OM00012 – Document and Records Policy

Document Control Policy

Purpose:

To ensure effective operation of the QMS, A2Z Services will ensure that documents are easily located, relevant and kept up-to-date.

Scope:

This policy covers all workers at A2Z Services who obtain, create, use, edit, review and store documents and records.

Policy:

At A2Z Services, the control of document information ensures that:

• Documented information is readily available to workers and managers and that it is suitable for use;
• Documented information is protected from loss of confidentiality about our processes, improper use or loss of document integrity.

In the control of documented information including records management, the following actions are taken to ensure documents, content and records are:

• Able to be distributed, accessed, retrieved and used in an appropriate, effective and efficient manner;
• Stored and preserved including legibility for prescribed times as per legislative or regulatory requirements;
• Version controlled and changes are documented and communicated;
• Retained and disposed of according to legislative or regulatory requirements;
• All electronic forms will be maintained and backed up as per document keeping procedure;
• All hardcopy records will be protected from damage by storage in suitable compartments.

Records subjected to regulated timeframes must be kept for the required period. All other records will be kept for a period of 7 Years

Where documented information is of external origin outside of A2Z Services is necessary for the planning and operation of our Company’s processes then the documentation will be identified as so and controlled in the same manner as our internally generated documented information.

Documented information retained as evidence of conformity in the form of records will be protected and stored for the length of time required by regulatory requirements.  The Quality records kept by A2Z Services are detailed in the Document Register (OR0010)

The types of documents that can be controlled documented information include (but are not limited to):

• HTML and Java scripted Web Pages;
• Operations Manual;
• Procedures;
• Work Instructions;
• Forms;
• Company templates.

Records such as:

• Corrective Actions;
• Management Reviews;
• Customer Complaints;
• Calibration Results.

 All printed documents are considered uncontrolled.

The documents are to be approved by the Managing Director and only nominated people shall have the authority to create and modify documents. Control external documents such as law guides, standards and legislation through subscription to online databases, which maintain up-to-date versions of all materials.

Control health and safety records and worker’s compensation records in accordance legislative requirements. Nominated persons shall have responsibility for holding, storing, retaining and disposition of WHS related records.

A2Z Services will keep records in line with specific legislative requirements for health monitoring data, injury records, risk assessments, SOP, notifiable incidents, worker’s compensation and other specified matters. Records will be kept for the required timeframe and will be accessible for review by regulatory bodies and HSR as appropriate.

Document Management Process

1. An OMS Document Manager will be allocated to maintain QMS documents in an accessible form;
2. The OMS Document Manager will preserve updated documents for the following outcomes:

• Operational Control Procedures;
• Objectives, targets, and action plans;
• Legal requirements;
• Health and Safety Policies and Procedures;
• Management reviews;
• Reports on audit outcomes;
• Corrective and preventive actions;

• The QMS Document Manager is not responsible for developing or modifying any documents unless tasked. All documents will be developed or modified by the appropriate person or group responsible.

3. The QMS Document Manager will control all QMS documents and records using Document Register (OR0010)

Document Creation

1. All documents must be created by a person sufficiently experienced in the subject at hand e.g. emergency response procedures;
2. All internal documents will initially be created as electronic files (.doc.pdf, xlxs);
3. All internal documents will contain identification and description (e.g. a title, date, author, or reference number);
4. All draft will be sent by email to the appropriate approver(s) for review and approval;
5. The reviewer will discuss any issues with the author to achieve a final approved document;
6. The reviewer will indicate approval of the document by signing off the Document Register (OR0010);
7. On approval of the document, it will be forwarded to the QMS Document Manager for filing/placement;
8. If the hardcopy is maintained in a filing system/binder, any previous hardcopies of the same document must be moved to an obsolete document filing system/binder;
9. Original releases of documents must contain acknowledgment that it is the original document in the revision numbering system;
10. The QMS Document Manager will maintain a copy of the created document within a computer folder. This file must be incorporated into all data backup routines;
11. The QMS Document Manager will ensure that all new or revised documents placed into a master list folder will have file’s permission set to READ ONLY, and updated in the Document Register (OR0010);
12. Any previous electronic versions will then be moved to a separate folder identified for superseded/obsolete documents.  Superseded/obsolete files will be kept for historical record Document Register (OR0010); – Archived Documents page.

Document Review and Revision

All QMS listed documents will be reviewed / amended on an annual basis. Any document amended, or new document added, outside of the review period will be immediately added to the applicable Document Register (OR0010);

Photocopy Allowed (PA) Forms will be reviewed every 3 months for currency and to ensure the current version is being used.

Document Distribution (All hard copies are to be considered uncontrolled documents)

• Controlled documents will be available for nominated employees;
• Employees will receive training / instruction on how to locate and retrieve the current version of a file;
• If hardcopy document distribution is used the QMS Document Manager will log it in the (Document Register (OR0010)of where controlled hardcopy documents are to be located;
• The QMS Document Manager will be responsible for distributing current copies to the correct locations;
• Hardcopies must not be altered or modified by users and must remain legible. Should the document be damaged or otherwise illegible the QMS Document Manager must be notified as soon as possible;
• Hardcopies may not be photocopied without the approval of the QMS Document Manager unless designated as a PA Form.

PA Forms:

• PA Forms may be photocopied as needed;
• An electronic copy of each approved form must be sent to QMS Document Manager for inclusion in the document master list.

External Origin Documents

• External documents used for non-critical purposes, such as reference material or marketing materials are not controlled;
• Legislation, Codes of Practice, Standards or third-party specifications are controlled documents;
• The QMS Document Manager must ensure the latest versions are maintained and kept up to date. Controlled external documents will be kept in the same format (electronic and/or hardcopy) and, subject to the same conditions of file structures and backup schedules as per internal documents.

Records Management Procedure

A2Z Services has implemented a system to develop, maintain and retain WHS and Worker’s Compensation records that meet legislative requirements.

Responsibilities:

At A2Z Services the PCBUis responsible for ensuring that:

• There is an active Document and Record Keeping Procedure along with associated tools and resources in place and that they meet WHS and worker’s compensation legislative requirements;
• All workers are trained and familiar with, have access to, and follow the procedure required for aspects of document and record keeping for which they are personally responsible for while working at A2Z Services;
• Others who are impacted by WHS at A2Z Services, such as additional PCBU and visitors, are included in or consulted about document and record keeping at A2Z Services as required;
• Conduct review of the Document and Record Keeping Procedure as necessary.

Managers/Supervisors are responsible for:

• Informing workers and others about the requirement to appropriately record, store and manage WHSMS Manual information following the Document and Record Keeping Procedure;
• Adequately train all people in how to access, record, store and distribute WHSMS Manual information and documents in the workplace;
• Ensuring that suitable tools and resources are available to all workers to enable readily accessible and useful document and record keeping occur;
• Maintaining and managing documentation and records required by current WHS Legislation relating to WHS and worker’s compensation.

All workers are responsible for being aware of, understanding and following the Document and Record-Keeping Procedure when undertaking tasks involving workplace safety and the WHSMS Manual whilst working at A2Z Services.

Forms and Registers

Document Number	Document Name
OR0010	Policies Document Register
OR0033	Forms Document Register
OR0034	Registers Document Register

Amendment Record

Issue#: 1 Issue Date: 13/7/2022

Rev#	Date	Section#	Para.#	Description of Change	Prepared By	Approved By
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2
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Disclaimer: This documentcontains material to assist in meeting environmental management, Work Health and Safety and Quality obligations under the International Standard ISO AS/NZS ISO 9001:2016,14001:2016 and other legislative bodies. This document contains material sourced from Safe Work Australia. Any such material remains subject to copyright © Commonwealth of Australia. https://www.safeworkaustralia.gov.au/copyright. Although every effort has been made to ensure the accuracy of this information at the time of publication, it is provided as guidance only and does not provide legal advice on meeting your obligations. This document and its contents are © A2Z services 2018 and or the originating source authors and no permission is given for its duplication or copying, in part or in its entirety, for use outside its original purposes as stated within the company.