control of records
DESCRIPTION
designTRANSCRIPT
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IntegratedManagementSystem
ControlofRecords
AGLGILAUHIMSPQHSE002 Version2.0 Dated:18Dec2011 Page1of8
DocumentRevisionHistory
VersionNo.
DateofRevision DescriptionofChanges
PagesAffected
RevisedBy
00 1May2009 1stissueforimplementation
1.0 25Apr2011 PeriodicIMSreview
2.0 18Dec2011 Completelyrevised AllProcessAnalyst
ThisProcedureisconfidentialandhasbeenpreparedexclusivelyforAgility(AbuDhabi)PJSC.Itshouldnotbeused,reproducedorcirculatedforanyotherpurpose,inwholeorinpartwithoutpriorwrittenapprovalfromAgility(AbuDhabi)PJSC.
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IntegratedManagementSystem
ControlofRecords
AGLGILAUHIMSPQHSE002 Version2.0 Dated:18Dec2011 Page2of8
TableofContents
1. Purpose...........................................................................................................................................................2
2. Scope...............................................................................................................................................................2
3. OwnershipStatement....................................................................................................................................3
4. TermsandDefinitions...................................................................................................................................3
5. Abbreviations.................................................................................................................................................3
6. ResponsibilitiesandAuthorities..................................................................................................................3
7. Procedure.......................................................................................................................................................4
8. Measurements................................................................................................................................................6
9. Records...........................................................................................................................................................6
10. References......................................................................................................................................................7
1. PurposeEstablishing, implementing and maintaining Integrated Management System as per therequirements of ISO 9001: 2008, ISO 14001: 2004, BS OHSAS 18001: 2007 InternationalStandards for managing and controlling records that are generated while conducting thebusinessandfallsunderthepurviewofManagementSystem.
Intention of developing and implementing a Record Control procedure is to ensure thefollowing:1. Recordsareproperlyidentified,stored,andprotected.2. Recordsareretainedforaminimumspecifiedperiod.3. Recordsremainlegible,identifiableandretrievableasandwhenrequired.4. Recordsaredisposedoffsuitablyoncompletionofretentionperiod.
Note: Although the procedure is termed as Quality Management System Procedure, thisprocedureshallbeappliedformanagingrecordsofotherManagementSystemsasmentionedabove.
2. ScopeThis procedure shall be followedby all departments/functions (includingproject sites) formanaging and controlling records which are necessary to demonstrate conformance toQuality, Health, Safety and Environment Management System or any other ManagementSystem.
Recordsmaybeinelectronicorpaperform.
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ControlofRecords
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3. OwnershipStatementMR owns this document and is responsible for ensuring its periodic review for adequacy,suitability,applicability,revisionsanditseffectiveimplementation.
4. TermsandDefinitions
Term Definition
CorrectiveActionAction to eliminate a causeof a detectednonconformityor otherundesirablesituation.
Nonconformity Nonfulfillmentofarequirement
PreventiveActionAction toeliminatea causeofapotentialnonconformityorotherundesirablepotentialsituation
ProtectionProtecting the record from unauthorized access, loss ofdata/information, physical damage to records etc from people,environmentetc
RecordDocument stating results achieved or providing evidence ofactivitiesperformed
RetentionKeeping records for a specified time. Normally it is expressed inweeks/months/yearsetc
Retrieval Pullingoutthestoredinformation/dataetc.
StorageMedium in which information captured. It may be on paper,electronic,magnetic,opticalincludingphotograph,sampleetc.
5. Abbreviations
Abbreviations DescriptionAgility Agility(AbuDhabi)PJSCCEO ChiefExecutiveOfficerIMS IntegratedManagementSystemQMS QualityManagementSystemISO InternationalOrganizationforStandardizationMR ManagementRepresentativeOHSAS OccupationalHealthSafetyAssessmentSeriesHSE Health,SafetyandEnvironment
6. ResponsibilitiesandAuthorities
Designation ResponsibilitiesStaff Generating and maintaining necessary records for those
activitiesandprocessesforwhichhe/sheisresponsibleandaccountable.
DepartmentHeads Identifying records for activities/operations demonstratingconformance to Quality, Health, Safety and EnvironmentManagementSystemoranyotherManagementSystem.
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Designation Responsibilities Identifying whether the records are duly generated,
maintained and controlled through Departmental list ofrecordswithintheirDepartment/Function.
Storingandretainingrecordsforspecifiedperiod. Protectingrecordsfromphysicalharmandunintendeduse. Retrieving therelevantrecordsasandwhennecessary
MR MaintainingsystemrelatedrecordspertainingtoIntegratedManagementSystemoranyotherManagementSystem
Contractors/subcontractors
Maintaining records for verification etc. pertaining to IMSwhile they are executing a job at a workplace under thecontrolofAgility
7. Procedure7.1. IdentifyingRecords
Steps Activity Responsibility1 IdentifytherecordstobemaintainedintheDepartment
consideringthefollowing:1. Activity/processspecificrecords.2. HSErelatedrecords3. Communications(Internalandexternal).4. Reports(Weekly/monthlyetc.)5. Registersetc.
DepartmentHead
2 Identifytherecordstobemaintainedfordemonstratingconformanceto IMSoranyotherManagementSystem.Example:ManagementReviewMeetingminutes
MR
3 Decide on the unique identity for records filingsystem/folders and communicate the samewithin thedepartment. (Each department can decide on uniqueidentity). Identity may be AgilityDepartmentTitle ofrecordYear
DepartmentHead
4 Decideontheretentionperiod.Note:1. While deciding the retention period consider
operational/ business needs and applicable legal/regulatoryrequirement.
2. TheretentionperiodofHSErecordsshall followtherequirementsoftheIMS
3. Retentionperiod=Activeperiod+Archiveperiod.4. Active period means period for which records are
required to demonstrate the conformity with therequirements.
5. Archive period means duration for which therecordsarekeptforreferenceoranyotherpurpose.
MR/DepartmentHead
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7.2. RegisteringRecordsSteps Activity Responsibility1 Fill Departmental List of Records (AGLGILAUH
QHSE071) orMaster List ofRecords (AGLGILAUHQHSE072)
1MR/DepartmentHead
2 Forward filled Departmental List of Records to MR.Note:Wheneveranewrecordisidentifiedandintroducedwithin the systemor it is felt thata record isno longernecessary, update Departmental List of Records byaddingonto the listordeleting from the listas the casemaybeandforwardittoMRforupdating intheMasterListofRecords.Obtainacknowledgementandmaintainit.
DepartmentHead
3 MaintainandupdateMasterListofRecords. MR
7.3. Maintaining,storingandprotectingrecordsSteps Activity Responsibility1 1. Storepaperrecordsinthedesignatedcabinet.
2. Store electronic records (such as soft copies ofrecords) in the common drive/shared driveidentifiedforthedepartment.
3. DONOT store the records on personal folder or ondesktop.
4. Identifyandstoreinawaythatrecordscanbeeasilyretrievedasandwhenrequired.
Employees
2 Ensure the following through periodic checks. Periodiccheckmaybeaudits1. Records (paper/electronic) not
damaged/deteriorated throughout its retentionperiod.
2. Records remain legible throughout the period ofstorage.
3. Unintendeduseisrestricted.4. Check the backup status with IT department for
electronicrecords.
DepartmentHead
7.4. DisposingrecordsSteps Activity Responsibility1 Identify records that are due for disposal from the
DepartmentalListofRecords.DepartmentHead
1 MRshallobtainpermission fordisposingsystemrelatedrecords.DepartmentHeadsshallobtainpermission fordisposingdepartmentspecificrecords.
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Steps Activity Responsibility2 Identifysystemrecordsthatareduefordisposalfromthe
MasterListofRecords.MR
3 Obtain permission from CEO or Directors for disposingrecords.UseRecordDisposalPermission(AGLGILAUHQHSE073)
2MR/DepartmentHead
4 Dispose records by shredding. (Paper/CD/Magnetictapesetc.)
MR/DepartmentHead
5 UpdateRecordDisposalRegister(AGLGILAUHQHSE074)andforwardacopytoMRandmaintainoneinthedepartment.
MR/DepartmentHead
6 Maintainrecord. MR
Someexamplesofrecords
1. Internal/externalauditreports;2. ManagementReviewMeetingminutes;3. Trainingrecords;4. HSEcommitteemeetingminutes;5. Meetingminuteswithcontractors;6. IncidentInvestigationRecords;and7. Performancereportingreportsetc.
Note:HighlevelprocessflowchartforrecordcontrolprocedureisattachedtothisprocedureasAnnexureA
8. Measurements PlannedrecordsVsMaintainedrecords Numberofrecordslostperfunction/department
9. Records
Records RecordRefNo. Responsibility RetentionperiodDepartmental List ofRecords
AGLGILAUHQHSE071 MR 3years
MasterListofRecords AGLGILAUHQHSE072 MR 3years
Record DisposalPermission
AGLGILAUHQHSE073 MR 3years
Record DisposalRegister
AGLGILAUHQHSE074 MR 3years
2 MRshallobtainpermission fordisposingsystemrelatedrecords.DepartmentHeadsshallobtainpermission fordisposingdepartmentspecificrecords.
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10. References
ISO9001:2008(Clause4.2.4) ISO14001:2004(Clause4.5.4) BSOHSAS18001:2008(Clause4.5.4)