Example of procedure for Control of Records

Uncategorized 4 Minutes

1.0 PURPOSE:

To establish & maintain documented procedure for identification, collection, indexing, access, filing, storage, maintenance, disposition and retention of records related to Quality management system.

2.0  SCOPE:

Applicable to all quality records of the organization related to Quality management system. This procedure is applicable to all the following systems and standards

  • ISO 29001:2020/ API Spec Q1, 9th edition
  • API Spec …..
  • API Spec …..
  • API Spec ……
  • API Spec ……
  • API Spec ……

3.0   RESPONSIBILITY:

  • Management representative/ Design & Quality Systems Manager
  • All concerned process owners

4.0  INPUTS:

  • Forms & formats
  • Document change request

5.0 RESOURCES:

Competent Manpower, Computers, Printer & Internet connection, Stationary, International standards & specifications, XXX Procedures

6.0 PROCEDURE:

Records refer to documented information to be retained by XXX as evidence to have confidence that the processes are being carried out as planned. M.R. shall prepare the list of Records to be maintained across the organization & shall issue the same to the concerned.

6.1 IDENTIFICATION OF RECORDS:

All files/register are identified by using labels which indicates the reference no., description, the period to which the contained records belong.

6.2 COLLECTION OF RECORD:

  1. The origin of records & generating authorities are described in respective Quality management system procedures, work instruction, quality internal procedure method statements & check lists.
  2. Each department head shall ensure all the records are legible by the concerned users & specify the collection method in the list of records & shall maintain the records safely.

6.3 INDEXING & FILING OF RECORDS:

  1. The individual records shall be indexed in chronological order or date / serial nos. wise or subject of records as felt appropriate by the department in charge. The records in the form of book copies shall be kept in chronological order of period for each book, which lead to easy retrieval of any record needed.
  2. The records shall be filed in a new file when the current file becomes bulky for handling or after the predetermined time period.

6.3 ACCESS OF RECORDS:

  1. All the personnel performing various tasks addressed in the system shall have access to any record required by them in connection with their work, through the department incharge.
  2. Whenever required, the records are made available for analysis, audit purpose & for any other reference purpose.
  3. If contractually agreed, the appropriate records shall be made available to the customers as & when required.
  4. The records stored in departments or record room shall be provided adequate protection from any type of damage, deterioration or loss.

6.4  DISPOSITION OF RECORDS:

The records after the completion of retention period shall be destroyed by the department by shredding.

6.5  RETENTION PERIOD OF RECORDS :

  1. The retention period for each record shall be mentioned in the list of records, which is prepared & maintained by M.R.
  2. Records of internal quality system audit & management review shall be retained for a period of five years by M.R.

However for any other reasons, if felt necessary, any of the records shall be retained further for time period needed by department heads and destroyed subsequently.

6.6 COLLECTION OF RECORD:

  1. The origin of records & generating authorities are described in respective Quality management system procedures, work instruction, quality internal procedure method statements & check lists.
  2. Each department head shall ensure all the records are legible by the concerned users & specify the collection method in the list of records & shall maintain the records safely.

6.7 INDEXING & FILING OF RECORDS:

  1. The individual records shall be indexed in chronological order or date / serial nos. wise or subject of records as felt appropriate by the department in charge. The records in the form of book copies shall be kept in chronological order of period for each book, which lead to easy retrieval of any record needed.
  2. The records shall be filed in a new file when the current file becomes bulky for handling or after the predetermined time period.

6.8 ACCESS OF RECORDS:

  1. All the personnel performing various tasks addressed in the system shall have access to any record required by them in connection with their work, through the department incharge.
  2. Whenever required, the records are made available for analysis, audit purpose & for any other reference purpose.
  3. If contractually agreed, the appropriate records shall be made available to the customers as & when required.
  4. The records stored in departments or record room shall be provided adequate protection from any type of damage, deterioration or loss.

6.9 DISPOSITION OF RECORDS:

The records after the completion of retention period shall be destroyed by the department by shredding.

6.10 RETENTION PERIOD OF RECORDS :

  1. The retention period for each record shall be mentioned in the list of records, which is prepared & maintained by M.R.
  2. Records of internal quality system audit & management review shall be retained for a period of five years by M.R.
  3. However for any other reasons, if felt necessary, any of the records shall be retained further for time period needed by department heads and destroyed subsequently.
Sl. No.DescriptionRetention PeriodResponsibility
1Internal Quality Audit Report5 yearsQuality Systems Manager
2Minutes Management Review Meeting5 yearsQuality Systems Manager
3Contract/Job order file including related documents10 years from the completion dateCommercial Officer
4Quality records5 years or 10 years/As per API product spec requirementsQA/QC Engineer
5Inspection records10 years or Part of contract/job order recordsCommercial Officer
6API Monogrammed Product records5 years or 10 years/As per API product spec requirementsCommercial Officer
7Purchase documents10 year after settlement unless specified otherwiseProcurement Engineer
8Finance documents5 years after settlement unless specified otherwiseFinance Controller
11Training records5 yearsHR Manager
12Personnel records of Permanent employment5 years  after end of employmentHR  Manager
13Legal documents5 years after closing all legal issuesChairman  
14Product Specification…..records5 yearsQA/QC Engineer
15Product Specification ….. records10 yearsQA/QC Engineer
16Product Specification ….. records5 yearsQA/QC Engineer

6.11 EXTERNAL RECORDS

  • Records prepared or generated by the Sub Contractors / Suppliers which are the part of Quality Management System are maintained as company’s own records.
  • Such records generated by the Sub Contractors / Suppliers are verified for accuracy and endorsed by the responsible person receiving these records.

7.0 OUTPUTS

Completed forms & formats

8.0 KEY PERFORMANCE INDICATOR

All records available as per requirements.

9.0 ASSOCIATED DOCUMENTS & RECORDS

DESCRIPTIONFORMAT NUMBERRESPONSIBILITY
All Quality records (Master List of records)XXX/MR/D02All functional heads

Published by Pretesh Biswas

Pretesh Biswas has wealth of qualifications and experience in providing results-oriented solutions for your system development, training or auditing needs. He has helped dozens of organizations in implementing effective management systems to a number of standards. He provide a unique blend of specialized knowledge, experience, tools and interactive skills to help you develop systems that not only get certified, but also contribute to the bottom line. He has taught literally hundreds of students over the past 5 years. He has experience in training at hundreds of organizations in several industry sectors. His training is unique in that which can be customized as to your management system and activities and deliver them at your facility. This greatly accelerates the learning curve and application of the knowledge acquired. He is now ex-Certification body lead auditor now working as consultancy auditor. He has performed hundreds of audits in several industry sectors. As consultancy auditor, he not just report findings, but provide value-added service in recommending appropriate solutions. Experience Consultancy: He has helped over 100 clients in a wide variety of industries achieve ISO 9001,14001,27001,20000, OHSAS 18001 and TS 16949 certification. Industries include automotive, metal stamping and screw machine, fabrication, machining, assembly, Forging electrostatic and chrome plating, heat-treating, coatings, glass, plastic and rubber products, electrical and electronic equipment, assemblies & components, batteries, computer hardware and software, printing, placement and Security help, warehousing and distribution, repair facilities, consumer credit counseling agencies, banks, call centers, etc. Training: He has delivered public and on-site quality management training to over 1000 students. Courses include ISO/TS -RAB approved Lead Auditor, Internal Auditing, Implementation, Documentation, as well as customized ISO/TS courses, PPAP, FMEA, APQP and Control Plans. Auditing: He has conducted over 100 third party registration and surveillance audits and dozens of gap, internal and pre-assessment audits to ISO/QS/TS Standards, in the manufacturing and service sectors. Other services: He has provided business planning, restructuring, asset management, systems and process streamlining services to a variety of manufacturing and service clients such as printing, plastics, automotive, transportation and custom brokerage, warehousing and distribution, electrical and electronics, trading, equipment leasing, etc. Education & professional certification: Pretesh Biswas has held IRCA certified Lead Auditor for ISO 9001,14001 and 27001. He holds a Bachelor of Engineering degree in Mechanical Engineering and is a MBA in Systems and Marketing. Prior to becoming a business consultant 6 years ago, he has worked in several portfolios such as Marketing, operations, production, Quality and customer care. He is also certified in Six Sigma Black belt .

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