RECORD MANAGEMENT PROCEDURE

SPEAKER: MR. BERNIE B. NOBLE

LECTURE & DISCUSSION

as reference to: YJ-QP-0402 rev. 02 Record Management Procedure

Quality Control Department 22 May 2008

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COURSE OUTLINE

WHAT IS RECORDS IDENTIFICATION OF RECORDS ESTABLISHMENT, REVISION & ABOLISHMENT OF FORMS CREATING OF FORM NUMBER FILING OF RECORDS
1. LABELING OF BINDERS 2. SYSTEM IN BINDER FILE NUMBER ASSIGNMENT 3. BINDER FILE NO. & DEPARTMENT CODE 4. LABELING OF FOLDERS 5. FOLDER FILE NO. & DEPARTMENT CODE 6. RECORDS WITH UNIQUE FILING 7. PROCEDURE FOR ERROR CORRECTION 8. RETENTION PERIOD 9. DISPOSAL OF RECORDS

RECORD AND MAINTENANCE

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What is Record?
A document on practiced activities or achieved (accomplished)outcomes supported by objectives evidences.
Example: A blank form (YQP-10-01-0 Parameter Check List) is considered a Registered Form. Once you fill this out, it becomes a Record.

Identification of Records

Records are identified thru:

- Title or name - Form number

- Revision number

Establishment, Revision & Abolishment of Forms

5.2 Rules in establishment, revision and abolishment of registered forms 1) Person who wishes to establish a new form, or would revise and / or abolish a registered form, will first present a final version (hard copy or soft copy) to the DCC or the Quality Management Team for registration. 2) Only after the Quality Management assigns a registration number for new forms, or approves of the revisions made in the registered form, shall the new version be used. 3) The in-charge for each section will then update their respective FORM REGISTER SHEET, and will VOID the obsolete versions of the form.

4) In case that a unique form is revised and becomes a common form, it will be assigned a new registration number and the previous form it superseded becomes void and is therefore abolished.

Creating a form number

Y 0 0 00 00 - _______0_

P: Linked to a Documented Procedure Consecutive or running numbers Q: Form related to Quality G: Form of general use, not related to quality YU JIN Optical Electronics, Inc. Example: YQP-40-20-1 (Lot NG Monitoring) 6 Dept. Code Number Revision Number

Department Code for Form Registration Number

Common

Production Department

Engg. Department

Quality Control Department 30

Materials Department

00

10

20

40

Accounting Department

HRD

Purchasing & Trade

Administration Department

50

60

70

80

Filing of Records

Records must be filed in folders, binders, and or File box whichever is applicable with proper identification for easy retrieval when needed.

Labeling of Binders
SIDE VIEW FRONT VIEW

BINDER LABEL

1 1

Side View NAME OF RECORDS 2. * BINDER FILE NUMBER & NAME OF DEPARTMENT Front view 1. NAME OF RECORDS 2. BINDER FILE NUMBER 3. NAME OF DEPARTMENT

2 2 3

* Example of binder file no. & department name 9

Binder File Number Assignment

XX - YY - ZZ - AB Cabinet Shelf Number Cabinet Code ( in letters ) Binder Location in a cabinet shelf Assigned section or area code by the department ( start in 10, 20, 30.) Department code

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Department Code Number

Assigned Department Code
Production Department Engg. Department Quality Control Department 30 Materials Department

10

20

40

Accounting Department

HRD

Purchasing & Trade

Admin

50

60

70

80

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Binder File Number Assignment & Department Code Number

Cabinet Code Shelf Number Binder location in a shelf

A 0 0 0 0 0 0 0 0 0 1 1 1 2 3 4 5 6 7 8 9 0 0 0 0 0 0 0 0 0 0 1 2 1 2 3 4 5 6 7 8 9 0 0 0 0 0 0 0 0 0 0 1 3 1 2 3 4 5 6 7 8 9 0 0 0 0 0 0 0 0 0 0 1 4 1 2 3 4 5 6 7 8 9 0
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Example: The owner of the document is QC Dept. and it is located in QC Main Office (assigned area code is 30). The file number for this binder will be: 30-30-05-A4

Labeling of Folders

FOLDER LABEL
1. 2. 3. NAME OF RECORDS FOLDER FILE NUMBER NAME OF DEPARTMENT

2 3

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Folder File Number Assignment

XX - YY - ZZ AB

File Box Shelf Number to where it is kept (AB)

Folder Location in a File Box (see Figure 2) Assigned section or area code by the department (start in 10, 20, 30.) Department code

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Department Code Number

Assigned Department Code
Production Department Engg. Department Quality Control Department 30 Materials Department

10

20

40

Accounting Department

HRD

Purchasing & Trade

Admin

50

60

70

80

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Folder File Number Assignment & Department Code Number

FIGURE 1 FILE BOX LABELING ILLUSTRATION FRONT VIEW OF FILE BOX FIGURE 2 FOLDER LOCATION ILLUSTRATION TOP VIEW OF FILE BOX

File Box Number

B5

01 02 03 04 05 06 07 08 09 10 11

Shelf Number

Records Folder No.

Name of Records

Example: The owner of the document is QC Dept. and it is located in QC Main Office (assigned area code is 30). The file number for this binder will be: 30-30-03-B5 16

Records with Unique Filing

According in Record Procedure clause 5.5 Records with unique filing (1) 201 File For practical reason folders of individual 201 file are labeled only with complete name of employee. These records are kept in designated steel drawer in alphabetical order. Folder of individual 201 file does not require file number. Human Resources dept. are in-charge of these records. (2) Inventory Tag Inventory tag are filed in monthly basis secured with a fastener and labeled with at least the product model and period covered. These records are kept in designated steel drawer. Materials department are in-charge of these records.

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Procedure for Error Correction on Records

5.6 Procedure for Error Correction on Records

(1) When an error was observed in the approved records, the writer or originator and the over all in charge of the documentation control are the only ones authorized to make the correction. (2) In charge must place a double straight line along the middle of the word or words that is to be corrected and must place the bearer's signature and date of correction. Example:

Corection Correction
05.22.08

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Retention Period
Clause 5.8 Retention Period Records must be kept for at least 2 years before disposal Keeping the records longer than 2 years will be upon the discretion of concerned department.

Note: In case of the following, it is possible to scrap records under the relevant department manager's approval regardless of the storage or retention period. 1) in case that there is no need to hold because the record is not valid any more. 2) former records after an amendment or a modification

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Disposal of Records
Clause 5.9 Scrap (Disposal of Records) It is a general rule to cut the records into small pieces or cremate it. Otherwise, with the department manager's approval, records can be reused as scratch in case of the following: (1) Provided that it will bear "Scratch" stamp on the used side of the paper. (2) Provided that the used side of the paper is Crossed-out.

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Record and Maintenance

Index Form
File control register Form Register Sheet

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Thank you very much!

A R E N

May 22,2008

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