Documents Control Process

1. Document Control Process v1.0

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Document Control
Process
v1.0

Author: AshokKumar LalSingh
12 Jan 2010












Copyright Notice
The document “Document Control Process” has been authored by Ashok Kumar LalSingh, Director - RASS Tools
Limited, UK.
RASS Tools Limited reserves all rights to modify this document and permit its uses. Use of this document for the
purpose other than personal reference is not permitted without the explicit authorization from RASS Tools
Limited. RASS Tools Limited will not be responsible for financial or any other losses arising due to the
unauthorised use of this document.
The trademarks or registered trademarks referred in this document are all duly acknowledged hereby.

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Index

1 Process description............................................................................................................................. 3
1.1 Types of documents and records................................................................................................. 3
1.2 Document Identification and Versioning..................................................................................... 3
1.3 Documents Authoring.................................................................................................................. 5
1.4 Controlled and un-controlled document copies.......................................................................... 5
1.5 Document Review and Approval.................................................................................................. 6
1.6 Responsibility for Document Control........................................................................................... 6
1.7 Storing and retrieving documents safely and securely................................................................ 6
1.8 Access control and distribution of documents ............................................................................ 6
1.9 Disposal of documents and records............................................................................................. 7
1.10 Changing the Documents ......................................................................................................... 7
2 Procedures.......................................................................................................................................... 8
2.1 Creating new documents ............................................................................................................. 8
2.2 Changing existing documents ...................................................................................................... 9
2.3 Reviewing and approving the documents ................................................................................. 10
2.4 Registering and storing the documents..................................................................................... 12
2.5 Disposal of documents and records........................................................................................... 12
3 Performance monitoring and control............................................................................................... 14
3.1 Performance Indicators and Improvement Criteria................................................................... 14
3.2 Measurements and Analysis ...................................................................................................... 14
4 Tailoring and Implementation guidelines......................................................................................... 15
5 References ........................................................................................................................................ 16
6 Glossaries.......................................................................................................................................... 17
7 Document Control............................................................................................................................. 18
7.1 Access Control and Distribution................................................................................................. 18
7.2 Approved by............................................................................................................................... 18
7.3 Released by ................................................................................................................................ 18
7.4 Reviewed by ............................................................................................................................... 18
7.5 Changes Summary Log ............................................................................................................... 18

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1 Process description
A formal Document Control process is required to implement any Quality Assurance system. It covers the
information about the following aspects of documents management.
· Types of documents and records
· Documents Identification and versioning
· Documents Authoring
· Controlled and un-controlled document copies
· Review and approval of documents
· Storing and retrieving documents – safely and securely.
· Access control and distribution of documents
· Retention and disposal of documents and records
· Documents change control
The initial sections of this document describe the definition and information part and the rest of the sections
cover the procedures required to manage these aspects.
1.1 Types of documents and records
Document Control process is applied to the following types of documents.
· Policies
· Process
· Standards
· Guidelines
· Manuals
· Templates
· Forms
Besides these the following project documents are also covered by documents control process.
· Project planning documents like Project Plan, Quality Plan, Configuration Management Plan
· Project execution documents like Analysis, Design, Testing, User manuals
· Project Status reporting and Time Sheets
· Customer Contracts and all interactions with the Customer
The document control process applies to manual and computer based blank templates and forms as well as
the documents created based on templates and the filled in forms. Computer databases considered as
repository of records and information are also governed by the applicable part of document control process.
1.2 Document Identification and Versioning
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All documents governed by the document controls process are identified by a Document Id which is also
referred as ‘Doc Ref No’. Document Id has the format as L-N where L is the document library code and N is
a running number within the document library. L and N both are integers with starting value as 1.
The document library codes 1 to 9 are reserved for the documents applicable to all group companies. The
document library codes with value of more than 9 can be used exclusively by subsidiary companies.
The following are valid examples of Doc Ref No for the documents applicable to all group companies.
· 1-1
· 1-200
· 4-56
The following are valid examples of Doc Ref No for subsidiary companies.
· 12-67
· 10-17
· 15-1
The reference number of procedures within a process will be given by adding a - and then a running serial
number. For example if the Doc Ref No of a process is 12, reference numbers of its procedures will be 1-
12.1, 1-12.2 …. 1-12.10, 1-12.11 etc.
The master lists for document libraries and documents within in the libraries will be maintained either
manually or through document library tool.
Document’s Property Fields:
The document’s property fields will be updated as suggested in the Guidelines for Authoring Documents
(Doc Ref No: 2). At least the following property fields must be updated.
1. Title
2. Subject
3. Categories
4. Authors
5. Content Status
The document id can be manually given by Policies and Procedure’s department or it can be automatically
generated by the software that implements this documents control process.
Document Version No:
All documents will have a version number specified in the vM.N format, where M is the major version
number to represent the major changes and N is the minor version number to represent the minor changes.
Records do not require version numbering. Instead records optionally require a change history to be
maintained depending upon the business requirements.
· v1.0
· v1.2
· v2.3

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Document Issue No:
A document when created will have Issue number as 1. Subsequently Issue number will increment by 1
each time the document is checked out for making changes.
For details of document id and numbering systems, p lease refer to 'Guidelines for
Document Identification and Versioning'.
Document File Name:
The file name associated with a document will start with a name. The name will end with the word indicating
the document category such as Guidelines, Process, Template, Form. After the name, the document
version number and then the document approval date will be written. The document file extension will be
written at the end as usual. The first letter of each word in the document file name may be capitalized as
appropriate. The following are some valid examples.
· Document Control Process v1.01 09-10-2010.doc
· Document Authoring Guidelines v1.0 12-09-2010.doc
Therefore the document file format looks like Name Category Version Approval date. Extension
Saving MS Office files:
MS Office files will be saved in 97-2003 compatible formats unless functionally required to save in other
versions. This restriction does not apply to files created with software other than MS Office.
1.3 Documents Authoring
You should use predefined templates to create new documents. Besides templates available to create
specific type of documents, a generic template is also available for use where none of the other available
templates meet your needs.
The templates provide formats for title page, header and footer, page numbering, document control info,
styles for headings, paragraphs, lists, tables, captions etc. The templates have predefined sections that
make authoring of a document much easier.
Before you start authoring new documents, you must read ‘Guidelines for Authoring Documents’. This will
help you to learn good practices to author documents that can meet the quality requirements.
1.4 Controlled and un-controlled document copies
Generally most of the documents will be stored in computers as softcopies .i.e. MS Office documents,
pictures, pdf files etc. Access to computer stored documents will be controlled through some password
mechanism and print option will be disabled for public for required cases. Printing and downloading of
documents will also be controlled through passwords. The implementation for this requirement may differ
among group companies.
However, there may be cases where only printed copy of the original document exists. Such documents
must be marked as ‘Controlled’ on the title page if the issue of updated copies of such documents is to be
controlled i.e. printed copies will be sent to the listed recipients whenever changes to the document are
made. The responsibility of printing and sending ‘Controlled’ copies will be of Policies and Procedures
functions. Alternatively wherever possible, printed documents will be scanned and converted to soft copies
in pdf form and then controlled like softcopy documents. Original copy is then stored safely and securely
and made available only for authenticating purpose.

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1.5 Document Review and Approval
All documents will have to be adequately reviewed and approved prior to being made available for use.
The document ‘Release date’ and ‘Released by’ name must be mentioned on the Title Page. Minimum one
approver is required to sign the document electronically or manually on printed documents. For process
documents, Approver is the person responsible for implementing the process. For non-process documents,
approver must be the level of chief officer of the concerned function.
For documents requiring customer approval, a communication from the Customer to this effect will be
adequate. In some cases customer signature/s may be required.
For further information, please refer the Review and Approval procedure described in the later part of this
document.
1.6 Responsibility for Document Control
All Documents related to policies and procedures will be controlled by Policies and Procedures function.
Project documents will be controlled by the project manage or project leader or a nominated team member.
The Project Leader will ensure that all team members work with the latest version of documents and make
these available whenever required.
In either case, the nominated person will be responsible for storage, recall, issue and reissue of documents,
destroying old versions of documents and archival of documents.

1.7 Storing and retrieving documents safely and securely
Original Policies and Procedures documents that are available only in printed form and printed records such
as contracts, employee files etc. will be stored in properly identified files in fire resistant cabinets placed in
safe and secured locations. These locations should have access to fire extinguishers. Access to these
cabinets will be controlled.
For documents and records stored in computers, a proper backup and restore mechanism must be
implemented. Backup and restore procedure must include disaster recovery requirements.
A list of backed up documents will be maintained.
The backup procedure will include the frequency at which a backup will be taken, the generations of
backups to be maintained and the action to be taken in case of corruption of data. Backup media will be
properly labeled and stored. Logs will be maintained to certify the activity of backup. Verification of media
will also be carried out periodically through manual or automated process.
1.8 Access control and distribution of documents
Read only property of softcopy documents must be controlled. Write access to documents must be given to
only authors and reviewers. Preferably a software tool should be used to store and retrieve softcopy
documents. A proper access control mechanism should be implemented so that the documents are
accessible with right level of access.
Controlled copies of documents will be issued as per a distribution list along with a issue instruction sheet.
An acknowledgement from persons receiving the document will be sought on the distribution list, wherever
possible. This list will also be used to recall, withdraw and send updates to documents.

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If a controlled copy of a document is lost, intimation will be sent to the assigned person in Policies and
Procedures function who will suitably update the distribution list and will mark the lost copy as 'invalid'.
For project documents at the end of a project, the project manager or leader will hand over controlled
copies of project documents to the Policies and Procedures manager. Similarly, if the person to whom
controlled copies have been issued goes for on-site assignments, changes his role, leaves the project or
resigns, the person will hand over the copies to the project manager or leader or higher ups in the Project.
1.9 Disposal of documents and records
All documents’ retention period in years should be included in the document information stored in the
Document Management tool or the manual document library register.
If this information is omitted, retention period is considered as default retention period as indefinite.
However, if there is a statutory requirement for document retention, it will supersede all other retention
specifications.
For disposing a document, you must follow the ‘Disposal of documents and records’ procedure described in
later part of this document.
1.10 Changing the Documents
Changes to documents are requested by completing ‘Document Change Request (DCR)’ form. All
employees of the organization and its subsidiaries can complete DCR. The completed softcopy of DCR
form must be approved by employee supervisor and forwarded to Policies and Procedure function.
For making changes, the document needs to be checked out and document issue no incremented by one.
The new version number will be determined as minor or major by the nature and amount of changes. All
changes (minor or major) to the document will need to be reviewed. In case of hard copy documents, the
revised pages and existing document should form the part of input for the document review.
Further detail of ‘Changing the documents procedure’ is available in the procedures section of this
document. Please also refer the Guidelines for documents numbering for version number and issue no
changes.

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2 Procedures
2.1 Creating new documents
Section Name Section details
Procedure Id 1-5.1
Scope This procedure is used when a new document such as standards, guidelines,
process, manuals, forms, templates and all project documents are required to be
created. This procedure does not apply for creation of records such as completing the
forms, checklist etc.

This process is required for those new documents which are required to be registered
in the Documents Management tool’s database.
Entry Criteria A new document can be created by anybody having the requirements to do so. For
Business Process related documents, Policies and Procedures manager decides
which documents needs to be created. Project related documents are created by
project team as per the assigned tasks.
Inputs 1. The template that will be used to create the new document. Generic document
template is to be used if specific template can’t be identified for the new
document.
2. The references used for creating the new document
Roles 1. Functional manager or project manager
2. Author
Tasks and
Responsibilities
1. The functional manager or project manager
· Assigns the work of creating the document to one or more persons called
authors. Functional or project manager may also do the authoring herself.
· Monitors the progress of changing of the document
· Provides coordination support.

2. The author
· Using the list of document templates available from the Documents
Management Tool identifies a document template that can meet the
documents requirements and downloads the template using Documents
Management tool. If a suitable template could not be found, the author may
consult with the Policies and Procedures manager or the manager with
assigned role of documents management to find a suitable template. In case a
suitable template could not be found at all, author must use the Generic
Document Template. If the new document is to be created repeatedly, author
may create a new document template based on the Generic Template.

· Creates the new document including the ‘Document Control’ section
information available at this stage.

· Submits the new document for review.

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Section Name Section details
The author is also responsible for reading and understanding the reference
material and following the ‘Guidelines for Authoring Documents’.
Exit Criteria The author submits the new document for review.
Outputs and
Records
New document
In case of projects, the project schedule is updated. In other cases, no records
created or updated.

2.2 Changing existing documents
Section Name Section details
Procedure Id 1-5.2
Scope This procedure is used when an existing document such as standards, guidelines,
process, manuals, forms, templates and all project documents registered in the
‘Document Management Tool’ are required to be changed. An existing document can
be changed by anybody having the requirements to do so.

This procedure applies to documents stored in computer as well as printed
documents controlled manually. This procedure does not apply to unregistered
documents or changing of records such as completing the forms, checklist etc.
Entry Criteria Completed ‘Document Change Request (DCR)’ is received by the document owner or
the person responsible for making the changes to the document. For creating a
document for the first time, a DCR is not required. Also the document owner can
make the change without a DCR. The DCR approver is normally the supervisor of the
requester. The functional heads can approve the DCR if it is raised by them.

For making changes, a document needs to be checked out or issued from the
Documents Management tool. All functional managers, project managers, project
leaders and document controllers are authorized to check out documents for which
they are the owner.
Inputs 1. Document that needs to be changed
2. The details of the changes that are to be made.
3. The completed DCR. DCR may be inbuilt into the Document Management Tool
or it be a form or just an email message.
4. The information that you will use to search the document such as document ID,
document title, author name, subject and project reference etc.
5. Document Library Register if document management tool is not used.
Roles 1. The role responsible for making the changes to the document is the document
owner mentioned in the information maintained in the Document Management
Tool or the manual document library register. The following are the default roles
for making changes –
· for all Policies and Procedures documents changes are made by policies

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Section Name Section details
and procedures manager
· for Project documents changes are made by the person assigned by
project manager or project leader
· for rest of the cases changes are made by the process or document
owner
2. An assigned person who actually does the updating of the document if different
from the document owner. This role is called as Author.
3. Anybody who has access to the registered documents can request the changes.
The changes to project documents can be requested by the project stakeholders
only. The changes to Policies and Procedures can be requested by any
employee of the group companies.
Tasks and
Responsibilities
1. The change requester
· Sends the completed DCR to the document owner.
2. The document owner
· The document owner checks if the DCR is approved otherwise DCR is
returned to the requester.
· Assigns the work of changing the document to one or more personals called
authors. The document owner may also do the changes herself.
· Monitors the progress of changing of the document
· Provides coordination support.
3. The author
· Gets the document checked out from the Documents Management tool’s
database. Document management tool may require document id and some
other information for completing the checkout form on computer. On successful
checkout, the status of the document will change to ‘Being changed’, Issue
number incremented by 1 and will prohibit any subsequent attempt to check
out the document. Please note that simply downloading a document will not
change the document status.
· Ensures that correct document has been checked out.
· Makes the required changes to the checkout document.
· Submits the document for review
He/she is also responsible for reading and understanding the reference material
required to make changes and following the ‘Guidelines for Authoring Documents’.
Exit Criteria Document is ready as input to ‘Document Review and Approval’ procedure i.e. the
author submits the changed document for review.
Outputs and
Records
The changed document
Checkout information created.

2.3 Reviewing and approving the documents
Section Name Section details
Procedure Id 1-5.3

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Section Name Section details
Scope This procedure is used when an existing document such as standards, guidelines,
process, manuals, forms, templates and project documents are required to be
reviewed and approved. This procedure does not apply for records such as
completing the forms, checklist etc.
Entry Criteria New document or changed document is ready for review.
Inputs 1. New document or changed document
2. References used to create or change the document.
3. The details of the changes.
4. The document review checklist
Roles 1. Functional or project manager
2. Author
3. Reviewer
4. Approver

The documents to be sent to customer may require customer as reviewer and / or
approver. Document review check lists are different for documents to be sent to
customer and documents for internal use.
Tasks and
Responsibilities
· The functional or project manager
· Monitors the progress of review and approval
· Provides coordination support.

· The author
· Identifies the reviewers and the approvers
· Updates the document control section of the document.
· Send the document for review
· Consolidate review comments and change the document if required.
· If required repeat the review.
· After the review is complete, update the Change log summary section of
document control.
· Send the document to approvers and get the documents approved.
· The reviewer
· Reviews the document
· The document quality is checked by Policies and Procedures function.
· Completes review feedback form
· Sends the review feedback to the author
· The approver
· Approves the document
Exit Criteria The document is approved.
Outputs and
Records
The approved document.
Review records and review summary.
Number of quality violations marked during first quality check.

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2.4 Registering and storing the documents
Section Name Section details
Procedure Id 1-5.4
Scope This procedure is used when an approved document such as standards, guidelines,
process, manuals, forms, templates and project documents are required to be stored
into the Document Management Tool’s database. This procedure does not apply for
storing records such as completing the forms, checklist etc.
Entry Criteria Approved documents are ready for check in. All functional managers, project
managers, project leaders, document controllers and the document owners are
authorized to check in documents.
Inputs 1. The approved document to be checked in
2. Consolidated review feedback summary or detailed review feedback records
Roles 1. The person authorized to check in the documents
2. The author
Tasks and
Responsibilities
1. The author hands over the approved document, consolidated review feedback
summary to the task manager.
2. The task manager can check in the document herself or assign the task to
someone else who is authorized to register the documents into the Documents
Management database. Check in requires completing a form of Document
Management tool and uploading of the documents. After successful check in the
status of the document will be updated to ‘Latest’.
Exit Criteria The document is successfully checked into the Document Management tool’s
database.
Outputs and
Records
The document
Check in information

2.5 Disposal of documents and records
Section Name Section details
Procedure Id 1-5.5
Scope This procedure is applied to dispose documents and records after the expiry of the
retention period. The procedure applies to documents stored in computer as well as
printed documents stored manually.
Entry Criteria When retention period of documents or records expires. However, this procedure is
not executed immediately. Instead the execution of this procedure will be once a
year.
· In case of registered documents the retention period information will be
maintained in the Document Management tool.
· In case of records the maintained in computer the retention period

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Section Name Section details
information will be maintained in a separate master list on computer.
· In case of printed documents the retention period information will be
maintained in a separate manual list.
Inputs 1. Completed documents and records disposal form
2. The documents library as part of the Document Management tool or manual
library for paper documents.
3. Computer and manual data records.
Roles 1. The documents owner or records owner role is responsible for disposing
documents and records. The following are the default roles for disposing
documents –
· For documents registered in the Document Management tool disposal
will be done by policies and procedures manager
· Computer records will be disposed the by computer systems manager.
· For the rest of the cases disposal will be done by the functional heads.
2. The ‘Documents and Records disposal’ form approver is normally the supervisor
of the role responsible for disposal action.
Tasks and
Responsibilities
1. The role responsible for taking disposal action completes the ‘Disposal and
Records disposal’ form.
2. The disposal action is perform as per the type of documents and records as
follows:
· Documents and records in computer are deleted.
· Printed documents and records are shredded.
Exit Criteria Document and records disposal is done.
Outputs and
Records
The completed ‘Disposal and Records disposal’ form

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3 Performance monitoring and control
3.1 Performance Indicators and Improvement Criteria
The following will be used as performance or non-performance indicators and criteria as the case
may be.
1.
The guidelines for authoring documents are followed.
2.
All documents are adequately reviewed.
3.
Document Access control is not violated.
4.
All documents are assigned owners.
5.
Printed documents are scanned and stored.
6.
The documents are disposed after the expiry of the retention period.
7.
Controlled documents are identified and managed.
8.
Review records and maintained.
9.
Documents Management Tool is used.
3.2 Measurements and Analysis
The following measures will be taken and recorded.
1.
Number of quality violations marked during first quality check during document’s review.
2.
Number of cases where Document Control process has been tailored.
3.
Number of documents with less than three reviewers

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4 Tailoring and Implementation guidelines
This process can be tailored to meet the Document Management Tool’s requirements and
any special requirements of subsidiary companies. The tailored process must be reviewed
by the Policies and Procedures function.

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5 References
1. Guidelines for authoring documents
2. Guidelines for document identification and versioning

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6 Glossaries
The glossary entries in this section are specific to this document. ……
Abbreviation Description
DCR Document Change Request
Info Information
MS Microsoft
Proc Process

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7 Document Control
7.1 Access Control and Distribution
This is a registered document and is accessible as read-only to all employees of an
organization and its subsidiaries. The document owner will have full access to it.
Implementation of access rights will be governed by the Document Management Tool
used. In case of without the use of tool, implementation of access control will be done by
manually controlling its access rights, encryption and password.
7.2 Approved by

Name Designation Date Signature
Ashok Kumar LalSingh Director, RASS Tools Ltd.


7.3 Released by

Name Designation Date Signature
Ashok Kumar LalSingh Director, RASS Tools Ltd.

7.4 Reviewed by

Name Designation Review Aspect




7.5 Changes Summary Log

Issue
No
Date Changed by Changes summary
1 12/01/2010 Ashok Kumar LalSingh First release