DOCUMENTS & RECORDS CONTROL PROCEDURE

Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~1~

Documents & Records Control Procedure

PREPARED BY REVIEWED BY APPROVED BY

Management Representative Executive Manager: General Manager:

Date: Date: Date:

REVISION HISTORY
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~2~

Issue Rev No. Revision Date Details of Modification DCR No.

1.0 POLICY
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~3~

1.1 TEC will control Management System Documents to ensure that everyone is working
according to current – and identical – procedures and guidelines.

2.0 OBJECTIVE
2.1 To outline the documentation structure used by the organization and to define the
requirements documentation control.
2.2 Generation, approval, issue, control, revision, withdrawal and disposal to assure that
these documents are implemented and followed in a controlled and consistent
manner.
2.3 Ensuring that documents of internal and external origin are available and their revision
status are identified and available at the point of use.
2.4 Ensuring that the documents are stored properly to protect them from damage or
deterioration and for easy retrieval.
2.5 Ensuring that the obsolete documents are adequately identified, controlled and
disposed at the defined time to prevent their unintended use.
2.6 Ensuring that the Records are identified, stored, protected, retained and disposed at
the defined time.

3.0 SCOPE
3.1 All Management System Documents, Procedures, Forms & Records.

4.0 DEFINITIONS
4.1 DCR: Document Change Request.
4.2 MR: Management Representative
4.3 Master Copy: Original hard copy of a document generated, approved and retained with
MR. On revision, the master copy of the existing document is retained for specified
period identified with ‘OBSOLETE’ stamp in Red.
4.4 Controlled Copy: Copy of the Master issued to a user with controls in place to keep it in
current revision status. Controlled copies bear a ‘CONTROLLED COPY’ stamp in blue.
Controlled copies are retained by the copy holder till the revision of the document upon
which it is replaced with new version and old handed over to MR for disposal.
4.5 Obsolete Copy: A document that is currently removed from the system due to revision or
termination of the document. Obsolete copies bear an ‘OBSOLETE’ stamp in Red. One
copy of the obsolete document is retained with MR for specified period.
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~4~

4.6 Un-Controlled Copy: Copies supplied to other external parties like customers, suppliers
and other agencies as decided by General Manager. The issue of these documents with
UNCONTROLLED COPY stamp are not controlled and hence will not be updated.

5.0 RESPONSIBILITIES
5.1 The MR is responsible and holds the authority for the implementation of this procedure to
handle and manage the Management System Documentation.
5.2 The General Manager holds the authority to approve changes to Management System
Manuals, Policy related documentation and Level II Procedures.
5.3 Process Owners approve Level III and below documentation.
5.4 All Process Owner / Concerned Department Heads are entitled and responsible for
reviewing all Level II and below documentation prior to approval/revision.
5.5 Process Owner / Concerned Department Heads are responsible for initiating for changes,
if any required, for maintaining the adequacy, pertaining to his process. Process Owner is
also responsible for implementing the new or revised procedures in his area through
necessary training wherever required.
5.6 Controlled copy holders are responsible for maintaining their respective copies and to
hand over on revision of the document.
5.7 Process Owner/Person responsible as defined in the respective procedures is accountable
for the Records.
5.8 All employees are responsible for implementation of procedures in their respective area.
5.9 All employees are at liberty to suggest any changes to the documentation, which would
improve the Efficiency, Effectiveness and Conformity of the Products, Services and
Processes of the Organization.

4 PROCEDURE:
4.1 Management System Documents
 MR in coordination with department heads identifies the documents that are
required to perform the activities and to establish Management System.
 Management System documents includes (but not limited to) :
i. Quality and EHS Policy
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~5~

ii. Quality manual

iii. EHS Manual
iv. Procedures
v. Quality, health & safety and environment objectives
vi. Operational control procedures
vii. Forms and records
 Master list of documents" include documents that are currently in use:
i. Document reference number
ii. Document name
iii. Issue number
iv. Revision number
v. Document date
vi. Number of pages
4.2 Creation & Preparation of Documents
 Management encourages employees to identify the need of new documents / record
or amending the existing document.
 Personnel identifies the need of document communicates to department heads,
Document Change request (DCR) is used to request the new document / modify the
existing document.
 Department head in coordination with personnel who identified the requirement
creates the draft copy of the document:
i. Department head reviews the draft copy.
ii. If document is going to be used by all functions, MR to reviews the document
with all concerned department heads.
iii. Upon the successful review, document is submitted to GM for document
approval.
 Upon the successful approval by GM (in the absence of GM, Project Manager
approves), QHSE MR:
i. Assign unique reference number and control status
ii. Include document in Management System documents
iii. Amend relevant procedures, if require
iv. Ensure document is available in place of work
v. Distribute new / amended document to all concerned users and remove obsolete
/ superseded document from the place of work. Maintain the evidence of
distribution of document.
vi. If superseded document is required for future reference, document is identified
as obsolete and maintained for reference only.
vii. Update master list of management system documents.

4.3 Document Identification Format

 QHSEMR is responsible for maintaining and updating the TEC documents through
master list of documents Ref. MS-P04-F1.
 The master list of documents identifies the current revision status of documents,
which are established and readily available to avoid the use of invalid and obsolete
documents.
 Referencing System of MS Documents would be as follows:
Series No. Document Description
Management System Manual
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~6~

EHSM Environment, Health & Safety Manual

QMSM Quality Management System Manual
Procedures
MS Management System Procedures
SOPs Supporting procedures
EHS Health, Safety and Environment Procedures
EHS-OCP Operational Control Procedures
CON Construction Procedures
COM Commercial Procedures
FORMS
Series Ref Procedure Ref. Form Ref.
MS P0 F0
4.4 Review and Approval
 Document specific to the department is reviewed by concerned department head.
 Document common to all departments is reviewed by all department heads.
 GM approves all management system documents.
 Evidence of review and approval is maintained in the cover page of documents.

4.5 Assigning Control Status and Distributing the Documents

 MR ensures that distribution of documents is controlled and properly identified with
control status and document is valid.
 Management System Manuals, procedures, operational control procedure are
controlled with:
 Latest issue number, revision number and document date
 Signature of personnel involved in preparing the document
 Signature of personnel involved in reviewing the document
 Signature of GM
 All pages have following control status in the footer of the page:
 Document reference
 Issue number
 Revision number
 Document date
 Page number
 All pages of Management System Manual have in the header of page:
 Document name “Quality Manual” / "EHS Manual"
 Form is controlled with:
 Header of common form has:
 Form name
 Header of department specific form has:
 Company Logo
 Form name
 Footer of form has:
 Form unique reference number
 Revision number
 Document date
 Page number
 Management system documents, which are only for reference, are converted
to PDF format.
 Manual
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~7~

 Procedure
 Management system documents, which are to be used, are issues either in
EXCEL or WORD format.
 Form
 MR maintains “Documents Distribution Register” for distributing the
documents that includes:
 Document reference number
 Issue number
 Revision number
 Document Date
 Issued By and
 Received by
 MR ensures that:
 After distributing the latest revision document, recipient destroys the earlier
document or removes document from the place of use.
 Only latest documents are at the place of work
 Any modification to documents without authorization of MR is deemed as invalid.
 Any printed document that does not have controlled copy stamp is considered as
"Uncontrolled Document" and such document is removed from the place of work.
 MR amends document amendment sheet upon revising or amending that document.
 MR Maintains "Master Copy" of Management System documents, which are
stamped with "Master Copy" stamp.
 Management System Documents /EHS documents that are distributed to recipients
other than REPCRETE employees are identified as an “Uncontrolled Copy” as
Management System Documents / EHS reflects the Documents / EHS status at the
time of distribution only. Later if document is amended or revised, document that is
distributed to external party is not subject for update.

 Controlling Issue Number and Revision Number

 "Issue no" control parameter is numeric number that starts from 0.
 "Revision number" is numeric number that starts from 0 (zero).
 Initial Management System documents are issued with Issue Number 0 and
Revision Number 0
 If any changes done to "Quality Manual" / "EHS Manual":
 Revised clause is typed in bold and italic
 Revision number is amended to current revision number + 0
 Issue number is amended to next issue number, if there are several
clauses with different revision numbers
 Date in footer is the date on which document is revised

 If any changes done to procedure:

 Revised clause is typed in bold and italic
 Revision number is current revision number+0
 Issue number is amended to next Issue number if procedure revision
number reached to 3.
 Date in footer is the date on which document is revised
 If any changes done to "Quality Form" / "EHS Form" :
 Revision number is current revision number + 0
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~8~

 Form date in the footer is the date on which form is revised

 If there are significant amendments to existing several management system

documents, with the approval of GM, MR shall re-distribute the documents with
following control status:
 Issue Number is going to be current issue number +1
 Revision number of all Management System documents is going to be 0
"Zero"
 Date of documents is going to be date on which documents are revised.
Details of amendments are recorded on "Amendment sheet" of that document.

Control of Obsolete Documents

 Superseded document is identified as obsolete document and ensured that obsolete
document is removed from the place of work:
 If obsolete document is required for future reference only document is
identified as obsolete "future reference only" otherwise document is
removed from the place of work. Only one set of obsolete documents are
maintained in "Obsolete File" all other copies which are with different holders
are destroyed.

 GM is authorized to dispose of obsolete documents in a controlled manner. Details

of documents / records that are disposed of are maintained.
Origin of External Documents
 MR in coordination with department heads establishes the need of external
documents such as:
 Construction codes of practice
 Applicable legal requirements

Controlling software to process information

 HR & ADMIN officer maintains list of software used in each activity.
 End user of software is responsible to assess the suitability of software
Controlling incoming and outgoing documents
 System in place to control documents that are channeled either through:
 Faxes
 EMAILS
 Hardcopies
 Incoming & outgoing documents (Faxes & memos / documents / documents):
 Executive secretary receives the document and record the details of
document either on:
 "Incoming Document Register" if document is received from external
party
 "Outgoing Document Register" if document is forwarded to external
party
 External document is forwarded to concerned department head.
 Department heads reviews and forwards the document to concerned
personnel.
Copy of received document is filed.
 EMAILS:
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~9~

 Incoming and outgoing EMAILS are managed by individual personnel.

Control of Records
 MR coordinates with department heads to list out records that are generated to
demonstrate the conformity to the requirements.
 "Record" is the result of any process or activity that evidences that, activity is
being done and also records are used to take decisions for further
improvements of process.
 MR and department heads are responsible to maintain the records in suitable
condition (legible and readable) and identify the record:
 with proper reference
 define the retrieval authority
 define the retention period
 disposal method and
 disposal authority

 Where applicable and as stated in the relevant procedures, records generated are
kept, either in the form of paper format and/or electronic format.
Records are reviewed and evaluated by concerned department heads
 In the absence of a statement from the customer, records are retained for a period
as specified in the “Records Retention Period Table”. Various records are retained for
diverse period, as per the need.
 GM decides the retention period of records.
 Suitable disposal methods are developed and accordingly all records are
disposed of; Management ensures that "confidential information" such as
pricing, income statements, profit analysis reports etc. is not made available
to any unauthorized personnel; and also documents are identified as
"Confidential".

 All records are stored in a suitable environment to minimize the risk of deterioration
or damage and to prevent loss.
 Storage of records are maintained so that information can be easily, readily retrieved
and analyzed to demonstrate the quality of product / service and the effectiveness of
the system.
 Once the retention period expired, the records are destroyed in a controlled manner
with the approval of General Manager
 Management includes the following records in management system but not limited
to:
 Contracts signed with the customer
 Customer purchase orders
 Supplier approved quotations
 Purchase orders to the suppliers
 Calibration records
 Customer job related records
 Work orders to the service providers
 Service provider / Subcontractor performance records
 Nonconformance Reports
 Quality control inspection reports
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~ 10 ~

 Customer complaints
 Corrective and preventive action reports
 Supplier performance evaluation records
 Training records & competency evaluation
 Objectives monitoring report
 Internal audit plan & audit reports
 EHS Risk Assessment Register
 Legal compliance evaluation register
 Near misses
 Incident reports
 Legal violation notices
 Mock drill reports
 checklists
 EHS performance records
 EHS Training records

Back-up of data
 Administrator ensures the integrity and reliability of data processes and information
generated in the organization
 Records generated by departments are stored in their department specific folder.
 GM establishes the data backup policy, which is reviewed on yearly basis
 Backup media is kept in fire proof safe.

Confidentiality of documents / records

Employee is informed to maintain the integrity of data during employee induction session.

5 FORMS
5.1 Master List of Documents MS-P04-F01
5.2 Document Change Request MS-P04-F02
5.3 Data Back Sheet MS-P04-F03
5.4 Documents of External Origin Sheet MS-P04-F04

6 RECORDS
Mode of Minimum
No. Record Title File Location Owner Destruction
Storage Retention
1 Master List of Documents Filling MR Office MR 5 years Shredding
2 Document Change Request Filling MR Office MR 5 years Shredding
3 Data Backup sheet Filling MR Office MR 5 years Shredding
4 Documents of External Origin Filling MR Office MR 5 years Shredding
 DOCUMENTS & RECORDS CONTROL PROCEDURE
Doc.# MS-P04 Date 15-02-2014

Issue/Rev. 1/00 Page ~ 11 ~