LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/02

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

Procedure: Control of Records

1. SUMMARY

1.1. This procedure defines the requirements for the identification, storage, protection, retrieval,
retention time and disposition of controlled records required for the implemented system.
1.2. “Records” are those records which provide evidence of Locomotive Workshop, Northern Railway,
Charbagh, Lucknow. having met – or not met – requirements. This may include requirements
related to inspection requirements, purchasing requirements, contractual requirements, Incident
Investigations, Environment management plan etc. The full listing of records affected by this
procedure is given in the table at the end of this procedure.
1.3. Records outside of this scope do not require control, but may be controlled at the discretion of
management.

2. REVISION AND APPROVAL

Rev. Date Nature of Changes Approved By

3. PROCEDURE

3.1. Identification
3.1.1. Locomotive Workshop, Northern Railway, Charbagh, Lucknow. maintains records that are
needed to provide evidence of conformity to requirements and of the effective operation of
the quality management system. The records are identified in the table below, along with the
controls for each record type.
3.2. Storage
3.2.1. Storage methods are indicated in the table below, for each record type.
3.2.2. Softcopy records and data are stored on the company server or computers; in all cases,
computers are subject to backup.
3.2.3. Hardcopy records are stored in suitable cabinets that prevent damage or deterioration.

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 LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/02

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

3.3. Retention, Retrieval & Disposition

3.3.1. IMS Records shall be maintained for minimum 3 years due to ISO audit cycle, The records
are maintained as mentioned, unless otherwise indicated below or as defined by Indian
railways Guidelines.
3.3.2. Training records and other records pertaining to employees must be retained at least one
year beyond that employee’s end of employment.
3.3.3. Records that are discarded after retention shall be permanently destroyed.
3.3.4. When archived records are stored offsite or in another location, these shall be stored in a
controlled environment that also protects them from damage or deterioration.
3.3.5. As required by customer contract or regulatory requirements, quality records shall be made
readily available for review by the requesting authority. Such review is limited to those
records applicable to the customer or regulatory authority, and shall not allow for the
accidental or intentional release of confidential information to an unauthorized party.
3.4. Protection
3.4.1. The listed “controller” shown in the table below must ensure their assigned records remain
legible, readily identifiable and retrievable.
3.4.2. In order to ensure protection of records, electronic records are subject to periodic backups,
with the backup stored on a separate server
3.4.3. The Document Controller is responsible for backup of data.
3.4.4. Records data stored on individuals’ computers must either be backed up through the server
(as above), or backed up manually onto the server. The individual users of such data are
responsible when data is not backed up by the server
3.4.5. Entries made by hand on hardcopy forms shall be made in ink.
3.4.6. White-out or correction tape is not to be used on any quality records. The correct procedure
for making corrections is to cross the error out, make the correction and initial it.

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 LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/02

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

RECORDS MATRIX
Locomotive Workshop,
Required Record or Northern Railway, Responsible Type of
Storage Location Discard Method
Document Type Charbagh, Lucknow. Controller Record
Records
Management Review
Document Controller Hard Copy Shred and discard
Meeting Minutes
Customer Satisfaction
Document Controller Hard Copy Shred and discard
Management Review records
Records Attendance for
Document Controller Hard Copy Shred and discard
Management Review
Management Review
Document Controller Hard Copy Shred and discard
Schedule
Training Matrix Document Controller Hard Copy Shred and discard
Employee Training
Training Records Document Controller Hard Copy Shred and discard
Records
Feed Back Forms Document Controller Hard Copy Shred and discard
Records of realization Maintenance Records Document Controller Hard Copy Shred and discard
process meeting Orders Received Log Document Controller Soft Copy Delete
requirements Process Records Document Controller Soft Copy Delete
Contract Copies Document Controller Hard Copy Shred and discard
Contract Review
Service Records Document Controller Hard Copy Shred and discard
Records
Material Test Certificates Document Controller Hard Copy Shred and discard
Consignment Numbers
Traceability records Document Controller Soft Copy Delete
and Delivery receipt notes
Record of release of Nonconforming Product
Document Controller Soft Copy Delete
product Dispositions
Record of non
Nonconforming Product
conforming customer Document Controller Soft Copy Delete
Dispositions
property
Corrective &
CAPA Document Controller Hard Copy Shred and discard
Preventive Actions
Internal audit Reports Document Controller Hard Copy Shred and discard
Internal Audit Schedule Document Controller Hard Copy Shred and discard
Non Conformance
Internal Audit records Document Controller Hard Copy Shred and discard
Reports
Record of Non
Document Controller Hard Copy Shred and discard
Conformance
Environmental Aspect Impact Register Document Controller Hard Copy Shred and discard

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 LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/02

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

Records
Environmental Program
Document Controller Hard Copy Shred and discard
record

Hazard Identification and

OH &S Records Document Controller Hard Copy Shred and discard
Risk Analysis Record
Incident Investigation Document Controller Hard Copy Shred and discard
Storage Record Document Controller Hard Copy Shred and discard
Disposal Record Document Controller Hard Copy Shred and discard
Objectives and Program Document Controller Hard Copy Shred and discard
Compliance Obligations Document Controller Hard Copy Shred and discard
Mock Drills execution
Document Controller Hard Copy Shred and discard
record

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