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4.2.4 Control Of Records

4.2.4 Control Of Records

Quality Management System
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Purpose

To document the methods that the organisation uses for the control of records, ensuring that they are both legible and identifiable.  To document the methods and procedures for the storage, protection, retrieval and retention time and the disposition of all records.

(This document states generically, the details of how a business may respond to this requirement.  Your specific internal response must be completed below in the body of this procedure.  Your use of TKO software may impact the nature of the response)

Procedure

  • This procedure establishes the controls that identify, maintain and store in good condition, records that provide objective evidence of management and quality control in all areas of our operations.
  • A filing system that allows for easy storage and retrieval has been established for all records, and is controlled within our office.
  • Our filing systems, unless otherwise specified, are identified, have sections labelled, with individual files neatly kept in alphabetical order.
  • Records, whether hard copy or electronic, are kept in a clean, dry and secure location by the custodian to prevent deterioration or loss.
  • All leave records for the previous 12 months are archived in archive boxes that are labelled with the contents and a destroy date and stored where  The current financial year’s records are then transferred into the 12 months prior file.  New files, as appropriate, are set up for the commencement of the new financial year and the 12 months previous records are stored in archive boxes where
  • All other files are stored until the retention period is expired, at which time they are removed for safe disposal.
  • Retention periods are as set out in legislation, with most items for seven years retention period, however some items are permanently retained for prudence sake. 

Such items include:

  • Audit reports and financial statements
  • Charts of account
  • Contracts, mortgages, notes and leases that are unexpired
  • Some correspondence (legal and other important matters)
  • Deeds, mortgages, bills of sales
  • Depreciation schedules
  • Year-end financial statements
  • General ledgers, year end trial balances
  • Journals
  • Property records, including blueprints and plans
  • Tax returns and worksheets