Document
Control
Basics of Good Documentation
and
Document Control Systems
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Annual Quality Survey Report
■ Identifies Document Control as the
most difficult clause to implement...
■ And the most difficult clause to
maintain.
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Step One in Building an
Effective System Is:
To Have Good
Documentation!
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Good Documentation is:
■ Clear
■ Concise
■ User friendly
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Avoid Drowning in Detail…..
■ “The purpose of this procedure is to
document the aforementioned
activities, herin after referred to as the
prescribed tasks in terms that preclude
their execution in an inconsistent
manner, wherin such inconsistency may
potentially result in the prescribed tasks
delivering a result that is not repeatable
or reproducible”
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And poorly written procedures
■ Why use ten words when one will do?
– “The items hereinunder referenced in some
cases fell excessively outside normal
parameters.”
■ “The procedures contained herin
are applicable to all operations in
the following departments within
their functional ambit”
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Make procedures user friendly
■ Use short sentences starting with a
verb.
■ Avoid using the passive voice. Make it
clear who is performing the task.
■ Use white space for easy reading.
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Step Two: Have the
Right Amount of
Documentation
But how much
documentation do I
need?
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Avoid Creating too Much:
■ Work instructions written for virtually
everything
■ Overlap and repetition - Including a
process in more than one work
instruction.
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Or too little:
■ Lack of work instructions where the
process affects the quality of the
product.
■ Employees have their own way of
performing processes
■ There is variation in the process
because it is not well documented
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Documentation:
The right amount
■ Remember that the goal here is
consistency for your processes.
■ If two trained employees were to
perform this task, would they do it the
same way?
■ If the answer to this is “Maybe not” a
work instruction is appropriate.
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Step 3: Outline Your
Document Control
System
Manual
Procedures
Work Instructions
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Clarify Your Terminology:
■ Procedure
Procedure: Describes the
■ Work Instruction process.
■ Attachments Work Instructions: Tells
how to perform the
■ Forms process.
Attachment: Information
attached to the procedure
to help clarify the
procedure.
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What Will You Control?
■ Procedures ■ External Docs:
■ Work Instructions Customer Drawings
■ Forms ■ Prints
■ Attachments ■ Drawings
■ Routers/Traveler
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Step 4:
Where will you
keep your
documents?
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Planning Your Infrastructure
■ ISO gives you the specs
■ You prepare your own blue print
■ You may choose:
– A simple word processing program. For
example, Word.
– An existing database program
– A packaged document control software.
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What Will be Best for Your
Company?
■ Choose a system for your company
based on:
– Company size
– Computer set-up and availability
– Number of different processes performed
– Rate of change for your processes or
documents
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Your company may need
more than one type of
system.
■ For example:
– One for quality system documents, and
– One for engineering documents
■ These documents may be different enough to
make it best to have two distinct systems.
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Example Systems
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Simple Hardcopy System
■ The master electronic documents are
stored in “Word”.
■ A Master list is prepared and kept in
“Excel”.
■ Hard copies are copied on to paper that
is marked “CONTROLLED”.
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Simple Hardcopy System
■ The hardcopies are distributed to 3-ring
notebooks throughout the facility.
– The master list indicates what procedures
and work instructions need to be in each
book.
– Copies are kept to a minimum by only
distributing relevant documents to each
area.
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Simple Hardcopy System
■ One person is designated as the
Document Control Coordinator.
■ This person
– keeps the master list up-to-date
– Makes revisions to documents
– Distributes revised documents
– Collects the outdated documents
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Simple Hardcopy System
■ A “Change Request Form” is available
for employees to initiate revisions to
documents.
– Changes must be approved before they are
made.
– Changes are indicated by using the revision
tool in word.
– Staff must be aware of revisions.
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Online System
■ A Database is set-up to hold procedures
and work instructions.
– Lotus Notes
– Packaged System
■ This may be organized into a “Chapter
System” with a chapter for each clause
of the standard.
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Online System
■ Procedures and Work Instructions are
written in or loaded into the system.
■ Employees are given “Rights”
– System Administrator
– Author
– Editor
– Approver
– Read Only
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Online System
■ Authors write the procedures or work
instructions.
■ The document is sent to the editor and
approver for approval.
■ When it is approved it is automatically
moved into the “Quality Documents”
and becomes available to all those with
read rights.
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Online System
■ The documents may be viewed on the
screen or printed.
■ Printed documents are controlled by a
“sunset clause”
– The date printed appears on all printed
documents. Documents are valid only for
the day they are printed.
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Online System
■ Some hardcopy distribution may be
necessary.
■ A master list must be kept for
distributed documents.
■ Controlled hardcopies need to be
identified.
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Online System
■ Revisions are made by the author, and
must be reviewed and approved by the
editor and approver.
■ The author must determine if the
changes affect any process that is being
performed that day.
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Engineering Prints
■ A master list indicating the current
revision of each print is maintained.
– This is usually in the manufacturing
software.
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Engineering Prints
■ A master file of the current print
revisions is maintained.
– Simple file cabinet system
– An electronic CAD system
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Engineering Prints
■ If prints are distributed to each
operation they must be controlled.
– Operators verify against electronic master
list.
– Prints are copied and labeled with a job
number.
– The copy is good only for
the job number.
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Documents of External Origin
■ These documents must be included in
your document control system. For
example:
– Customer Prints
– Industry Regulations
– ISO 9000 Standards
– References used for your
documentation.
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Documents of External Origin
■ Control these by having a section on
your master list for documents of
external origin. Include:
– Document Name
– Current Revision
– Document Location(s)
– Document number
■ assigned by your company.
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Common Problems with
Document Control
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Common Problems
■ Employees writing documents do not
understand the difference between a
Procedure and a Work Instruction.
■ Terminology has not been defined, and
is not used in a consistent manner.
■ Revisions take too long, documents are
not kept current.
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Common Problems
■ There is no process for tracking
changes or training on changes
■ Inconsistent use of other documents
such as:
– forms
– attachments
– drawings
– documents of external origin
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Common Problems
■ Approval
■ Distribution
■ Keeping distribution current
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Common Problems
■ Too many documents are distributed.
The system cannot be maintained.
■ Lack of control of documents of External
Origin.
■ Avoid these problems by planning
ahead..…...
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And All the pieces will fall
in place.
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