Environmental, Health & Safety Management System (EMS) Documents and Records Management Procedure

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1 Envirnmental, Health & Safety Management System (EMS) Dcument N.: Revisin N.: 10 Dcuments and Recrds Management Prcedure Revised: 03/06/2015 Reviewed: 01/26/2015 Prepared By: Liske, Kurt Apprved By: CONTENTS 1 PURPOSE 2 SCOPE 3 RESPONSIBILITY 4 PROCEDURES 5 RELATED DOCUMENTS 6 CHANGE HISTORY 1 PURPOSE T facilitate an integrated EMS, this prcedure has been written in accrdance with ISO , OHSAS , R2:2013: Prvisin 13 and Iwa EMS. 2. SCOPE This prcedure applies t all Cmmissin emplyees when engaged in Cmmissinrelated wrk activities which have an envirnmental, health r safety impact within the EMS fenceline. This prcedure applies t Envirnmental, Health and Safety (EMS) dcuments and recrds, but nt all dcuments r recrds generated by a Cmmissin facility. 3. RESPONSIBILITY 3.1 The Directr is respnsible fr reviewing and apprving Cmmissin EMS prcedures. EMS and R2 cmpliance recrds may be apprved using an electrnic signature system. Maintaining apprpriate recrds accrding t the recrd retentin schedule. 3.2 The Cre Team is respnsible fr the fllwing: Preparing EMS prcedural dcuments fr review and adptin. Reviewing f EMS and R2 dcuments takes place based n the required frequency recrded when the dcument is registered in Intelex. The review frequency fr mandatry dcuments shall be at minimum annually, unless therwise apprved by the Cre Team. The review frequency fr ther dcuments and recrds shall be determined by the dcument wner, in crdinatin with the Cre Team. Dcuments and Recrds Management Prcedure Uncntrlled When Printed

2 Intelex assigns a dcument review task t the dcument wner, wh shall chse ne f the fllwing methds fr dcument review: Add the dcument review t a mnthly Cre Team meeting agenda. Nte cmments frm Cre Team members and then recrd thse ntes alng with the name f the persn wh made the cmments in Intelex. Dcument wner sends an t the relevant parties requesting review f the dcument. The relevant parties review the dcument and prvide cmments t the dcument wner. Revising EMS prcedures and dcuments, as required. Revisins may cme thrugh the peridic review r may be required due t an peratinal, staff, regulatry r ther change. All EMS plicies, prcedures, plans, manuals and ther dcuments determined by the Cre Team shall cntain a Change Histry sectin cnsisting f: Date f the revisin Reasn fr the revisin Names f reviewers Remving and cntrlling bslete EMS prcedures and dcuments frm Intelex fr strage and retentin that will prevent unintended use. String and maintaining EMS recrds in Intelex. 3.3 The Envirnmental Management Representative (EMR) is respnsible fr the fllwing: Preparing & btaining apprpriate management apprval and maintaining facility-specific EMS and EMS cmpliance dcuments. Reviewing and revising facility EMS and envirnmental cmpliance dcuments as required. Assigning EMS dcument numbers accrding t this prcedure fr EMS and EMS cmpliance dcuments. Remving facility-specific bslete EMS and EMS cmpliance dcuments frm all pints f issue and use, retaining ne cpy f the dcument, marking it as bslete, and filing it at a separate lcatin fr recrd histry verificatin, and destrying all ther cpies in rder t prevent unintentinal use f an bslete dcument. Maintaining facility EMS cmpliance recrds in accrdance with the Cmmissin s dcument retentin schedule. These duties may be assigned within the facilities as needed. 3.4 Facility managers and supervisrs shall ensure that required EMS dcuments are available fr affected emplyees at the emplyee pint f use. 4. PROCEDURES 4.1 EMS dcuments and recrds are generated t supprt the develpment and implementatin f the EMS, OHSAS & ISO 14001, and R2 cmpliance. This prcedure fcuses n thse dcuments and recrds that must be cntrlled t Dcuments and Recrds Management Prcedure Uncntrlled When Printed Page 2 f 6

3 ensure the dcument is apprved and the current versin is in use and the necessary EMS recrds are being maintained: Cntrlled dcuments and recrds shall be identified, maintained, legible, and the distributin f them cntrlled. If it is cntrlled internal dcument, it is nly cntrlled when the dcument is being viewed electrnically frm Intelex. All printed versin f cntrlled internal dcuments are uncntrlled. If it is a cntrlled external dcument, it is nly cntrlled in the lcatin recrded in Dcument Lcatin in Intelex s Dcument Cntrl mdule. All ther versins f the dcument are uncntrlled. 4.2 Determining Cntrlled Dcuments and Recrds: It is at the discretin f Cmmissin emplyees, in crdinatin with the Cre Team and this prcedure, t determine whether r nt a dcument shall be cnsidered cntrlled. Cntrlled dcuments are dcuments that need t be managed within the EMS t ensure regular updating, maintenance and separatin frm bslete dcuments in accrdance with this prcedure. Cntrlled dcuments typically have legal cnsequences, pse a risk t the rganizatin if an bslete versin is used t make an envirnmental, health r safety decisin r are a requirement f the EMS r R2. It is mandatry that the fllwing dcuments be cntrlled: EMS Prcedures EMS Plans EMS Plicies EMS Manuals EMS Blank Frms and Checklists EMS Memrandums Envirnmental Permits Envirnmental, Health and Safety Training Dcuments Training Matrix EMS Rles and Respnsibility Matrix It is mandatry that the fllwing recrds be cntrlled: EMS and R2 Audit Reprts EMS and R2 Cmpleted Frms and Checklists EMS and R2 Memrandums EMS Meeting Ntes/Summaries Internal and External Audits Management Review Envirnmental, Health and Safety Training Attendance Sheets r Certificatins Electrnic Demanufacturing Facility Mnitring and Measurement Reprts Electrnic Demanufacturing Facility Calibratin Reprts Dcuments and Recrds Management Prcedure Uncntrlled When Printed Page 3 f 6

4 4.3 EMS dcumentatin shall be cntrlled thrugh the Intelex mdules based n relevancy t EMS main elements: Activities, assciated Aspects and Impacts and scres Significance threshld fr Aspects and Impacts Objectives, Targets and Envirnmental Management Plans Legal and Other Requirements Nn-cnfrmance, Crrective and Preventive Actin Reprts Internal and External Cmmunicatins Recrds Audit Schedules and Cmpleted Audits Fllw-up Reprts Training requirements, curses and attendance 4.4 EMS Dcument and Recrd Retentin: A listing f all internal and external dcuments is available in Intelex. All internal and external dcuments must be available fr use. EMS dcuments and recrds shall be legible, identified, maintained and the distributin f them cntrlled. External Cntrlled Dcuments and Recrds shall be stred and maintained in a manner s they are readily retrievable and prtected frm damage, deteriratin r lss. 4.5 Recrds shuld be retained in accrdance with the fllwing schedule: Recrd Type EMS Plicies and Prcedures EMS and R2 Audit Reprts EMS Plans, Manuals and Memrandums EMS Reuse Dcuments Envirnmental, Health and Safety Training Dcuments, Training Attendance Sheets and Rles and Respnsibility and Training Matrix EMS Mnitring and Measurement Reprts and Calibratin Reprts EMS Minutes Hazardus and Fcus Material Dcumentatin Landfill Recrds Inbund and Outbund Scale Tickets DNR Reprts Cmmissin Meeting Minutes Recrdings f Clsed Sessin Reslutins Affidavits f Publicatin Deeds Title Opinins Abstracts and Certificates f Title Permits and Licenses Curt Decisins Bids Accepted Retentin Perid 1 year frm date f meeting Until audited r Dcuments and Recrds Management Prcedure Uncntrlled When Printed Page 4 f 6

5 Bids Rejected Blueprints r Site Plans Cntracts r Agreements fr Services r purchase f equipment Crrespndence Equipment Recrds Maintenance Histry Insurance Plicies Leases Legal Actins Legal Opinins Maps Current and Outdated Internal and External Cmmunicatin Press Releases Prmtinal Items Newspaper clippings Banking Financial Reprts Annual Financial Reprt Budgets Audits Payrll Annual Summary by Emplyee Payrll Supprt Dcuments State Reprting Frms IPERS Persnnel Files Medical Infrmatin Grant Reprts OSHA Reprts Wrker Cmpensatin Reprts Phts and Aerials Until audited r 10 years after expiratin As lng as administratively useful While current Life f equipment after expiratin after expiratin 60 years after audit 3 years frm last benefit payment 5. RELATED DOCUMENTATION Definitins: Dc. N CHANGE HISTORY 03/06/2015 T reference the apprpriate ISO 14001, OSHAS 18001, R2:2013 and Iwa EMS elements. All previus revisin details are dcumented within Intelex. Dcuments and Recrds Management Prcedure Uncntrlled When Printed Page 5 f 6

6 Dcuments and Recrds Management Prcedure Uncntrlled When Printed Page 6 f 6

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