Document and Data Control

Records and Data

Purpose

The objective of this procedure is to identify internal and external documents that are subject to controls.

Background

A considerable problem that often leads to the failure of any management system is the inevitable paper war which occurs when documentation is not controlled. This procedure seeks to identify a method of controlling documents.

Scope

All staff

Procedure

INTERNAL DOCUMENT IDENTIFICATION

Definition:

Internal documents are procedures, forms, drawings and instructional & advisory material of a permanent nature, designed and written by the company. They are not records.

Internal documents include (for example):

procedures
forms
drawings (internal only)
checklists
work instructions

computer templates (standard letters, etc)
sales material
business plan.

All “groups” of internal documents are identified on the form “Master List: Controlled Internal Documents and Data”.

For each group of documents on the Master List, kept as hard copy:

place current hard copies in a binder (or similar)
fill out and place a Control Register at front of binder
control and change internal documents as per flowchart in the relevant procedure under “management”.

For each group of documents on the Master List kept in electronic (e) files:

format a Control Register template at the top of the documents
control and change documents as per flowchart in the relevant procedure under “management”
if required, create passwords to identify read only users, and read and write users.

External documents

External documents can include:

Supplier, operator and maintenance manuals for plant and equipment
Specifications, procedures and drawings provided by customers and suppliers
Standards
Statutory Regulations
Material Safety Data Sheets
Codes of Practice

(Manuals, Standards and other reference material can be thought of as the company’s “Technical Library”).

External documents register

The custodian of external documents, which are relied upon to provide important and current information, will:

record the current issue on an External Documents Register
update the Register when a new issue is received
delete obsolete documents
regularly check that the Register is complete and current
regularly account for all listed documents
regularly contact the supplier to ensure currency
identify sources of suitable reference material (eg, professional institutes, industry publications, manufacturers, Standards Australia, regulatory bodies).

Uncontrolled documents

Copies of operations manuals, procedures or work instructions may be issued to interested parties on request. If they are issued as controlled or uncontrolled, record this on the Controlled Document Register.

Uncontrolled copies are marked “UNCONTROLLED COPY: NOT SUBJECT TO UPDATE”, on the front cover in red ink, prior to issue.

Controlled copies are marked “CONTROLLED COPY”, on the front cover in red ink, prior to issue.

Tips

Any tips learnt from previous experiences that should be passed on – delete this section if not needed

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Traps

Any traps to avoid learnt from previous experiences that should be passed on – delete this section if not needed

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Document and Data Control