NB ENVIRONMENTAL SERVICES LTD

DOCUMENT AND RECORDS

MANAGEMENT SYSTEM
PROCEDURE

DOCUMENT OWNER APPROVED BY DOCUMENT # REVISION # RELEASE DATE

SHANNON MOORE NEIL BENJAMIN

HSSE-PRD-019 1 8th January,2018

 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

TABLE OF CONTENTS

TABLE OF CONTENTS .........................................................................................................................................................................2

1 PURPOSE ...................................................................................................................................................................................3

2 SCOPE .......................................................................................................................................................................................3

3 RESPONSIBILITIES ......................................................................................................................................................................3

3.1 HSSE MANAGER .......................................................................................................................................................................... 3

3.2 DEPARTMENT MANAGERS/SUPERVISORS ......................................................................................................................................... 3
3.3 DOCUMENT CONTROLLER ............................................................................................................................................................... 3

4 PROCEDURE ..............................................................................................................................................................................4

4.1 DOCUMENT CONTROL REGISTER ...................................................................................................................................................... 4

4.2 DOCUMENT DESIGN ...................................................................................................................................................................... 4
4.3 DOCUMENT PROPERTIES ................................................................................................................................................................ 4
4.4 DOCUMENT CATEGORIES ................................................................................................................................................................ 5
4.5 LOCATION OF DOCUMENTS ............................................................................................................................................................. 5
4.6 DOCUMENT REVIEW ...................................................................................................................................................................... 5
4.7 DOCUMENT RETENTION ................................................................................................................................................................. 6
4.8 DOCUMENT APPROVAL .................................................................................................................................................................. 6
4.9 REVISION HISTORY ........................................................................................................................................................................ 6
4.10 UNCONTROLLED DOCUMENTS ......................................................................................................................................................... 6
4.11 HSSE RECORDS ............................................................................................................................................................................ 7

5 TRAINING REQUIREMENTS ........................................................................................................................................................8

6 RELATED DOCUMENTS ..............................................................................................................................................................8

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 2 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

1 PURPOSE

Documentation is critical in the success of any organization’s Health, Safety, Security and Environmental (HSSE)
Management System. It allows for consistency and uniformity in the application of procedures and specification for HSSE
in the workplace. The purpose of this procedure is to provide a standard method for controlling documents that support
the operation of the NB Environmental Services Ltd (NBESL) HSSE Management System.

NBESL relies heavily on its server for the storing and availability of documents used in the HSSE management system. This
allows for one controlled source to be available for the Company and eliminates the need for multiple controlled copies
of manuals to be kept. In doing so, this means that any printed version of a document or record is ‘un-controlled’ and
should be checked against the intranet for its status.

2 SCOPE

This procedure applies to the documents created as part of the NBESL HSSE Management System. This includes policies,
procedures, manuals, forms, process flow charts, training materials, articles, newsletters, guidelines etc.
This procedure also applies to safe work procedures developed by other NBESL departments and groups where the
procedure is required to prevent adverse HSSE conditions.

3 RESPONSIBILITIES

3.1 HSSE Manager

The HSSE Manager has the overall responsibility for the HSSE document control system. This includes the development
and evaluation of this procedure. The HSSE Manager also has direct responsibility for all centrally produced
documentation.

3.2 Department Managers/Supervisors

Department Managers are responsible for ensuring the implementation of procedures and guidelines created to minimize
health and safety risks are implemented and controlled in accordance with this guideline.

3.3 Document Controller

The Document Controller is responsible for ensuring that the document control requirements are met. The document
controller is also responsible for assigning correct document identification numbers, revision levels, release date and
updating the document control register.

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 3 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

4 PROCEDURE

4.1 Document Control Register

Each document created as part of the HSSE Management System will be recorded on the Document Control Register. The
register will include the document number, current version, title, creation date, last review date, next review date and
comments. [Document Control Register]

4.2 Document Design

Documents designed for the HSSE management system shall use the HSSE Document Template. This will ensure that
documents have the same style and presentation.
All Management System procedures shall contain the following information:
 Policy
 Scope
 Responsibilities
 Procedure
 Associated Records
 Review and Evaluation

All safe work procedures shall contain the following information:

 A description of the activity or process;
 Roles and Responsibilities for the activity or process;
 A clear explanation in sequential order of the steps or stages comprising the procedure or process;
 Potential hazard, and their associated risk;
 Safety controls to minimize potential risk from any identified hazards;
 Health and safety precautions to be exercised in the course of carrying out work activities.

4.3 Document Properties

Each document created for the HSSE Management System is required to contain document information at the top of the
first page and in the footer of each page. The following document properties are to be displayed in the header:

 Document Number: this shall be displayed in the format ‘Department-XX-YY, where X is the document category
(see Document Categories below), Y is the document number.
 Release Date: the month, day and year the document was released;
 Review Date: the month, day and year the document is to be reviewed;
 Owner: the person responsible for the document. This is not necessarily the person who created the document;
 Approval: the person who must review and approve this document before it can be released.

The following document properties are to be displayed in the footer:

 Page Number
 Document Number

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 4 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

4.4 Document Categories

Symbol Categories Description

P Policies, Programs and Plans Basic principles by which and organization is guided

M Manuals An instructional book or booklet that is supplied with almost all

technologically advanced products
F Forms A form is a document with spaces (fields) in which to write or select.

FC Process Flow Charts An instrument that visualizes and analyses the various systems
and procedures (e.g. delivery of services) within an organization
PRD Procedures A specified way to carry out an activity or a process. Procedures can be
documented or not.
SWP Safe Work Procedures A written instruction of a task/activity outlining the preferred method whilst
emphasizing ways to minimize any risk(s) of harm. A safe work procedure
outlines the hazards, risks and associated controls measures to be applied to
ensure the task/activity is conducted in a way to reduce the risk of injury.
JD Job Description A list of the general tasks, or functions, and responsibilities of a position.
MS Method Statements A document detailing how a particular process will be carried out.

TM Training Material-NBESL NBESL internal Training presentations and workshops

4.5 Location of Documents

Documents are to be located on the NBESL Server for ease of accessibility. For those persons who do not have access to
the server, hardcopies of procedures and guidelines are to be made available. However, these documents as are any
document printed from the NBESL server are ‘uncontrolled’ documents and will need to be periodically checked against
the server to ensure validity.

4.6 Document Review

Documents in the HSSE Management System are to be reviewed within three (3) years of release date. For some
documents this may need to be more frequent depending on changes in legislation, corrective action from incidents or to
aid in continuous improvement. The HSSE and Environmental Policy Statements will be reviewed annually in accordance
with legal requirements.

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 5 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

4.7 Document Retention

All versions of created documents shall be kept either electronically or in print for system evaluation purposes. Archived
documents will be stored electronically on the NBESL server.

4.8 Document Approval

HSSE Document Approval Process/Flow:
1. Drafts document created by user
2. Draft sent to relevant manager/supervisor for review and edit
3. Return to document creator for edit if necessary
4. Administrative Manager and Document Creator discuss impact of document.
5. Senior Staff of affected groups are asked to make input to document.
6. Document Creator incorporates final edits.
7. Document sent to Managing Director for approval.
8. Document to Document Controller for controls and posting on the NBESL server

4.9 Revision History

All procedures must have a revision history register at the end to document all changes made to the document since
creation. A sample revision history is seen below

Date Comments Made by Position

2/05 Original document created
Minor revisions. Added document control
11/05
header and revision history.

4.10 Uncontrolled Documents

A disclaimer using one of the formats below will be placed as a header on uncontrolled documents.

a. For uncontrolled copies of controlled documents that are maintained electronically, the header should read:
For documents maintained on the Internet/Intranet:
 “This is an UNCONTROLLED DOCUMENT printed for reference only (date). The controlled document is
located on-line at the address shown at the bottom of this page.”
For documents maintained on a locally accessed file:
 “This is an UNCONTROLLED DOCUMENT printed for reference only (date). The controlled document is
located (state where, e.g. I-Drive, file name)”

b. Uncontrolled copies of hard copy controlled documents should have the following format:
 “This is an UNCONTROLLED DOCUMENT for reference only. The controlled copy (or copies, if more than
one) is (are) located (state where, e.g., file cabinet in a specific shop office or room number)”

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 6 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

4.11 HSSE Records

Some examples of records that shall be kept are listed below:
• Qualifications, skills, knowledge, competency and certifications;
• Induction and training;
• Training plans;
• Fire Certificates
• Manufacturers operating instructions
• Workplace inspections
• Plant/equipment test reports;
• HSSE audit reports;
• Risk management records such as risk assessments and safe work procedures
• Incident reports and investigations;
• Document control register;
• Minutes of HSSE meetings;
• Minutes of HSSE meetings relating to HSSE management system reviews;
• Statistical analysis of HSSE data;
• Corrective action register;
• Corrective actions plans;
• Engagement of contractor’s records;
• Safety equipment records;
• Hazardous substances and dangerous goods;
• Contractors HSSE requirements;
• Health surveillance and monitoring records;
• Emergency evacuation reports.

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 7 OF 8
 NB ENVIRONMENTAL SERVICES LTD

PROCEDURE: DOCUMENT #: REVISION:

DOCUMENT AND RECORDS MANAGEMENT SYSTEM PROCEDURE HSSE-PRD-019 1
DOCUMENT OWNER: APPROVED BY: RELEASE DATE: REVIEW DATE:
SHANNON MOORE NEIL BENJAMIN 8th January,2018 8th January,2021

5 TRAINING REQUIREMENTS

Training Audience Duration

Document Control Awareness All Staff 1 hr.

6 RELATED DOCUMENTS

Title Document # Type

Document Creation/Change Request HSSE-F-018 Form
Document Control Register HSSE-F-017 Register/Form
HSSE Records Register HSSE-F-005 Register/Form

APPROVED BY: NEIL BENJAMIN| HSSE-PRD-019 | REVISION 1 | 8th JANUARY, 2018 | PAGE 8 OF 8