies of the department manuals (HC or EC) must be stamped and/or watermarked
“Obsolete”. All obsolete forms shall be logged into the Mastelist of Documents and Records -
‘Obsolete Document Log’.

11. Back-up copy of the old version of department manual stored in Google Drive folder of DC and
will be transferred in “ARCHIVE FOLDER - OBSOLETE” and shall be replaced by the new version.
 Executive Division
Document and Records Control/Document Controller

III. Revision / Updating of Documented Information

1. Obtain a current copy of the documented information such as Manuals, forms, etc. and “highlight”
requested changes on the copy.

2. The department/division head shall review and approve the filled-out Document Control Form
(DCF) with that attached new/revised document, which will be forwarded to all concerned
departments for comments/suggestions.

3. Once finalized, signed DCF in pdf version shall be sent to DC through email.

4. The Document Controller shall review and affix e-sign on the DCF and its attachments if approved
and return both to the requesting department for further action.
- If disapproved, DC will return the DCF and attachments with reason for disapproval and
comments/suggestions.

5. Approved copies of the revised Documented Information will be stored in company server and
Google Drive folder that can be accessed by the DC and/or individuals authorized by DC only.

6. Masterlist of Documents and Records maintained by DC shall be updated.

7. Obsolete copies of the department manuals (HC or EC) must be stamped and/or watermarked
“Obsolete”. All obsolete documented information shall be logged into the Masterlist of
Documents and Records - ‘Obsolete Document Log’.

8. Back-up copy of the old documented information stored in Google Drive folder of DC and will be
transferred in “ARCHIVE FOLDER - OBSOLETE” and shall be replaced by the new version.

IV. Distribution of Documented Information

1. The documented information recipient must be determined and it should be received

appropriately, either in hardcopy or electronically.
2. Masterlist of Documents and Records maintained by DC shall be updated, reflecting the latest
distribution date and recipients.

V. Storage, Protection and Maintenance

1. Documents and records are defined by each department in their respective department manuals.

2. Section C – Document and Records Matrix in the department manual include the following
information:

a. Description – name of the record or document

b. Process – business process where record or document will be used
c. Media – paper, electronic, photographs, disc or other applicable medium
 Executive Division
Document and Records Control/Document Controller

d. Location – exact location where the document or records (paper or electronic) are stored
e. Storage – filing storage such as folder, magazine boxes, expanded folder or envelopes, etc.
f. Filing Method – alphabetical, date or year, subject matter or other filing methods applicable
g. Responsibility – accountable person to maintain, safekeep or dispose the records
h. Retention Period - duration of time in which the records should be maintained or retained
i. Disposal Method – action to be carried out when retention period is over (shred, delete or
overwrite, archived, recycled, etc.)

VI. Access/Handling of Customer Information

1. The department/division head shall authorize a limited number of individuals for accessing the
customer information.

2. The concerned departments are responsible for gathering customer data and informing them on
how their data will be handled, stored and processed, and who will have access to it.

3. Customers shall be appropriately informed through call, email, or formal letter in case of lost or
corrupted documented information.

VII. Retrieval/Borrowing of Documented Information

1. If the request is to acquire a copy, it shall be recorded and duly signed by the requesting party
and approved by the DC.

2. If the document being requested was identified to be classified, confidential or restricted, proper
authorization must be acquired by the requesting party to the concerned department prior to
any action on the request and/or approved by the Document Controller.

VIII. Retention and Disposal of Documented Information

1. Retention period defined in the Documents and Records Matrix (Section C) shall be observed.

2. Coordinate with Corporate Administration Department (CAD) for shredding of files stored in the
warehouse.

3. Department head and/or division head shall dispose or authorize the disposal or destruction of
any of its documented information which are under their custody in accordance to Data Privacy
Act (DPA). Disposal could either be in the form of, but not limited to:
a. Shredding
b. Recycling
c. Transfer
d. Archiving

4. Electronic documents, depending on the department, will be saved in the company’s server.
ISM’s server will be used as a repository of electronic documents intended for document
storage, retrieval and sharing purposes.
 Executive Division
Document and Records Control/Document Controller

IX. Controls Over Electronic Documents

1. The department head shall define authorized access to computer files.

2. Customer’s personal information shall be available to the authorized account officers and
processors. Changes on the customer’s details should be properly communicated to concerned
groups through email or memo.

3. A shared drive “Google Drive” folder is created by records custodian per department to place all
electronic data to be accessible only by authorized persons assigned by DC or department head.
All personnel involved per department are granted access to the relevant folders differently (No
Access, Viewer, Commenter, and Editor) based on the individual's job description and nature of
work. The Document Controller or department head will approve the granted access and ensure
that ISM Group makes such arrangement and grant access accordingly.

4. Latest version of documents and forms must be stored and maintained in a computer folder (in
company’s server or Google Drive).

5. All documents and records are stored in Google Drive: Document Control\Masterlist of
Documents and Records\Final\Folders\Subfolders\files.

6. The electronic file name shall be constituted of the department issuer, abbreviation and/or
name of the document, effectivity date, together with the revision number.

Example for forms:

- Doc number: AAA-BBB_MMDDYYYY REV.##.doc

- Electronic number: AAA-BBB_MMDDYYYY REV.##.pdf

Example for department manual:

- Doc number: DEP-DM_MMDDYYYY REV.##.doc

- Electronic number: DEP-DM_MMDDYYYY REV.##.pdf

Example for documented information:

- Doc number: DEP-GDL-TITLE_MMDDYYYY REV.##.doc

- Electronic number: DEP-GDL-TITLE_MMDDYYYY REV.##.pdf

7. Electronic files in Shared Drive (Google Drive) and company server (Drive U) are backed up on a
daily basis to an offsite Disaster Recovery site under the responsibility of ISM.

8. Any previous soft versions are moved to a separate folder identified for obsolete documents or
forms which are kept for historical purposes, ARCHIVE FOLDER - OBSOLETE.
 Executive Division
Document and Records Control/Document Controller

IX. Control of External Documents

1. The department heads shall identify all external documents handled by each department.

2. List and copy of the documented information shall be submitted to the DC for recording in
Masterlist of Documents and Records, and shall be included in the Document and Records
Matrix in the department manual.

X. Forms and Templates

Document Control Form (DCF)

 Executive Division
Document and Records Control/Document Controller

PROCESS FLOWCHART 1: Creation and Revision of Forms

 Executive Division
Document and Records Control/Document Controller

PROCESS FLOWCHART 2: Issuance and Updating of Department Manual

 Executive Division
Document and Records Control/Document Controller

PROCESS FLOWCHART 3: Retention and Disposal of Documented Information