FAHUD FIRST TRADING AND SERVICES LLC

CONTROL OF DOCUMENTS AND

RECORDS PROCEDURE

DOC NO : F1-QMS-PR-02
REV NO : 01
DATE :01 APR 2021
FAHUD FIRST TRADING AND SERVICES LLC | Control of Documents and Records Procedure

MANUAL CONTROL & REVISION HISTORY

CONTROL OF DOCUMENTS
Document Name : Document Number : F1-QMS-PR-02
AND RECORDS PROCEDURE
Revision Number : 01 Issue Date : 01-Apr-21

Prepared by Approved by

Signature

Name Rohit Patel Said Zerarka

Designation Quality Manager Chief Executive Officer

Revision History
Revision No. Date Description
00 19-Mar-19 Initial issue for implementation
01 01-Apr-21 Reference added as per ISO /IEC 17025

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Contents
PURPOSE .................................................................................................................................... 4

SCOPE ......................................................................................................................................... 4

REFERENCE ................................................................................................................................. 4

DEFINITIONS AND ABBREVIATION ............................................................................................... 4

RESPONSIBILITIES ....................................................................................................................... 5

Quality Manager:.................................................................................................................................................................. 5

Chief Operating Officer ........................................................................................................................................................ 5

PROCEDURE ................................................................................................................................ 5

Document Structure ............................................................................................................................................................. 5

Document Numbering .......................................................................................................................................................... 7

Document Control & Distribution ........................................................................................................................................ 7

Amendment / Revision of Document ................................................................................................................................... 8

External Origin Documents .................................................................................................................................................. 8

Control of Obsolete Documents ........................................................................................................................................... 9

Records Control .................................................................................................................................................................... 9

ATTACHMENTS ......................................................................................................................... 10

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FAHUD FIRST TRADING AND SERVICES LLC | Control of Documents and Records Procedure

PURPOSE

This procedure defines the control of documents and records for the effective operation of Quality, Health,
Safety and Environmental Management Systems of F1 LLC.

SCOPE
This QMS Management Procedure is applicable to all activities, products and services of F1 LLC under the
scope of QMS and HSE Management System.

REFERENCE
ISO 9001:2015 – 7.5 Documented Information

ISO 14001:2015 – 7.5 Documented Information

OHSAS 18001:2007 – 4.4.5 Control of Documents

ISO/IEC 17025:2017- 8.3 Control of Documents

8.4 Control of Records

F1-HSE-MN-01- HSE MS Manual of F1 LLC

F1-QMS-MN-01- Quality MS Manual of F1 LLC

F1-QMS-MN-02 Quality Manual

DEFINITIONS AND ABBREVIATION

Document: Information and its supporting medium. Eg: Manual, Procedure, Standard, License, drawing,
Report, etc. The medium can be paper, magnetic, electronic, or optical computer disc, photograph or master
sample, or a combination there of.

Record: document stating results achieved or providing evidence of activities performed. Generally, records
need not be under revision control.

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HoD: Head of Department

RESPONSIBILITIES
Quality Manager:
Quality Manager is responsible for timely revisions in this procedure & for ensuring that requirements of this
procedure are known & understood to concerned parties.

Chief Operating Officer

It is the responsibility of CEO to ensure that the requirements of this procedure are adhered to in all
departments of F1 LLC.

PROCEDURE
Document Structure
F1 structures the QHSE documentation in four levels as follows:

Level 1 – Policy, Manual, System Procedure

Level 2 – Procedures, Plans, Registers, Work Instructions, Guidelines

Level 3 – Forms, Checklists, Templates, Records, Logbook, etc.

A brief overview of the purpose of each type of document is given below:

Table-01:
Document Type Abbreviation Description
Defines the System and policies which includes
the documents needed by the organization to
Manual MN
ensure the effective planning operation and
control of its processes
Procedures PR Specified way to carry out a process
Standard Operating
SOP Procedure Specific to operations
Procedure

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Documents that provide information about

Work Instruction WI
how to perform activities
A Register is a type of list. Most commonly
Register REG used in Quality Management is a Document
Register.
A checklist is a Document used to check some
Checklist CL
defined condition
A Form is a blank version of an approved
template or document that is to be printed and
Form or Template FT completed or filled in online and saved. A
Form is used to enter data as defined by the
process owner.
A document used to define timescales,
Plan PL interdependencies or any aspects of approved
plan of work
Flow Chart FC A diagram shows step-by-step of a process
A Job Safety Analysis which include any
common inherent risks found on a specific
Job Safety Analysis JSA service type and add the mitigation and or
contingency methods to remove or lower the
risks.
A Risk Analysis is a process to comprehend the
Risk Analysis RA
nature of and to determine the level of risk.
A process map is a visual representation of the
Process Map FC flow of tasks and/or responsibilities and
interfaces of involved parties.
A Guideline is a recommended practice that
allows some discretion or leeway in its
Guideline GD
interpretation, implementation, or use. User
help documents for applications are guidelines.
A job description is a document where
Job Description JD responsibility and role of employees are
mentioned and maintained

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Document Numbering
All internal documents for HSE of F1 are provided with unique identification number following the convention
of XX-YY-ZZ-AA; Where

XX – Denotes the short form of the organization (F1)

YY – Department / Function

ZZ - the document type as defined in table-1.

AA - sequence number for each document registered.

Every document indicates the revision status. Initial issue of a document is marked as Rev. 00.

MR maintains a register of internal documents in a document called Master List of Documents. This is a live
document which includes document number, revision status and approval authorities.

The master list of document is updated and corresponding document status is addressed in master copy of the
document.

Document Control & Distribution

Documents within Quality and HSE MS are electronically published via company server in PDF format which is
considered the controlled copy. Copies of electronic documents may be printed for use, but are valid only on
the day printed.

A master list of controlled documents (F1-QMS-REG-01 QMS Document Register) is available in company
server. This list includes information on documents including approval, ownership, and dates of modifications
and release.

Current version soft copies of the HSE and QMS management system documents are made available to the
persons indicated in the distribution list on LAN server at head office. All authorized persons as per
distribution list and other LAN users in the company have read only access to documents’ folder in the server.
Only Document Owner can edit / update or make changes and controls the access. Except templates and
forms all other documents are in pdf. The forms stand as ‘read only’.

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In case of hard copy distribution, controlled copies of documents are stamped “CONTROLLED COPY” in the
front sheet of the document. Quality Manager maintains a document distribution records indicating the copy
number.

Uncontrolled copies are those copies whose revision status cannot be controlled. Upon request, document
copies are issued to the Customers and interested parties for information and reference purpose only after the
approval of Document Owner. The change control procedure is not applicable for those copies.

Amendment / Revision of Document

Any employee of F1 can propose for addition of new documents or deletion/ revision of the existing
documents. Employee to forward the request to Quality Manager through respective HOD. In case of no
request for modification or revision, Quality Manager has to revise all HSE Documents once in three years to
verify their suitability and adequacy.

HOD reviews the document change request and forwarded to Quality Manager with his comments. Quality
Manager along with document owner, approval authority and other affected party study the request for
revision.

Quality Manager will ensure that all various aspects and cross functional requirements due to the change if any
are considered and taken care of before any revision is made. All amendments/revision are approved and
authorized by the same authority that had approved and authorized the original document.

QMS and HSE Manuals and standards are approved by Company CEO. Standards Operating Procedures are
approved by Operation Vice President.
Every amendment in document is treated as revisions and is identified by incrementing the revision status by
one digit.
Document Owner uploads the revised one in the document control folder in the server withdrawing the earlier
version. Also issues approved revisions to all hard copy holders of the document as per Distribution List.
Obsolete document is withdrawn from all concerned locations while issuing the revised version.
Recipients of the controlled document ensure that only the current issues/revisions are maintained for use.

External Origin Documents

F1 ensures that relevant document of external origin are identified and their distribution controlled.

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Each department head is responsible for the identification and procurement of the latest revision of the
documents.

External origin documents requiring periodic renewal shall be processed by corresponding process owner.

Control of Obsolete Documents

Superseded /obsolete documents are promptly removed from all locations of use and returned to the
respective issuing authority/ suitably disposed.

The master copy of the obsolete document may be maintained by Quality Manager clearly identified as
“Obsolete” for any future reference.

Any obsolete documents retained for legal requirement or for knowledge preservation, is suitably identified
and kept separately.

Records Control
All HSE and Quality management system records are stored in the relevant department/ operational area.
Manual, System Procedures & Work Instructions will clearly identify the various records to be maintained for
each activity. Records shall be filed in a logical and orderly manner.

Record storage shall be such that records may be retrieved in a timely manner for review or audit.

Where records are created by entering data into a database, the records shall be maintained within the
database and shall facilitate access via reports, PC display or printed copy as needed.

The concerned departmental head will ensure that the records are easily retrievable for reference, protected
against misuse, damage or deterioration. The Quality Manager shall ensure that appropriate environmental
conditions are maintained for the preservation of records.

Electronic copies of some of the records are maintained in the relevant departments and are assessable to
relevant employees only. These are password protected or read only documents. Backup copies of the same
are maintained in the concerned departments which generate them.

Department Heads forward a specimen copy of each form along with the copy of Master list of Records to
Quality Manager. Any changes in the form are controlled as per the procedure of control of documents.

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The Master List of records defines the place of storage, the retention period, the department responsible for
retention and the method of disposition.

All records unless specified in relevant procedures, shall be kept for a minimum period of 5 years unless
specified in the appendix I.

It is the responsibility of the relevant staff detailed on the list to maintain the said records, which must be filed
in such a way so as to prevent loss or damage and facilitate easy retrieval.

Pertinent records originating from external sources, as listed in the relevant procedures, shall be maintained
and stored in a manner to those records produced by company.

Where the contractual or customer expressed retention periods exceed those on the list of records, due note
should be made on the files to prevent early disposal.

Where agreed contractually, records shall be made available for evaluation by the customer / customer's
representative for an agreed period of time.

Records are to be made available to external and internal auditors at the time of audits, unless it is
characterized as confidential in nature.

Soft copy of records as may be required to be retained are to be suitably marked to identify their contents and
the dates, the information relates to, and shall be stored in a controlled access area.

Hard copy records exceeded their retention period is to be disposed-off by shredding or tearing after seeking
approval from HoD. Due consideration is always be given to the company and customer confidentiality. Records
in the soft copy are also suitably deleted from all the sources.

ATTACHMENTS
F1-QMS-RG-01; Template for List of Master Documents

F1-QMS-RG-05; Template for List of External Origin Documents

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ANNEXURE

SN Description of Documents Reference Location/ Responsibility Retention

No. No. Storage
1 Quality manual F1-QMS-MN-01 Records rack/ Quality Till amended&
Quality System Procedure F1-QMS-MN-02 FL-01 Manager Till in service
2 Impartiality Policy F1-QMS-PC-02 Records rack/ Quality Till amended &
Confidentiality Policy F1-QMS-PC-03 FL-02 Manager
Code of Business Conduct F1-COBC-01 Till in service
Job Description
3 Hiring, Training & Competency F1-QMS-PR-01 Records rack/ Lab Till in service
Procedure, FL-03 Manager
List of Authorized personnel F1-QMS-RG-09
Training Plan F1-QMS-FO-14
Evaluation of trainingattended F1-QMS-FO-13
Employee skill matrix F1-QMS-RG-08
4 Audits schedule F1-QMS-FO-07 Records rack/ Quality Till amended
Internal Audit Check List F1-QMS-FO-08 FL-04 Manager and 3 Years
Internal Audit Observations and F1-QMS-PR-08
Audit Non-Conformity Report
5 Management Review Minutes F1-QMS-FO-05 Records rack/ Quality Till amended
FL-05 Manager and 3 Years
6 History Card of Masters andReview F1-QMS-FO-16 Records rack/ Lab Till in use
of Calibration Certificates F1-QMS-FO-17 FL-06 Manager
Planner for standards F1-QMS-RG-02

7 Intermediate Checks F1-CAL-FO-08 Records rack/ Lab 5 Years

Periodic Maintenance of Masters F1-CAL-FO-11 FL-07 Manager
8 Inter-laboratory comparison& F1-QMS-FO-18 Records rack/ Lab 8 Years
proficiency testing FL-08 Manager
9 Records related to Replicate and F1-QMS-FO-19 Records rack/ Lab 5 Years
Retained Calibration FL-09 Manager
10 Customer Complaints tracker corrective F1-QMS-RG-03 Records rack/ Lab 3 Years
action and Customer NCR F1-QMS-FO-04 FL-10 Manager
Customer Feedback analysis & F1-QMS-FO-03
Customer feedback form
11 Corrective Risk Assessment Sheet F1-QMS-RG-04 Soft copy/Records Lab Till in use
Calibration Method Verification F1-QMS-FO-22 rack/FL-11 Manager
Calibration Procedures

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12 List Approved Suppliers andServices F1-QMS-RG-06 Records rack/ Lab Till amended &
PO submitted to Supplier FL-12 Manager 5 Years
Evaluation of approvedServices F1-QMS-FO-09
and Suppliers
Purchase Requisition
13 Improvement Project Index Quality F1-QMS-FO-01 Records Rack/ Quality 3 Years
Objective FL-13 Manager
14 Environmental Checks Data F1-CAL-FO-06 Records Rack/ Lab 3 Years
FL-14/ Manager
Respective
Laboratory
15 Calibration sticker -- Respective Quality Manager Till in use
Laboratory
16 Instruments Collection Form F1-CAL-FO- 05 Records rack/ Lab Manager 3 Years
Work completion / Time Sheet F1-CAL-FO- 10 FL-15
Check- List for On-Site Calibration F1-CAL-FO-15
17 Management of Change F1-QMS-PR-03 Records Rack/ Quality Manager 3 Years
FL-17
18 Purchase Document F1-SCL-FO-01 Records Rack/ Lab Manager Till in use
FL-18
19 Obsolete Documents -- Records rack/ Lab Manager 5 years
FL-19
20 Other correspondence (Standards -- Records rack Quality Manager Till in Use
and manuals) (Soft/Hard
Form)

FL-20
21 Customer In-house Visit report F1-QMS-FO-11 Records Rack/ Quality Manager 3 Years
FL-21
22 In-out of Master equipment F1-QMS-RG-10 Respective Lab Manager 3 Years
Laboratory/
23 Calibration Certificates issued F1-CAL-FO-01 In System Lab Manager 3 Years
to customer (Soft Form)
24 IAS Correspondence -- Records Rack/ Calibration 5 years
FL-22 Technician
25 Uncertainty in Measurement F1-QMS-PR-12 Soft/Hard form Lab Manager 3 years
(or Relevant
SOP)

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26 List of Master Documents F1-QMS-RG-01 Records Rack/ Soft Quality Manager Till amended
List of Records F1-QMS-PR-02- Form
Annex
FL-25
27 Nonconforming calibration work F1-QMS-FO-04 Records Rack/ Quality Manager 3 years
FL-23
28 Raw data sheet for all Calibration F1-CAL-FO-04 Records Rack/ Calibration 3 years
Record FL-24 Technician

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