Doc. #: CODR-OP-01 Rev.

#: 04
Version: V01 Issue #: 05
Operating Procedure for Effective Issue Date:
Control Of Documents &
Records

Operating Procedure for Control of

Documents & Records

Prepared by: Reviewed by: Approved by:

QA Executive MR Director (Operations)

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Doc. #: CODR-OP-01 Rev. #: 04
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Operating Procedure for Effective Issue Date:
Control Of Documents &
Records

1 Purpose
This procedure defines how documents, data and records are controlled as per ISO statuary
and legal requirements. Documentation system explains the manners of establishing, issuing,
approving, retrieving, maintaining retaining, controlling and communicating all the
documents in Roshan Packages Ltd. This procedure explains how documents are prepared,
reviewed, approved and issued and how, subsequent changes in documents are controlled.
This procedure also explains the manner of controlling company Integrated Management
System & records within the Roshan Packages Ltd. This procedure ensures to avoid
mishandling, unauthorized access and disposal of records when retention period expires.

2 Scope
Documentation and control procedure is applicable in all department of the company within
the scope of Integrated Management Systems (ISO 9001:2015, ISO14001:2007 & ISO 45001).

3 Responsibilities
As Discussed in the Procedure Below.

4 Procedure
4.1 Integrated Management System Documents

Integrated management system documents have been established to control documents and
coordination of new or revised documents including status, tracing, maintenance and
distribution of controlled documents containing of ISO 9001, ISO14001 & ISO 45001.
Management Representative ensures the Maintenance and Implementation of Procedure for
Control of Documents and Records for document types as discussed in Section 4.2.2 and
4.2.3.

4.2 Document Identification

4.2.1 Revision Status:

The revision status of the documents is indicated by giving it a:

 Revision Number- Which is 00 for documents that are released for the first time i.e.,
the Initial Release, after first change in Document, the number becomes 01 and so
on.
 Effective Issue Date– Represents the particular date for the approval or re-
approval of Document.

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Operating Procedure for Effective Issue Date:
Control Of Documents &
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 Version Number- Represents the review history. But in case of any change
revision number must be changed accordingly.

4.2.2 Document Name

All Documents have been assigned a particular name, which helps in identification of the
documents like the name of the Procedure, Form etc.

4.2.3 Page Number

Current page number and the total page number for documents, which are of more than one
page is also specified in the header or footer.

4.2.4 Document Number Stamp

For forms and registers already in use, the identification is done through a Stamp containing
the Document Number and Revision Number assigned to the Form or computer related chits
are placed on the cover of the File or Register for identification purpose.

4.2.5 Document Coding

The documents are allotted a Document Number for unique identification and retrieve-ability
as per defined in Documentation Code Form (CODR-FR-05).

4.3 Documents, Data Approval and Issue

 Concerned Departmental Representative, Heads / Managers or MR prepare the
concerned documents and HOD / Management Representative manager QA / QC,
Department Manager, Departmental Representative, Director, or Plant Head Review
the documents on the basis of job and functions specified by the organization
standard.
 Preparing, reviewing and approval of the document are defined in the list for the
approval protocol.
 The documents are discussed and reviewed with the concerned staff and are finally
approved by the Plant Head, MR, Director, Manager QA/QC, General Manager,
Departmental Manager, C.E.O or concerned authorities where applicable, signatures
of the reviewing and approving authorities are taken on the Master Copy.
 No document is issued or re-issued without the review and approval of the above
authorities.

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 The Master Copy of Documents with Management Representative are stamped as

“CONTROLLED DOCUMENT”.
 Integrated Management System papers are stored under lock and key.
 Management Representative ensures that appropriate documents are available at all
locations where operation essential to the effective functioning of the Integrated
Management System are performed and invalid and or obsolete documents are
promptly removed from all these locations.

4.4 Document Distribution

 Management Representative is responsible for distribution of the approved documents
to the concerned designations where the activities and processes are being performed.
The documents distributed are ensured to be in a legible form.
 The documents before issue are listed on the Distribution Record Form (COD-FR-02)
and the receiving designation signs on this sheet along with the document date of
receiving.
 All documents distributed are identified by the “CONTROLLED DOCUMENT”
stamp.

4.5 Master List of Documents

Management Representative is responsible for maintaining a Master List (COD-FR-01) of all

the approved documents, which serves the following purposes:
 A master index of the document name and document number being used in the
system.
 Indicate the current revision status and the revision date of the documents.
The Master list is updated every time when there is any change in the revision number of the
documents.

Document Creation / Change Request (DCCR)

4.5.1 Request for Changes

 The request / suggest change in controlled document(s) or request for new document can be
initiated by HOD ( Process Owners) by filling out the Corrective / Preventive Action
Form (CPA-FR-01) – for details on how to fill the form see Operating Procedure for
Corrective / Preventive Action (CPA-OP-01).
 Same procedure applies if a new document is to be introduced in the system.

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4.5.2 Change Procedure for Major Change

Management Representative (MR) on receiving the Corrective / Preventive Action Form

(CPA-FR-01) initiates the following change procedure:
 After discussion with the concerned persons, revise / prepare the document.
 Revise the revision number and the revision date of the document
 Get the approval of the concerned authorities, who originally signed the documents.
 Update the Master List of Documents (COD-FR-01) to reflect the new changes.
 Recall the obsolete documents by getting the signatures of the related designation on
the Distribution Record Form (COD-FR-02).
 Issue the revised document to the related designation and get the receiving signatures
on the Distribution Record Form (COD-FR-02).
4.5.3 Indication for the Nature of Change

 The nature of change is indicted / communicated through the Change Record Form
(COD-FR-03).
 Latest Change is indicated by underlying of the words.
4.5.4 Revision History

 Documentation shall be reviewed for accuracy a minimum of every one year. Creation
of a new version is not required unless changes are made but records confirming
review must be available.

4.6 Obsolete Documents

 Whenever, a document is revised, Management Representative keeps the Master Copy
of the old document which is stamped as “OBSOLETE”, the rest of the copies are
disposed off.
 This is done in order to keep track of the system development and for reference
purpose.

4.7 Document Recall

 The Management Representative recalls the “Obsolete” document / documents of
previous revision by referring to the master list.
 The Management Representative prepares document recall form and collects the
previously issued documents (obsolete) by getting the Form signed by the recipient.
 After recalling the obsolete document, Management Representative marks one copy of
the document “obsolete” and files it the obsolete document file. The particulars of the
obsolete documents are recorded in the obsolete document list.

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4.8 Uncontrolled Documents

 Where required the documents related to the Integrated Management system can be
given to outside parties like client documents. The “UN-CONTROLLED COPY”
stamp on them identifies any such documents.
 Uncontrolled documents can be provided only with the permission of General
Managers/Directors/Chief Executive where applicable.

4.9 Control of External Documents

 External documents like Standards / Rules & Regulations etc. are controlled by the
Management Representative by maintaining a Master List (COD-FR-01) and stamping
of “CONTROLLED DOCUMENT” on the cover sheet of such documents.

4.10 Backup of Computer Data

Backup of electronic data related to Integrated Management System is kept and taken by
Management Representative every month to prevent damage or loss as per back up record
form (COD-FR-04).

4.11 Control of Company Records

4.12 Maintenance of Records

The concerned Departmental Head is responsible for the maintenance of company Integrated
Management System records in his Department.
It is responsibility of the concerned departmental head to make arrangements to collect the
Integrated Management System records of department.
4.12.1 Filing of company Records in Department Folders

The departmental head is responsible for filing the company Integrated Management System
records sequence wise of his department.
The Integrated Management System records are properly filed and indexed for easy retrieval
and safe storage, Files used in departments have the following labelling format.

Department:
File Reference
No. :
File Name:

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Folder Name:
Details:
Date Started:
Date Closed:

4.12.2 Closed Departmental Folder

All departmental heads will close all departmental folders at the end of each month. The
closed department folders / logbooks are stored within his department at appropriate place.

4.12.3 Storage of Company Records

Current department folder / departmental logbook shall be stored at appropriate place to avoid
fire, theft, unauthorized access and disposal. There shall be visible identification when
department folders / departmental logbooks (Current and Closed) are stacked & segregated,
which shall facilitate in identifying the order they are stored in and an immediate access.

4.12.4 Maintenance of Forms of Company Records

Management representative maintains a folder containing the current format of the company
Integrated Management System forms. The company records are stored in such a manner to
protect them from lubricants, dust, oil and other material.

4.13 Retrieval of records

MR will retrieve the obsolete document from the concern department (withdrawal the
obsolete document) and issue the new one and obsolete document will be maintained in an
obsolete file and record is maintained in an obsolete list.

4.14 Retention Time for Quality Records

 The Quality Records in Roshan Packages Ltd. are properly controlled. The retention
time for the records of documents is 24 months.
 The records in Roshan Packages Ltd. are in form of both soft copies and files.
 Record is retained for the period of 24 months.

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4.15 Disposal of Records

All the old records (Daily, weekly, Monthly & Yearly) will be disposed in such a way that no
information will be retrieved after disposal.

5 Filing system and internal communication

5.1 Opening of New Files
Each department should maintain File Opening Register. Whenever, a new file is opened it
should assign a unique number (Vol.) and entered in the File Opening Register. File Opening
Register identifies the total files available in the department. The File Opening Register is
maintained for control of files.

5.2 Maintenance and Movement of Files

To ensure the pertinent issue of files available at each department where they are originally
generated, departmental head should ensure that each file is allotted a serial number. A file
movement register is maintained to control movement of files with in the organization.
Whenever, any other Department, Officer, Director, Chief Executive require a file, it should
be noted in the File Movement Register. The department concerned should ensure that the
file is returned/received back after the needful is done and accordingly noted in the File
Movement Register.

6 Reference Documents Doc. #

 Master List of Documents CODR-FR-01

 Distribution Record Form CODR-FR-02
 Change Record Form CODR-FR-03
 Backup Log Form CODR-FR-04
 List of Quality Records CODR-FR-05
 Documentation Code CODR-FR-06

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