Document no.

ISP 01
Rev. no. DRAFT

Procedure: Documents and Pages Page 1 of 7

Records Control
PURPOSE & SCOPE
This procedure describes the system and methods in place to control IMS system
documentation and records.

This procedure applies to all hard copy and electronic documents utilized in the System.
Documents of Financial and of administrative nature will be excluded from the scope of this
procedure.

RESPONSIBILITY

Responsible Details
person
Director Approve Policy documents and Business Manual
HOD Approve and manage changes to documents for their area of
responsibility
All Staff Request changes to documents if any process requirements change
HSQE Manager Maintain document master register
Responsible for overall administration of Toolkit

RELATED DOCUMENTS
1. Master Index (Excel spreadsheet)
2. Toolkit

PROCEDURE

GENERAL NOTES
 The structure of the documentation is laid out in the Business Manual and the IMS
“Toolkit”
 The HOME page of the Toolkit indicates the structure of documentation, and defines the
following hierarchy:
1. Policies
2. Procedures
 System and support procedures
 Operational / production procedures

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22
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Procedure: Documents and Pages Page 2 of 7

Records Control
3. Safe Work Procedures
4. Registers and Spreadsheets
5. Routine forms
 System and support forms
 Operational forms
6. Records
7. Additional folders are established for Draft Documents and Obsolete Documents

A Control of Documents – General conditions

1. All documents (policies, procedures and SWP) have unique identification, using Titles and
numbers. Numbering is completed as per details laid out in Appendix A below.
2. Documents are controlled by issue (revision) numbers. An “effective date” indicates the
date on which a document is published for use.
3. The above control does not apply to any system-generated documents or forms, or pre-
printed forms e.g. HOD minutes.
4. A master index is maintained for all Management System documentation. The Index
provides number sequences and conventions, used to allocate numbers to documents.
This Index also serves as a revision register.
5. There are various copies of the Company Business Manual. The Master copy is
electronically stored on the server. Hard copies are available on request and once printed
becomes an uncontrolled copy.
6. Hard-copy documents are valid only for the day of printing, after which they will become
“uncontrolled”. If it becomes necessary to use a controlled hard copy, the printed version
must be stamped or written “CONTROLLED DOCUMENT” in red.
7. Electronic access controls are determined by the senior management. All users have read
access only. The HOD’s of each department and MD have read/write access. The IT
section will maintain the permissions as required.
8. Any records created during the course of work will be scanned to electronic format and
saved to the appropriate folder. No records will be maintained as hard copies only.

B Compilation, Approval and Issue of New documents

1. Documents may be compiled by any member of staff.
2. Documents must be compiled using any of the official blank “templates” available in the
Toolkit. This applies to Procedures, WI’s and forms.

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22
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Procedure: Documents and Pages Page 3 of 7

Records Control
3. All new and working draft documents must be stored in the “Draft Documents” folder
until final approval.
4. Drafts of all new documents must be forwarded to the HSQE manager for numbering,
formatting and checking. Refer to Appendix below for numbering methods. At
completion of the above the HOD will then approve the documentation.
5. Once the document is ready for approval, it must be submitted to the top Management
Team for review. Approval is achieved by the top Management team.
6. Once approval has been received, the document will be moved from the “Draft
Documents” folder to the correct folder as required.
7. The HOD will send a blanket email to all users, informing them of the publishing of the
new document.
8. All HOD’s are responsible for making their staff aware of the new Procedure of other
document.

C External Documents
1. The “Library” folder in the Toolkit is utilized to identify, store and control external
documents.
2. Other external documents such as operational procedures and work instructions are
stored in the relevant document folder. The Master Register of documents lists any
external procedures and instructions, as these also contain different numbering systems
from the standard list.
3. All hard-copy external documents, such as training manuals, service manuals, machine
operating manuals, etc. must be stored in controlled areas, typically in marked
cupboards
4. Each Department head is responsible for controlling external documents pertinent to
his/her area. Documents such as machine or vehicle manuals are stored in each Dept.
The HOD is responsible for ensuring that the latest revision is available.
5. Distribution of external documents is controlled by the designated process owner. The
process owner is also responsible to ensure that confidential or restricted documents are
not distributed.

D Change Control
1. Any person may request a change to internal documentation.

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22
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Records Control
2. Department heads are responsible to review and approve or reject proposed changes for
their respective areas.
3. Changes are requested verbally or by writing proposed changes in on a copy of the latest
revision of the procedure or document, the document must be forwarded to the HOD of
the specific department for processing and updating of any documents.
4. When a document is changed, the document revision no. must be updated, and the
Master Documents Register must be updated accordingly.
5. Approval and publishing of changed documents is done as described in Section B above.
6. Revisions or changes to documents are indicated by a “Revision History” table at the end
of each procedure. (This does not include changes made to routine forms.)
7. Minor cosmetic or format changes are not subject to revision controls.
8. The HOD of the specific department must send an email to all Department heads
informing them of the publishing and issue of the revised document.
9. Each HOD is responsible to ensure that any obsolete hard copy documents are removed
from the point of use, and replaced with the new revision.
10. Each HOD is responsible to ensure that their employees are familiarized with the new
changes applicable. This can usually be achieved through Toolbox talks

E Control of records
1. The primary method of identifying and controlling records is through the “Records
Register” spreadsheet, found in the Toolkit.
2. All records required by procedures, and by the ISO Standards, must be listed in the
Register.
3. All records required by Law or according to Customer-specific requirements must be
listed in the Register.
4. In the case of electronic records retained in systems such as Pronto, the applicable
controls are established through technology, and are not specifically defined in the
Records Registers. Only a cross-reference is made to these systems in the Records
register/s
5. The Records Register must be completed in full, ensuring that the following controls are
in place and listed
a. Identification – the name and/or number of the record
b. Responsibility – the person responsible for final retention and safe-keeping of
the record

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Records Control
c. Location – the final storage location of the record. This includes the location for
electronic (soft copy) records (e.g. the folder where the record is stored)
d. Retention period – how long must the record be kept. Note that legal
requirements for period of retention may be applicable.
e. Disposal method – on whose authority will the record be deleted or destroyed
6. No records may be disposed of or deleted without the necessary approval of the
authority indicated on the records Registers
7. Records deemed sensitive or confidential must be disposed of by shredding
8. Electronic records must be deleted by the responsible IT person.

F Control of Obsolete documents

1. Obsolete electronic versions of documents and procedures are moved to the “Obsolete
Documents” folder in the Toolkit. Older revisions are discarded by deleting

G Review of Documents
1. The table below indicates the review frequency and details for various HSEQ documents

Document Review frequency Responsibility

Procedures or SWP’s 1-yearly Operations manager
Policies Annual Reviewed during Management
Review process
Emergency procedures 6-monthly Operations Manager

2. In all cases above, proof of the date of review must be recorded on the document. This is
done in the “Revision History” table. Note that the revision number must not be
updated, only the date of review must be indicated, and the description “REVIEW” must
be included in the details column.

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22
 Document no. ISP 01
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Procedure: Documents and Pages Page 6 of 7

Records Control
Appendix A: Document Numbering

Sequenc
e no.
ISP Integrated System procedure 01
SWP Safe Work Procedures 02
ESP Environmental System procedure 03
ISF Integrated System form 04
IEF Environmental form etc.

EP Emergency Plan
POL Policies
HR Human resource
H&S Health and Safety
MSR Registers are identified with an alpha-numeric descriptor which
identifies the type of register – e.g.
- ROR: Risk / Opportunity Register
- NCR: Nonconformance Register
- Etc

Explanation of “documents”
 Procedure: A specified way to carry out an activity or set of activities.
 Work Instruction: These are more detailed procedures or instructions – e.g. Test
method for cooling cycles; Operation of effluent plant
 FORM: A “blank” (uncompleted) document which will become a record once
completed
 GUIDELINE: A document containing recommendations, and which is does not
contain mandatory requirements
 TEMPLATE: A document which is pre-formatted, but which can be edited to
contain specific information – e.g. a Contract; Job description

Records Management

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22
 Document no. ISP 01
Rev. no. DRAFT

Procedure: Documents and Pages Page 7 of 7

Records Control
Record Location Responsibl Filing method Retention Disposal
e

Revision History
Rev. no Date Details
Draft 7/12/2021
0 First Publication approved

Valid only on day of printing, unless stamped CONTROLLED COPY in red: Print date: 26-Oct-22