DOCUMENT#:

~RIAi CONTROL OF RECORDS CAR.SOP.02

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STANDARD OPERATING PROCEDURE

FOR THE

CONTROL OF RECORDS

Authorised by Chief Executive Officer: ..................... ;-;-~--.•.........................

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~ARIRI CONTROL OF RECORDS CAR.SOP.02
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~RIRI CONTROL OF RECORDS CAR.SOP.02
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1.0 PURPOSE

This procedure defines the controls necessary to ensure CARIRis records are handled
consistent with all quality management,healthand safety management, and legislative
requirements.

2.0 SCOPE

This procedure focuses only on the handling, storage and disposition of all records
within the organisation.

3.0 RESPONSIBILITIES

3.1 The Quality Services Department has overall responsibility for this procedure
including:

• Maintaining a list of general forms and making list availa le to all end users.

• Disposing or archiving of inactive records and informing Section Heads and

Management which records are to be disposed or archived.

3.2 All SectionHeads have specific responsibility for ensuring adherence to this procedure
by:

• Storing all relevant records via the appropriate medium in the designated areas.

• Advising Quality Services of semi-active recordsto be transferred.

• Maintaining a list of approved section-specific forms pertaining to its operations

• Maintaining a log of records retained by the section

4.0 REFERENCES

4.1 ISO 9001:2015 Section 7 .5 - Documented Information

4.2 CARIRI's Business Process Manual Section 7 - Support Processes

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CONTROL OF RECORDS
DOCUMENT#:
CAR.SOP.02

5.0 DEFINITIONS

5.1 Records- Documents which provide evidence and accountability. Records include
reports, maps, drawings, photographs, letters, reports, brochures, notes, posters,
newsletters and any other documents on which information is recorded.

Other examples of records found in CARIRis system include: Work sheets, Contracts,
Proposals, Specification Sheets, Sample Receipt Logs, Chain of Custodies, Training
Records, Training Reports, Meeting Minutes, Audit Reports, Proficiency Schemes,
Equipment Records, Calibration Certificates, and Project Reports etc.

5.2 Active Records - Records that are in current use and must be kept within the Section
(soft or hard copy), close to its users.

5.3 Semi-active Records - Records that are used only occasionally and do not need to be
maintained in the Section, close to its users but are still re · e for the administrative,
operational, fiscal, audit or legal value. Semi-active Re brd
records.

5.4 Inactive Records - Records that are no longer needed for ongoing operations and are
ready for disposal or transfer to Archives i.e. building or area or folder where archival
records are stored.

5.5 Disposition - The act of disposing or transferring to the possession of anotheror

ensuring complete obliteration of information.

5.6 Archival Records- Records of enduring value that are maintained indefintiely i.e.
records that have significant historical, cultural, intrinsic or informational value.

5. 7 Record Retention- the length of time a record is retained. This retention period
begins when the record is closed.

6.0 PROCEDURE

6.1 Input
• Record

6.2 Output
• Immediate storage of semi-active records
• Extended storage for archived records/ disposal of inactive records

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CAR.SOP.02

6.3 Process Steps

A. Handling and Protection

1. Hand-written records are written in permanent ink (black and blue only) and are
clear and legible. Permanent records are not made in pencil.
2. All records are handled in such a manner that no damage takes place or accidental
deletion of files.

B. Storage& Preservation
1. All of a section's records are filed and stored in defined storage areas e.g. cabinets,
shelves, etc. for a period of two years (may differ for records in various sections).
The way in which records are filed within the section are determined by the
Section Head together with Administrative staff.
Note.On-site storage maybe shortened due to limited storage capacity within a
section.
2. After the typical two years, Section Heads remove and package the semi-aetive
records in storage boxes and arrange transportation o the temporary storag
facility i.e. Quality Services. This must be accompanied by a completed Record
Transfer Form (CAR.F.04).

3. Records stored electronically are kept on Section's drives assigned for record
storage and are retained for the same period of time as defined above after which
access to these records would be restricted.

4. Electronic records are backed up on-site and off-site at least once every two weeks
by the IT Department.

C. Record Retentionand Disposal

1. At Quality Services, semi-active records are stored for an additional 5 years
(unless stated or required otherwise as seen in Appendix I- Retention and
Disposition Schedule).

2. Records for which the retention period has lapsed are purged each year by Quality
Services staff. The relevant Section Head would be informed of the records to be
disposed of and where requested, particular records may be retained beyond the
specified retention period.

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3. Approval is sought by Executive Management before disposal is conducted

(Disposal Form - QSD.F.03).

4. All archival records are filed and stored in the Vault (Archives) whether online or
offline.

5. All other records are disposed of via an appropriate medium e.g. shredding,
incineration, etc.

7.0 RELATED DOCUMENTED INFORMATION

7.1 Control of Documents (CAR.SOP.01)

7.2 Record Transfer Form (CAR.F.04)
7.3 Disposal Form(QSD.F.03)

8.0 APPENDICES

8.1 APPENDIX 1-CARIRI's Retention and Disposition Schedule

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Record Group Record Title
Customer Enquiry Forms
Quotations
Proposals
Contract Documents
Sample Receipt Logs
Worksheets
Environmental Monitoring
Records
Operational Service Reports
Sections Project Reports
(including CAMS)
Equipment Logs
Training Records
Calibration Certificates
(Internal Clients)
Calibration Certificates
(External Clients)
HSE Records
Personnel Files- including
Application of Employment
General Circulars including
vacancies
Human Resource Attendance Registers –
Department Training
Employee Time & Attendance
Registers
Training Reports
Memos
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CONTROL OF RECORDS CAR.SOP.02
APPENDIX 1
RETENTION AND DISPOSITION SCHEDULE
Retention Action to be Taken
Authority Remarks
On-site(Active) Off-site (Inactive) Dispose Archive
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
Section Heads/ Designate
2 5 Yes
2 5 Yes Section Heads/ Designate
2 5 Yes Section Heads/ Designate
For the life of the equipment at the
Yes
Institute Section Heads/ Designate
For the tenure of the employee at the
Yes Section Heads/ Designate
Institute
For the life of the equipment at the
Yes Section Heads/ Designate
Institute
Section Heads/ Designate
2 5 Yes
2 5 Yes Section Heads/ Designate
At least 7 years after separation of
Yes Section Head, HR
Employee
6 months Yes Section Head, HR
Section Head, HR
2 5 Yes
6 months N/A Yes Section Head, HR
2 5 Yes Section Head, HR
2 5 Yes Section Head, HR
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