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P1103, Rev.

Control of Records
ORIGINATOR:

QUALITY SYSTEM MANAGEMENT

DESCRIPTION:
The procedure describes the method of preparing, identifying, collecting, indexing, filing, retaining, storing and
disposing records within the scope of AG&P Quality, Health, Safety, Environmental and Laboratory Management
System.
SCOPE:
This procedure applies to all processes where records retention is required. This covers activities from identification of
records up to its monitoring and archiving along with its disposal as necessary.
KEYWORDS:
Records, Control, Preparation, File, Storage, Retention, Disposal, Identify, Retrieve

REFERENCED CODES, STANDARDS, LEGAL & OTHER REGULATIONS


Reference Title
Description
ISO 9000: 2005, Clause 3.7.6

QMS Fundamentals and Vocabulary, Definition of Procedure

ISO 9001: 2008, Clause 4.2.4

Quality Management System - Requirements Standard

API Spec Q1 9th Edition, Clause 4.5

Specification for Quality Management System Requirements for


Manufacturing Organizations for the Petroleum and Natural Gas Industry

ISO 14001: 2004, Clause 4.5.4

Environmental Management System - Requirements Standard

BS OHSAS 18001: 2007, Clause 4.5.4


ISO/IEC 17025:2005, Clause 4.13.1.1

Occupational Health and Safety Management System Requirements


Standard
General Requirements for the Competence of Testing and Calibration
Laboratories THIS STANDARD IS ONLY AVAILABLE IN HARD COPY AT DCC

P1103, Rev. 0

Control of Records

P1103, Rev. 0

Control of Records
TABLE OF CONTENTS

Page
1.

Definitions

2.

Responsibilities

3.

Procedure

3.1 Records Identification, Filing and Storage

3.2 Records Disposal

4.

APPENDIX

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Control of Records
1.

DEFINITIONS
ACTIVE RECORD in the context of this procedure, this is a type of record that is kept in the defined location based
on the retention period defined in the Records Matrix, P1103-F01.
DCC Document Control Center
FILING METHODOLOGY in the context of this procedure, filing methodology includes but not limited to
chronological, project number, discipline type, document number, reference number, etc. This methodology shall
be stated in the records matrix.
INACTIVE RECORD in the context of this procedure, this is a type of record that is beyond the retention period
stated in the Records Matrix, P1103-F01 and the contractual requirement for retention period of the customer.
Archiving of inactive records is dependent on the capacity and space availability to store this type of records, which
will be decided by the departments line manager on whether this is to be disposed of or stored for a defined
period. Archived records are to be kept in a separate location with proper identification as suitable.
LEGIBILITY in the context of this procedure, record shall be readable.
RECORD is a document stating results achieved or providing evidence of activities performed; records can be
used, for example, to document traceability and to provide evidence of verification, preventive action and
corrective action. This definition was taken from ISO 9000: 2005 Clause 3.7.6.
RETENTION PERIOD in the context of this procedure, this is defined as the length of period that a record is to be
kept in a defined location as stated in approved Records Matrix, P1103-F01. The retention period for all Quality,
Safety, Health, Environmental and Laboratory Management System records shall be for a minimum of five (5) years
or as required by customer, legal and other applicable requirements, whichever is longer.

2.

RESPONSIBILITIES
DEPARTMENTS LINE MANAGER or HIGHER IN THE FUNCTIONAL AREA OF AUTHORITY is responsible and
accountable for which record needs to be included in the records matrix, disposition of records, provision of
resources to store active and inactive records.
APPOINTED RESPONSIBLE PERSON (ARP) in the context of this procedure, this person may include any individual
who had been appointed by the departments line manager or higher in the functional area of authority to be
responsible and accountable for in the filing of the department identified records; this responsibility includes but
not limited to preparing and updating the departments Records Matrix, P1103-F01; and disposing records based
on the retention period stated in the Records Matrix, P1103-F01.

3.

PROCEDURE
This procedure was established to comply with the requirements of integrated standards including:

ISO 9001: 2008 Clause 4.2.4 The organization shall establish a documented procedure to define the controls
needed for the identification, storage, protection, retrieval, retention time and disposition of records.

API Spec Q1 9th Edition Clause 4.5 The organization shall maintain a documented procedure to identify the
controls needed for the initiation, identification, collection, storage, protection, retrieval and retention time and
disposition of records.

ISO/IEC 17025:2005 Clause 4.13.1.1 The laboratory shall establish and maintain procedures for identification,
collection, indexing, access, filing, storage, maintenance and disposal of quality and technical records.

ISO 14001: 2004, Clause 4.5.4 and BS OHSAS 18001: 2007 Clause 4.5.4 The organization shall establish,
implement and maintain a procedure(s) for the identification, storage, protection, retrieval, retention and
disposal of records.

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Control of Records
3.1

RECORDS IDENTIFICATION, FILING and STORAGE

3.1.1

Records required by the international management system standards, specifications, and project requirement shall
be identified by the Appointed Responsible Person (ARP) in preparing the Records Matrix, P1103-F01.

3.1.2

ARP shall register (record name and record document number) the identified records in Records Matrix, P1103F01, including the retention period (see definition for Active and Inactive records), location (of active and inactive
records), filing method and method of disposal.

3.1.3

Records from customer, different departments, sections, subcontractors and disciplines shall be received and
collected according to established relevant procedures and work instructions.

3.1.4

The status, legibility, accuracy, completeness, validity, and authenticity of records shall be checked upon receipt.
The use of correction fluid or correction tape on hard copy record is not allowed. Any correction/change shall not
be erased, made illegible or deleted. Rather, the mistake shall be crossed out, and then, the correct value is
written alongside. All alterations to record shall be signed or initialed by the person making the correction. Only
black or blue permanent ink shall be used on all written records within the scope of the referenced international
management systems.

3.1.5

The retention period of the identified records shall be decided upon by the Department Line Manager (DLM) or
whoever is higher in the functional area of authority.

3.1.6

If and when an activity within the scope of the international management system was outsourced, records that
were generated shall be identified in the Records Matrix, P1103-F01 to provide evidence of conformity. This is a
requirement of API Specification Q1 9th Edition, Clause 4.5, which states that:
Records, including those originating from outsourced activities, shall be established and controlled to provide
evidence of conformity to requirements and the organizations quality management system.

3.1.7

After completing the Records Matrix, P1103-F01, ARP shall sign on the Prepared by after which is submitted to
his/her immediate superiors for review and approval.

3.1.8

This Records Matrix, P1103-F01 shall be available where the files are stored to facilitate the methodology of filing
and retrieving of records.

3.1.9

Box files where records are filed shall be identified with appropriate label for reference and retrieval purposes.

3.1.10 Records shall be stored in protected hard drive, steel file cabinets, shelving containers, or carton boxes whichever
is applicable within the location according to the retention period defined in the Records Matrix, P1103-F01.
Safekeeping shall ensure secured storage against destruction or damages due to the following:

Natural or man-made disasters, floods, fires, etc.

Environmental conditions such as high or low temperatures, pressures and humidity.

3.1.11 Special processed records such as radiographs, photographs, negatives, microfilms, external hard drives, etc. shall
be protected based on the manufacturers recommended storage condition.
3.1.12 When practical, back-ups or duplicate copies of records shall be stored and maintained in a location that is remote
from the other storage facility to provide for replacement, restoration, or substitution of lost or damaged records.

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Control of Records
3.2

RECORDS DISPOSAL

3.2.1

If the decision on the inactive records is to dispose of, Appointed Responsible Person (ARP) shall document these
records using Records for Disposal, P1103-F02.

3.2.2

Records due for disposal shall be regularly reviewed based on the retention period indicated in the approved
Records Matrix, P1103-F01.

3.2.3

Using Records for Disposal Form, P1103-F02, ARP shall fill-out this form accordingly and list all records due for
disposal. This shall also be checked and approved by the Department Line Manager (DLM) or whoever is higher in
the functional area of authority.

3.2.4

Records are property of the Atlantic Gulf and Pacific Company of Manila, and as such, its destruction/disposal shall
be in a controlled manner.

3.2.5

Methods of disposal of record may include, but not limited to shredding, re-using by crossing out or stamping with
VOID mark, deletion from files if electronic and recycling/reselling.

3.2.6

When records are disposed, the original of accomplished Records for Disposal Form, P1103-F02 shall be kept by the
department.

4.

APPENDIX Not Applicable

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P1002-T01 Rev. 0, 12 Aug 14

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