Controlling Documents Procedure

Controlling documents is key to controlling the quality of your service organization.

  1. Directors, managers, & writers ensure information is effectively selected, managed, & used to support key processes & activities and improve overall performance.
  2. Writers ensure documents are adequate, comprehensive, clear, concise, & accurate.
  3. Writers ensure document names are adequate, comprehensive, clear, concise, & accurate. This is critical for retrieval because ABC’s DCS default search engine is by document name.
  4. Writers write most documents with a word processing application (e.g., Word or ABC’s DCS) to ensure legibility.
  5. Writers publish documents, excluding sensitive personnel records, in ABC’s DCS. Writers store sensitive personnel records in personnel files located at each site.
  6. In ABC’s DCS, writers configure who can view documents by company, role, & security clearance level.
  7. Writers specify in the document title the external origin of documents.
  8. Writers describe changes made to a document when submitting for approval.
  9. ABC’s DCS provides unique document numbers & revision numbers.
  10. ABC’s DCS provides approval workflows (parallel groups & serial groups).
  11. Directors & managers setup approval workflows as necessary.
  12. Writers submit documents to appropriate approval workflow.
  13. Approvers ensure all of the above was done as necessary.
  14. ABC’s DCS provides effective & efficient retrieval of documents at point of use via the web.
  15. ABC’s DCS controls distribution of documents as configured.
  16. ABC’s DCS maintains obsolete documents & old revisions but doesn’t display them unless specified.
  17. ABC’s DCS displays document number, revision number, revision history, change descriptions, issue date, & approval workflow for each document.
  18. Users/readers review documents, update, & submit for re-approval as necessary.
  19. Users/readers review documents & make them obsolete as necessary.
  20. Director of IT ensures electronic documents are secure & backed up.
  21. Internal Auditors monitor all of the above.

Definitions:
  • ABC = Fake name of company used in our procedures.
  • Controlled Document = Any document that cannot be changed, revised, modified, or obsoleted without prior approval.
  • DCS = Document Control System for users to write, approve, publish, find, & read controlled documents.
  • Writer = Every reader/user can also be a writer.
Comments