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Control of Documents and Records

Procedure
Reference Number

Description Name / Title Signature Date


Prepared by
Reviewed by
Approved by

Document Change Log Table


Rev. No. Page No. Description of Amendment Approved by Effective Date
Table of Contents
1.Purpose ................................................................................................................................................... 3
2. Scope ...................................................................................................................................................... 3
3. Terms and Definitions ............................................................................................................................ 3
4. Responsibilities....................................................................................................................................... 4
5. Procedure Description ....................................................................................................................... 4
5.1. General Document Usage .............................................................................................................. 4
5.2. New Document / Manual or Change to the Existing Document / Manual .................................... 4
5.3. Document Effective Date & Version Control ................................................................................. 4
5.4. Obsolete / Outdated Document .................................................................................................... 5
5.5. Document Referencing and Numbering System ............................................................................ 5
5.6. Control of Records ......................................................................................................................... 5
5.7. Standards / External Origin Documents ......................................................................................... 6
5.8. Electronic Documentation ............................................................................................................. 6
5.9. Managing Development and Changes of Documentation .............. Error! Bookmark not defined.
6. Reference Documents and Records ................................................................................................... 7
1. PURPOSE

The purpose of the manual is to:


 Ensure that the information contained within Official Documents and Manuals pertaining to the
“your organization’s 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 organization’s name” process and procedure manuals.
 All documents used to control the quality of the products and/or services provided by all “your
organization’s name” Divisions.
 Documents of external origins applicable to QMS of “your organization’s name” Divisions (i.e.
standards, contracts, drawings).

3. TERMS AND DEFINITIONS

Term Definition
Controlled Copy A copy of the current issue of procedures/manual/forms issued formally and
subjected to the distribution control of this procedure
Official Documents Documents established such as policies, procedure manual, objective, process
manual and plan (originated within “your organization’s name”)
Electronic Document Soft-copy of a document
External Document Document originated by an external party (outside of “your organization’s
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 organization’s name” Network
since the latest version of the documents are kept on the Shared Drive (i.e. “your organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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 organization’s 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:
Form /
Task No. Description Owner
Document
1 When an employee considers a need for a new document / Section- Document
form or change to an existing manual to improve the quality Head / Change request
of work/service, the employee will review the suggested Document Form
change with his/her line manager and the assigned document Controller
controller. If endorsed, the ‘document change request form’
should be completed and then submitted to the MR.
2 The MR would then discuss the details of the suggested MR
amendment with relevant parties to assess the impact of the
amendment on other functions within the “your
organization’s name”.
3 If the request is accepted, the concerned divisions will MR
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
Form /
Task No. Description Owner
Document
Director.
Note: Changes to forms can be approved at the section-head
level.
4 Upon re-issuing any documents / forms, the revision number MR
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 the Document Controlled
approved/signed version as the Master copy. The Controlled Controller Copies Register
Copies Register is updated accordingly. The old versions of
the master copies are marked as “Obsolete” and filed by the
QR with a copy of the revised pages in the Master File.
6 The MR has to inform all concerned individuals of the MR Email / internal
amendments via email or internal memo. The MR shall also memo
ensure that all new or revised documents are saved on the
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 organization’s name” Network) every
month at least.

6. REFERENCE DOCUMENTS AND RECORDS

No. Name Reference No. Internal/ Retained Record


External By Retention
Period
1.
2.
3.
4.