ISO 9001:2015 QMS Doc. No.

EEP/QMS/CORP/SOP/02
Location: QMSM Issue No. 1

Revision No. 0
Record Control Title Page

RECORD CONTROL PROCEDURE

Issued by: Approved by:

Signed: Signed:

Date: Date:
 ISO 9001:2015 QMS Doc. No. EEP/QMS/CORP/SOP/02
Location: QMSM Issue No. 1

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CONTENTS:

0.0 Table of contents

0.1 Distribution list
0.2 Amendment sheet record
1. Purpose
2. Scope
3. References
4. Terms and definitions
5. Process requirements
a. inputs and outputs
b. Sequence and interactions
c. Monitoring, measurement and evaluation
d. Resources
e. Responsibilities
f. Risks and opportunities
g. Improvement
6. Method
7. Documented information retained
Appendices
 ISO 9001:2015 QMS Doc. No. EEP/QMS/CORP/SOP/02
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0.1 Distribution List

This document is issued on controlled basis to the following staff members

Copy No. Copy Holder

1 Chief Executive Officer
2 Executive Officers
3 Directors
4 Managers
5 QSMS Manager
 ISO 9001:2015 QMS Doc. No. EEP/QMS/CORP/SOP/02
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0.2 Amendment Sheet Record

NO DATE Details of change Authorization

YYYY-MM-DD Page Clause/sub-clause and comment
 ISO 9001:2015 QMS Doc. No. EEP/QMS/CORP/SOP/02
Location: QMSM Issue No. 1

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1.0 Purpose
This procedure has been established to define the system used by the EEP for the control and retention of
documented information (records) in accordance with the requirements of ISO 9001:2015.

2.0 Scope
This procedure covers the identification, storage, protection, retrieval, retention and disposition of retained
documented information (records).

3.0 TERMS AND DEFINITIONS

i. QMS: Quality Management System
ii. CEO: Chief Executive Officer
iii. EO: Executive Officer
iv. HOD: Head of Department
v. HOS: Head of Section
vi. CORP: Corporate
vii. WI- Work Instruction
viii. SOP: Standard operating procedures
ix. RO: Records Officer
x. RM- Records Management
xi. QMSM: QMS Manager
xii. PM: Process map
xiii. DRIM: Documents and Records Identification Manual

4.0 References
3.1 ISO 9000:2015 QMS Fundamentals and vocabulary
3.2 ISO 9001:2015 QMS requirements
 ISO 9001:2015 QMS Doc. No. EEP/QMS/CORP/SOP/02
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5.0 Process requirements

5.1 Inputs and outputs
a. Inputs
I. Procedure
II. DRIM
b. Outputs
I. Record identification
ii. Storage
iii. Protection
iv. Retrieval
v. disposal
vi. updated record register
5.2 Sequence and interactions
The processes sequence and interactions are captured in the EEP quality manual,
EEP/QMS/CORP/QM
5.3 Monitoring, measurement and evaluation
a) Accuracy
b) Currency
c) Storage, retrieval and legibility
See also quality manual EEP/QMS/CORP/QM, Appendix 2.
5.4 Resources
a) Personnel(staff/HOD(s)/QMSM/Record Officer)
b) DRIM
5.5 Responsibilities
QMSM, HODs, Record officer, staff are responsible for the implementation of the process
5.6 Risks and opportunities
The risks and opportunities associated with the processes are documented in the
enterprise risk and opportunities’ register, EEP/QMS/CORP/QMSR/21/1
5.7 Improvement
a. Record reviews
b. Archiving
c. Transfers
d. Destruction
6.0 METHOD
6.1 General
6.1.1 Identification
6.1.1.1 Quality records shall be appropriately identified by a descriptive title clearly labeling the
record.
6.1.1.2 Records shall be categorized and codified as per guidelines given in Document and Record
Identification Manual (DRIM), EEP/QMS/QMS/ID/2/1.
6.1.1.3 The HODs shall maintain a register of records generated in their departments, functions
and section.
6.2 Storage
6.2.1 Records shall be organized and stored with a record index and shall be stored in respective
office’s registry, where applicable
6.2.2 Removal of records from storage areas shall be documented on a Record Control Log.
6.2.3 Designated record storage areas shall be environmentally controlled to the extent
necessary to preclude physical damage to the records.
6.2.4 Records shall be stored in hard copies, electronic media or other suitable forms as uniquely
appropriate.
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6.3 Retrievability
6.3.1 Records shall be maintained in such a manner as to ensure ease of their retrievability.
6.3.2 Quality Records shall be readily retrievable at point of use.
6.4 Legibility
6.4.1 Records shall be generated, handled and maintained in such a manner to ensure
continued legibility.
6.5 Protection
6.5.1 Electronic records shall be backed up and access shall be by authorization.
6.5.2 Records containing protected information shall be kept in an appropriate file, cabinet or
drawer in a secure location or password protected for electronic records.
6.5.3 The storage facilities/equipment shall be adequate and appropriate to prevent
damage from excessive light, stacking, electromagnetic fields, temperature and
humidity.
6.6 Retention Period
6.6.1 The retention period for records shall be guided by the DRIM, EEP/QMS/ID/2/1. HODs
shall be responsible for the retention period for each record.
6.6.2 At the expiry of the retention period, the HODs shall authorize the removal of such
records to the archives.
6.7 Records Review
Records shall be reviewed annually to determine if they are due for disposition
6.8 Disposition
6.8.1 On expiry of the retention periods, the relevant HOD shall review the records before disposal.
6.8.2 Any authorized staff within the department shall prepare the disposal forms and forward to
the HOD and QMSM respectively for approval.
6.8.3 The filled and approved Record Disposal Request Form, in triplicate, shall be forwarded
to the QMSM who shall approve and recommend the destruction and the method of
destruction. The QMSM shall retain the original and the copies shall be filed by the HOD.
6.8.4 Destruction should take the form of shredding if feasible, depending upon the
sensitivity of the records. When shredding is impractical, it is the owner’s
responsibility to take whatever steps necessary to prevent the records from
unauthorized access and / or use.
6.9 Step by Step Method
6.9.1 The QMSM shall identify the records required in the implementation of the QMS and the
appropriate codes as per DRIM.
6.9.2 The QMSM shall then prepare guidelines on the record retention and disposal schedule
and distribute the schedule to HODs.
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6.9.3 The HODs shall identify the applicable records for their departments/ sections and
assign the appropriate titles, dates, sources, retention and disposition for the records.
6.9.4 The HODs shall file the corresponding records in secure locations as described in
this procedure.
6.9.5 The HODs shall review records to determine if they are due for disposition.
6.9.6 If some of the records are due for disposition the HODs shall fill the records disposal
request form and forward the list to QMSM for the appropriate action.
7.0 Documented information retained
a) Record Disposal Request Form
b) Updated record register (DRIM)
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Appendix 7.1 Process Map: EEP/QMS/CORP/CORP/SOP/02/PM

QMSM/RO HOD

Start

Identify QMS records

required

Define record retention

and disposition schedule

Identify appropriate QMS

records required

Give record title, date,

source, retention and
Review disposition disposal period

Archiving? Destruction? File record in secure

No No location

Yes

Follow the archiving Review retention period

WI Follow the destruction
WII
Are records
due for
disposition? No

Yes

End
Fill record disposition
request form
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Appendix 7.2 Record Disposal Request Form - EEP/QMS/CORP/SOP/O2/F1

1: Contact Information

Department/Unit:

Contact Person: Phone:

2: Records to be disposed of:

2.1 Title/ description of records to be disposed of:

2.2 Date range of records to be disposed of: 2.3 Quantity of records to be disposed of:

3. Authorization for disposal:

I hereby state that the records described above are no longer required by the unit and can
be disposed of.

Head of Department (Title) Signature Date

Management Representative Signature Date

4. Records Disposal Approval (to be completed) by the MR

4.1 Quality Records 4.2 Disposal Action

Retention-Disposal Authority Destruction
Schedule number(s) used to Transfer to Company Archives
authorize destruction Other
(Tick as appropriate)
Approved by QMSM Date of approval: