Trinity Operating Procedures - TOPs

TOP-DOCUM: Document Control, Distribution, and Retention  

Rev: 04/27/2023

Scope: This procedure covers control and distribution of all documents, with sections specifically for ''key documents"  and paper records.

Procedure:

STEP	WHO	WHEN	INFO TO USE	WHAT TO DO
This section applies to all documents.
a1	Anyone	Upon producing a controlled document, or upon receiving a document from outside the company that is to be accepted as a controlled document	TDocs; discretion of manager or supervisor	Ensure that the document is produced, distributed and controlled as directed by applicable TOPs and by the person given primary responsibility for the document (see step a2) NOTE: Make sure all documents are legible.
a2	Anyone primarily responsible for a document*	As a controlled document is produced or is received from outside the company	The document itself	Either personally review the document for adequacy (accuracy, legibility, and functionality), or ensure that the document is reviewed by someone to whom you delegate the authority (ALL documents require review, even though it may in some cases be as simple as ensuring that all pages have been printed by the computer); until you or your designee approve** the document, do not allow it to be placed into use; ensure that the document is available everywhere that it is needed for effective functioning of the quality system; ensure that all obsolete copies of the document are removed from use. If scanning in a document, make sure the document is legible.
a3	Anyone primarily responsible for a document*	If a document needs to be modified after it is issued	TDocs; the document itself	Make changes to the document as needed; clearly identify the changes made if any confusion might be expected from the change; review, approve and distribute the modified document as described for a newly issued document in step a2. Note: unless a TOP specifically gives someone else the authority to change a document, only the person who was responsible for its creation or his/her designee may authorize a document change, or take the document out of service; if feasible, reissue a printed document rather than modifying it, and do not make modification a habit.
This section applies only to documents identified in TDocs as "key documents" (Quality Manual, TOPs, TDocs, I-Specs, Forging Mat'l Reference List, B&R's, SID's and SOP's, etc.)
b1	QA Manager	As changes are proposed for a key document	Requested change; Quality Manual; other standards	Review proposed change, verifying that it is well considered, that it complies with the Quality Manual (in the case of a proposed Quality Manual change that the changes part has no conflict with the unchanged part), and that it complies with the standards listed in Quality Manual Section I. If not in agreement with proposal, negotiate with requester to resolve issues, using VP-Quality & Engineering as arbiter if necessary. If in agreement, email the proposed revision to the TOPs Clerk.
b2	TOPs Clerk	Upon receiving request to revise a key document	Proposed revision; key document	Create a draft of the new or revised document, including corrections to spelling and formatting, saving the document with "d_xx_" (where xx is the TOPs Clerk's initials) before its name. Add this revision as the top entry of the revision history at the bottom of the document, showing the name of the person making the initial change request as "owner" and the name of the person acting as QA Manager in step a1 as "approver", dropping any revisions prior to the latest five. Be certain to include any required TDocs changes. Forward the QA Manager's email with linked draft document(s) to the VP-Quality & Engineering; cc QA Manager. (As needed for absences and to ensure "two sets of eyes" the VP-Quality & Engineering may substitute for the QA Manager and any other officer may substitute for the VP-Quality & Engineering.) NOTE: No key document may be kept in draft form for more than one month without the approval of the QA Manager.
b3	VP-Quality & Engineering	As a revision is proposed for a key document	Draft of proposed revision; Quality Manual; other standards	Review proposed change, verifying that it is well considered, that it complies with the Quality Manual (in the case of a proposed Quality Manual change that it agrees with the unchanged part), and that it complies with the standards listed in Quality Manual Section I. Reply back to TOPs Clerk's email, cc QA Manager, designation approval, disapproval, or approved-with-modifications. NOTE: Make sure all documents are legible.
b4	TOPs Clerk	Upon receiving e-mail back from VP-Quality & Engineering	Draft of proposed revision	Until a draft is approved, work with QA Manager to either discontinue the change and delete the draft, or return to step b2. Once a draft is approved, on the date specified by the QA Manager update the revision date in the draft's revision history, replace the key document(s) with the draft, and email the QA Manager that the revision is completed. The key document must be signed by the appropriate authorized technical personnel. A non-technical employee CAN NOT sign a technical document. Note: See the beginning of this section regarding key documents for types of documents included. Note: revison histories only go back to the date rigorous history was initiated, 12/06/2017.
b5	QA Manager	Upon receiving email of completion from TOPs Clerk	Key document; TDocs; possibly Stakeholder Notification Registry	Review the newly published key document(s). Execute any special requirements specified in the document's TDoc, possibly including timely notification of stakeholders.
This section covers the maintenance and retention of paper records (archived documents). For retention of computerized records see Server Backup.
c1	All Managers and Supervisors	While having control of any company records	All files in department	Ensure that all records are legible and clearly identified as to what they address (for example, die number, purchase order number, etc.); keep them filed so that they face minimal deterioration and exposure to loss and so that they are easily accessed when needed.
c2	All Managers and Supervisors	As desire to move older records out of files in department	Records; retention list below	Identify which records are to be moved out and check to see which records must still be retained (the list below gives the minimum retention times, but call upon the CFO if uncertain about a situation); destroy any records that are beyond minimum retention and have no reason to be saved; turn over to CFO any records to be stored.
c3	CFO	As records provided by managers and supervisors for storage	Records; retention list below	Have records boxed and stored in conditions listed in step 1, marking retention date on each box.
c4	QA Manager	Once per year	Records; retention list below	Notify Managers to destroy any records that are beyond minimum retention and have no reason to be saved. Go through documents or files; remove all files to be stored or destroyed. Destroy any document removed by one of the following methods: running through a paper shredder (paper), breaking (disk/hard drive); erase from server (may require IT Manager's help).
c5	CFO	Each December	Archived records	Verify that all managers have completed Step 4. Destroy originals after the minimum retention per the retention list and the records (original).

MINIMUM RETENTION PERIODS OF VARIOUS TYPE OF RECORDS The minimum retention period for most records is listed with the individual document in TDocs. In those cases that a specific document is not found in TDocs, the minimum retention periods stated in the table below will prevail. Where a record qualifies for multiple categories, the longest retention prevails. If the retention period for any record is in question, the CFO decides. Accounting-related -- Financial (supporting audited statements) 20 years Bank statements and reconciliations 7 years Purchasing & inventory (except material quality) 7 years Accounts payable 6 years Shipping memos 6 years Personnel-related -- Payroll (except time cards and hammerlogs) 10 years beyond termination Health, safety and accident 10 years Personnel (except health, safety and accident) 6 years Other -- Computer backups See Server Backup. General correspondence 2 years Quality Documents for supplier retention (Vendor certs, inspection documents, raw material certs, CAR's, CofC, and MPI certs): 40 years

* A person "primarily responsible for a document" is as specified in TDocs, or, where not so covered, a supervisor or manager with responsibility for all areas affected by the document. This responsibility may be delegated.

** Document approval is recorded as described in applicable TOPs or, where not so covered, by signing and dating the face of the document or the electronic equivalent. Alternate methods of recording approval may be used with permission of the QA Manager.

Revision history: