IMS-ST-1.04 Document and Record Management. Prepared By: Jacqueline Raynes Print Date: 20/08/13 Version No: V01 Reviewed By: Jeff Innes

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Document No & Title: IMS-ST-1.04 – Document and Record Management

Prepared By: Jacqueline Raynes Print Date: 20/08/13 Version No: V01 Reviewed By: Jeff Innes

Review Frequency: 24-MONTHS Issue Date: 20/08/2013

Approved By: Nigel Parker Page No: 1 of 6

UNCONTROLLED COPY. Printed document may not be current issue.

The latest version of this document is available on the OTML intranet as a “read only” file

Integrated Management Standard 1.04

Document and Record Management

1 Purpose

The purpose of this Standard is to outline OTML’s requirements for the management of documents and records; to ensure that processes are in place to enable key documents and records are captured, maintained as relevant, retrievable and accessible to employees, and are archived or disposed of in an appropriate manner.

2 Scope

This Standard applies to all OTML documents and records developed for and used within OTML’s operations in Papua New Guinea and Australia.

3 Standard

3.1 OTML Documentation Overview

The framework and hierarchy for documents used at OTML is shown in Figure 1 below.

Figure 1: Hierarchy of OTML documents

Policy Standard / Guidelines Manuals SWP's/Procedures/Work Instructions Forms/Checklists/Drawings/JSAs/Reports etc Documents Records

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Figure 1 identifies which components of the document hierarchy are ‘documents’ and which are ‘records’. Documents will require review and updating over time as requirements or work practices change, and are to be effectively controlled. Records (when completed) contain information that has been observed, measured or monitored and therefore cannot be altered or changed.

The purpose of various documents used by OTML is as follows:

• Policies: describe OTML’s overall rules and principles which guide intention and

direction (generally one page).

• Standards: describe OTML’s requirements in relation to meeting certain

expectations.

• Guidelines: underpin the Standards by providing more detailed information as to

how to implement or meet the Standards.

• Manual: a ‘handbook’ which provides information or instructions relating to a particular process.

• Procedures: define specific work processes or activities.

• Work Instructions: describes in detail one activity or task in a step-by-step manner.

• Forms and Checklists: requires information to be entered and state results

achieved or provide evidence of activities performed (e.g. meeting minutes, log sheets, inspections, etc.).

3.2 Integrated Management System Documentation

• OTML policies, standards, and guidelines are developed in consultation with

operations personnel and made available on the OTML intranet.

• Policies and standards must be consistent across all areas of the site and must

be reviewed by the Registered Mine Managers before being distributed for comment. The Managing Director or his delegate shall approve the policies and standards prior to release.

• OTML departments shall develop documents relevant to the activities

undertaken in the workplace and ensure that those documents are registered in an electronically controlled document register. HP TRIM is being implemented as OTML’s standard electronic document and records management system. (Note: Phase 1: records management underway currently with Phase 2: document management taking effect at a later stage).

• Departmental documents shall be maintained by a person(s) within the

department nominated to be the Department Document Controller/Champion.

• The release of any new document must be accompanied by a roll out

programme to ensure people understand the document. The document shall be displayed on notice boards for a period of two weeks.

• A quality control process is required to ensure documents are developed and maintained to a consistent standard across the site.

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3.3 Document Control

OTML departments shall develop and implement a Document Control process as an interim measure pending the adoption of a corporate wide focus on the full implementation of HP TRIM. Documents shall be entered into a controlled document register, in an electronic format.

The following shall be maintained and controlled:

• Policy statements;

• Plans (for example: strategic, continuous improvement and action plans);

• Integrated management system and discipline specific standards (controlled at

corporate level);

• Government documentation (e.g. permits, reports, regulations);

• Training documentation;

• Standard Operating Procedures (SOPs);

• Technical reports;

• Audit and assessment reports;

• Departmental governance documents and records (e.g. audit results, change

management, forms);

• Authorisations and instructions;

• Communications between OTML’s officers relating to official business;

• Invoices and Proof of Payment;

• Development or amendment of OTML’s policies and procedures;

• Final versions of reports or recommendations prepared for management of OTML

and external companies;

• Formal communications with external companies;

• Minutes and agendas of committees and working parties;

• Research matters for business units;

• Statistics and analyses for business units;

• Where an email requires action from an OTML officer;

• Where legal advice is involved;

• Incident reports and investigations.

OTML generated documents shall include the following information as a means of document control:

• Document Title;

• Document Number – Management system documents (guidelines, procedures,

work instructions, forms, etc.) shall be uniquely identified by a document number;

• Page number – Pages shall be numbered, including the total number of pages;

• Issue Date;

• Version;

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• Scheduled review date;

• Document Approver – Documents shall be reviewed and authorised prior to their

issue.

Records of review and authorisation shall be kept. Where established hardcopy document access points are identified, a distribution list of each document shall be recorded and maintained.

3.3.1 Issue and Distribution

Printed copies of documents shall be marked “UNCONTROLLED COPY. Printed

documents may not be the current issue”. Any person intending to use a hard copy

of a document shall check the Document Register prior to use to ensure the copy is the current version of the document.

3.3.2 Document Revision

OTML facilities shall have a process to manage the revision of documents and it shall include:

• A formal review process;

• Revision Request;

• Revision Approval;

• Document update and revision;

• Distribution and communication of revision;

• Superseded electronic and hardcopies of documents shall be withdrawn from

points of issue and disposed; and

• One copy of each superseded version shall be retained as a record within HP TRIM.

3.4 Records Management

OTML departments shall have a records management system such that:

• HP TRIM is utilised for electronic records management;

• Records shall be stored and maintained to be readily identifiable, retrievable and

protected;

• Retention times shall be established according to legal requirements and

consideration of due diligence;

• Critical records shall be stored as backup in a different and safe location; and

• Records of a confidential nature shall be suitably disposed of by authorised personnel only.

3.5 Archiving

OTML departments shall ensure hardcopy and electronic records received or generated are properly archived so they may be readily accessible. Archiving will follow established formal protocols such that:

• Electronic records are to be stored within standard OTML folders and identified in accordance with HP TRIM numbering and indexing;

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• Hardcopy records are archived into boxes where their location, contents and disposal date can be readily identified;

• Archival boxes are stored appropriately with relevant labels and identification; • Records removed either temporarily or permanently may be traced;

• Confidentiality is maintained whilst in storage;

• Records subject to legal retention periods are clearly identified; and • Disposal methods maintain confidentiality.

Archival storage for hardcopy records shall be either on-site or off-site in conditions where the records are not subject to:

• Moisture or rain damage;

• Detrimental humidity;

• Fire outbreak;

• Damage from animals or insects;

• Access by unauthorised persons;

• Permanent light (include daylight and artificial lighting); and

• A 100 year flood inundation event.

4 References & Links to Associated Documents

Description Author

AS/NZS 18001:2007 Occupational Health and Safety Management Systems Standards Australia

ISO 14001:2004 Environment Management Systems Standards Australia

Australian Record Retention Manual 2006 Edition Information Enterprises Australia Pty Ltd.

5 Document Control History

Version Date Description By Approved

Draft v04 25/10/2012 Draft for review J. Raynes

Draft v05 02/08/2013 Amendments to draft V. Irvine V01 19/08/2013 Incorporation of GM comments into

Draft

Final for Release

IMS-ST-1.04 Document and Record Management. Prepared By: Jacqueline Raynes Print Date: 20/08/13 Version No: V01 Reviewed By: Jeff Innes

Integrated Management Standard 1.04

Document and Record Management

Contents

1 Purpose

2 Scope

3 Standard

3.1

OTML Documentation Overview

3.2

Integrated Management System Documentation

3.3

Document Control

3.4

Records Management

3.5

Archiving

4 References & Links to Associated Documents

5 Document Control History