RECORD COMPLETION AND MAINTENANCE

I. POLICY

Century Pacific Agricultural Ventures, Inc. (CPAVI) shall maintain genuine records to demonstrate
the effective control of product safety, legality and quality.

Records shall be legible, readily identifiable, retained in good condition and retrievable. Any
alterations to records shall be authorized and justification for alteration shall be recorded.
Where records are in electronic form these shall be suitably backed up to prevent loss.

Records shall be retained for a defined period with consideration given to any legal or
customer requirements and to the shelf life of the product. This shall take into account, where
it is specified on the label, the possibility that shelf life may be extended by the consumer. As
a minimum, records shall be retained for the shelf life of the product plus 12 months.

II. SCOPE

This document outlines the process for completing and maintaining paper based monitoring
report managed by CPAVI.

III. PURPOSE

This document provides guidance to ensure that all CPAVI records are managed and treated
properly to guide all operational aspects associated with the product processing for
prequalification in accordance with the rules set out in this document.

IV. RESPONSIBILITIES

The DCC is responsible for assuring that this procedure is applied and adhered properly by all
involved personnel. The Deputy DCOs will maintain all active records in their respective
department and update department specific Record Master List. The DCO on the other hand, will
file incoming inactive 1 files into the records management system to support the business process.

V. PROCEDURE

2.1 Record Control

2.1.1 CPAVI controls records to demonstrate effective implementation and improvement

of the CPAVI Quality Management System in producing safe, quality and legal
products. These records are ensured to be genuine, determined, kept and maintained
by Document Control Officer. These are stored in a separate cabinet to keep it safe
both from loss and unauthorized access/alterations.

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 1(5)
 RECORD COMPLETION AND MAINTENANCE

2.1.2 For easy identification and retrieval, records are kept in a folder and compiled based
on production dates starting from Dehusked Coconut Receiving Records up to
Finished Product Analysis. Each folder contains production records for the whole
week.

2.1.3 Other records, not part of the daily processing monitoring report mentioned above
but are monitored as part of good manufacturing practices (GMP) and sanitation
standard operating procedure (SSOP) are filed in a separate binders (i.e. process
water microbiological report/chlorine concentration monitoring report).

2.1.4 Addition of forms to record data are also registered using Document Request Form
(see QS-3.2, section 1.7 Procedure for Addition, Revision and Deletion of Documents)
and is updated as necessary.

2.2 Managing Erasures/Errors

2.2.1 The use of correction fluid is strictly not allowed in correcting errors. No tampering of
data. If correction is to be made, cross out the data that needs to be corrected, write
the correct entry and countersign. To ensure legibility, maximum of three erasures are
allowed per page.

2.3 Filing System Arrangement

2.3.1 Each personnel involved in production process must route all monitoring records
through their respective immediate superior for compilation after each production.
Department Supervisors will provide guidance on coordinating data collection
activities and data issues that arise.

2.3.2 Each department will maintain and package documentation of reports, collection
instruments, data definitions, and records of available data completely reviewed and
signed by Supervisors and Department Head.

2.3.3 Supervisor consolidates the monitoring reports, both quality and control point checks,
and ensures the accuracy and legibility of the data. The Department Head will verify
that reports have been reviewed as part of the basis for product release. Once
inconsistencies are found, data are reconciled with the personnel involved and rectified
if necessary.

2.3.4 Once records are complete each department will submits the compiled record to
Deputy DCO for filing and record keeping.

2.3.5 A Quality Management System Memorandum will be sent to responsible personnel if

they didnt submit their designated forms approximately one week later.

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 2(5)
 RECORD COMPLETION AND MAINTENANCE

2.3.6 The Deputy DCO will double check the quality of data entry and ensure that each
monitoring forms for each processing day are complete by making a checklist to
confirm the folders are ready for archiving.

2.4 Storage/Protection of Records

2.4.1 Records storage location must adhere to the following standards to be conforming:

Fire, vermin, and water protection

Adequate floor loading capacity
Protection from unauthorized access
Use of shelf and storage unit tagging system for adding and deleting folders
Use of Records Master List either paper based or database to track the records
locations

2.4.2 Records will be filed into uniquely identified case files (binder and folder color vary
from time to time based on stocks availability) that are labelled properly to identify its
controlled documents. Each case files whereabouts becomes standardized through its
document code (document identifier).

2.4.3 The DCC logs the date of form archived for traceability purposes. Records will be
classified based on their statuses, either active or inactive which are filed and labeled
separately.

2.4.4 The DCC will also develop and implement recordkeeping plans, including maintaining
a log noting return of records. If multiple records are submitted, a checklist will be
provided for each of the items to be submitted.

2.5 Transfer and Retention of Records

2.5.1 The status of record would be monitored to facilitate the physical movement of records
from active to inactive 1 to inactive 2 storage areas. Records are identified as active
or inactive and the basis for transferring file is the activity or frequency of use of
record. Active records are used three (3) times a month for reference or decision
making purposes. They are stored in an accessible equipment in the active storage
area and has retention period of 2 months before transferred to inactive storage. On
the other hand, inactive 1 records are referred to fifteen (15) times a year, whereas
inactive 2 are used less than 6 times a year. All records including organic records shall
be retained for 5 years and records for disposal, as well as disposal method shall be
noted

2.6 Retrieval and Re-storage of Records

2.6.1 During retrieval of inactive records, staff members should complete the Records
Retrieval Authorization form and have authorized staff sign the form (QS-3.2.1-R03).

2.6.2 Upon completion of the form, submit it to the DCO for records.

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 3(5)
 RECORD COMPLETION AND MAINTENANCE

2.6.3 The requested records can then be retrieve from the library/storage area. Refer to the
database/master list to identify the document number and tag for easy retrieval.

2.6.4 The procedure to return a file to DCO is the same as retrieval. It is the responsibility
of the person obtaining the box from storage to return the file without undue delay
back to DCO.

2.6.5 For active records, the borrower shall fill up the following information in the
borrowers logbook before acquiring the records:
Record title
Name of the borrower
Purpose
Signature
Date borrowed
Date Returned

2.6.6 The records will be retrieve by DCO. Response time during retrieval of records vary
from time to time depending on the location and availability of records.

2.6.7 Records should be returned as soon as possible once the requested material is no
longer required/used. The DCO will follow up the personnel from time to time
regarding outstanding files that have not been returned.

2.7 Disposal of Records

2.7.1 Upon disposal, a written permission (Disposal Authority Form: QS-3.2.1-R02) is

required.

2.7.2 Complete DAF request by obtaining approval from the Department Head and Plant
Manager. Once approved, the Plant Manager notifies records staff for confidential
destruction within two to three business days.

2.7.3 Records from file cabinets subjected for disposal would be pulled out and placed in a
labeled box ready for recycling, burning or shredding. If it will be recycled, the record
will be marked with a big letter X implying that the form is already invalid and can
be used as a scratch paper. On the contrary, records containing classified or
confidential information are either shredded or burned.

2.7.4 The records staff will securely shred the records on a schedule of either once or twice
per month.

2.7.5 After destruction, the DCO will sign the DAF, substantiating that the records has been
properly disposed. Disposed materials should then be recorded on the company
recordkeeping system.

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 4(5)
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VI. HISTORY OF REVISION

Revision No. Date Revised Reason

001 September 20, 2013 Change of Company Name
002 April 22, 2014 Update of Document Control System
003 November 5, 2014 Change of Document Number
004 December 11, 2015 Change of Signatories
005 April 14, 2016 Change of Signatories
006 August 23, 2016 Addition of storage, retrieval and disposal of records
007 April 10, 2017 Update Procedure

Prepared By: Reviewed By: Approved By:

Ressy Mae L. Ruelan Cherry Mae F. Labrador Joseline M. Vilela

QMS Specialist QMS Head Technical Services Group Manager

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 5(5)
 RECORD COMPLETION AND MAINTENANCE

DEFINITION OF TERMS

Active Records - These are records that are still actively used, they are usually referenced on a daily
or monthly basis. Often times, these records are located in an accessible place for easy
retrieval.

Archive Records Records with historical value to the organization and are preserved permanently.

Archiving - Process of moving data that is no longer actively used to a separate storage area for long-
term retention.

Disposal - refers to the actual getting rid of the records because these are no longer adding value to
the organizations operations

Disposition Systematic transfer from office to storage of records no longer for active or frequent
reference.

Inactive records - record which is no longer referenced on a regular basis in more than one year and
are stored in the Inactive Record Repository if it has historical value. If not, the record may be
destroyed.

Inactive Record Repository - Place where inactive records, with historical value, are stored at lower
cost and using appropriate methods (boxes, shelving units, plan racks, etc.).

Record - A documented information stating results achieved or providing evidence of activities

performed which are kept either in paper or in electronic form. Completed forms become
record.

Record Management - Is the systematic control of all records from the time they are created, or
received, through their processing, distribution, organization, storage, and retrieval up to their
ultimate disposal.

Records Transfer It is the physical movement of active records to inactive storage areas

Retention - refers to the policies and procedures of what document to keep, where the documents
are kept, and how long these documents are to be kept.

Retrieval - The process of locating a specific file or record and then delivering it so it can be used.

Transfer of Files - Relocation of files (or documents) from the active filing stations to the Inactive 1 or
Inactive 2 Record Repositories.

QS 3.3 | Date Created: June 14, 2013 | Revision No: 007 | Date Revised: April 10, 2017 APPENDIX 1