Doc# SP/01

CONTROL OF DOCUMENTS AND RECORDS Issue#: 01

Issue Date: 06.04.2019

1. Purpose & Scope: The procedure of document and record control has been established to control
the data relevant to the systems and operations of organization.

2. Responsibility: Management Representative

3. Procedure:

3.1 Document Approval

3.1.1 Procedures and Work Instructions
Approval: Top Management
3.1.2 Other Documents& Records
Approval: Top Management & Management Representative
3.2 Master List
3.2.1 M. R prepares Master List of all documents and records that shows the current issue
No. of documents.
3.3 Distribution
3.3.1 M. R maintains Document Distribution List for all documents.
3.3.2 M. R takes recipient’s signature while issuing procedure(s) and signs himself while
recalling obsolete document.
3.3.3 Master File contains master copy of all Quality system documents and records.
Photocopies of records are allowed for routine use.
3.4 Document Change
3.4.1 Any person within the scope of Quality system can request for change in document or
record or propose to create a document or record through document change request.
3.4.2 Creation of document through this System will be applicable after first issuance.
3.4.3 Changes are approved by the functions that initially approved the document.
3.4.4 Responsible designation reviews the request with respect to level of initiator and type
of change and discusses the initiation or changes in the document with concerned
department responsible and shall mention the change in request document.
3.4.5 If changing gets approved; M. R releases new issue number and recall all obsolete
copies from relevant department (s).
3.4.6 Obsolete documents when recalled are destroyed except one copy that is stamped with
OBSOLETE-DOCUMENT and kept in Obsolete section of Master File along with
Document Change Request.
MR shall ensure that obsolete document or record does not exist in department any
3.4.7
more.
3.5 External Documents
3.5.1 All those documents of external origin, which are related to the Quality system; are also
controlled by listing in list of external documents. The documents, photocopies, or
original copies of such documents are only distributed with file keeper’s initials.

3.6 Document Titling and Numbering

Document Title covers:
 Subject
 Base
 Type
 Department
 Document Number
 Issue and Revision status

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 Doc# SP/01
CONTROL OF DOCUMENTS AND RECORDS Issue#: 01
Issue Date: 06.04.2019

 Issuance status
Categorization of levels for data and record control.
1. Quality System Manual
2. Procedure/ Process
3. Work Instruction/ SOP
4. Record
ZZZ-Serial #
Where;
ZZZ-Abbreviation for document type (1 to 3 characters)
Document Type Example
SP = System Procedure SP-Serial #
OP= Operational Procedure
WI = Work Instruction WI-Serial #
JD= Job Description J-Serial #
SOP= Standard Operating Procedure
ORG = Organogram ORG-Serial #
QMS = Quality Management System
FSMS = Food Safety Management System
PC= Personal Computer
For Forms Example
S/F-Serial Number S/F-01
YY-/F-Serial Number O/F-01
S = System
YYY = Abbreviation for Department
F = Form
3.7 Department Abbreviations
3.7.1 MKT = Marketing
PUR = Purchasing
PRD= Production
STR = Store
MNT = Maintenance
I. T = Information Technology
8. Master Record List
3.8.1 M. R compiles Master Record List that describes:
 Document Title and Number
 Storage Location and Responsibility
 Obsolete date
 Retention Period
 Revision Status
3.9 Identification
3.9.1 Master Records are identified with Title/Document No, Issue No and Issue Date.
3.9.2 Master Records are identified by the activity by date etc.
3.10 Indexing
3.10.1 Master Records are filed properly
3.10.2 The same Master Records are maintained data wise showing document name or number.
3.10.3 The files of same Master Records are indexed period wise i.e. from ________ to
_______.

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 Doc# SP/01
CONTROL OF DOCUMENTS AND RECORDS Issue#: 01
Issue Date: 06.04.2019

3.11 Filing & Storage

3.11.1 Responsible person files Master Records in respective files.
Responsible person stores the files at the places in the respective area in such manner
3.11.2 that ensures proper safety from damage/deterioration of Master Records.

3.12 Access
3.12.1 Master Records have limited access. Only persons identified in Master Record List can
have access to those records.
3.12.2 Internal Auditor team members do have access to Master Records. Access can be
permitted by intimation from top management.
3.13 Maintenance & Data Back-up
3.13.1 The persons generating the record ensure that the contents of Master Records are
properly filled such that data is legible and the corrections are made with striking off
the wrong content and initiating the correction.
3.13.2 M. R shall record the back-up of data in each fifteen-days and shall store the data in
following media along with password protection and store in locker:
 External Hard disk
3.14 Retention & Disposition
3.14.1 Period of retention is one year on site and up to five years’ preservation in company
data library or record.
3.14.2 After the retention period of Master Quality Records expires; M. R remains responsible
for storage, destroy, and dispose-off the record in such manners that their contents
cannot be identified and traceable of any confidential information relevant to
organization.
4.0 Reference Documents
4.1.1 Master list of Documents (SF/01)
4.1.2 Master list of Records (SF/02)
4.1.3 List of External Origin Document (SF/03)
4.1.4 Change Request (SF/04)

Prepared by Reviewed by Approved by

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