I.

Purpose
 Ensure the document is clearly identified, easily identifiable and approved before being issued.
 Ensure to recognize changes and revision status of current documents.
 Ensure proper documentation is available where used.
 Ensuring documents of external origin are identified and controlled when distributing them.
 Ensure to prevent the unintentional use of expired documents and ensure appropriate identification if they are retained for
reference purposes.
 This process aims to unify the manner of compiling, approving, distributing and managing documents under the Quality
Management System at the University of Economics, HCMC. Ho Chi Minh City (UEH).

II. Scope
1. Objects
This procedure applies to document control under the UEH quality management system.
2. Responsibility to apply
All units are affiliated with UEH.

III. Reference
 Standard TCVN ISO 9001: 2015 (clause 7.5)
 Quality management system model description according to national standard TCVN ISO 9001: 2015.
 Other documents.
IV. Definitions and Abbreviations
1. Definitions
 Document: is meaningful data and supporting means, used to research, refer, and do research. Documents include 02 types:
 Internal documents: is a document compiled and issued by UEH, reviewed, revised and updated, including: system
documents (Policy, objectives, program, quality manual, process, instructions on work and forms ...), documents sent
to the outside (decisions, official letters, notices ...).
 External documents: A document issued by an external agency that UEH commits to comply with.
 Electronic documents (soft): are documents stored in a computer or other storage tools (CDs, floppy disks, portable hard
drives ...).
 Reference: is the document mentioned in the document in use.
 Controlled document: is a document with the UEH stamp.

TRƯỜNG ĐẠI HỌC KINH TẾ TP. HCM

TÀI LIỆU KIỂM SOÁT

 Outdated document: The document is out of date and has been replaced by a new document; in accordance with UEH's
decision to cancel internal or competent authority documents for documents of external origin, and are marked with UEH's
"Outdated Documentation"

TRƯỜNG ĐẠI HỌC KINH TẾ TP. HCM

TÀI LIỆU LỖI THỜI

 Instruction: is a document that describes the steps to perform work for an activity; apply for a title, or apply to a unit.
 Preparing: is preparing letter, document in order to inform or regulate Company’s activities
 Review: is evaluation of feasibility in applying and conformation with standards
 Approval: is signing action to accept effectiveness of documents
 Re-approval: If there is no special designation, any change of document should be reviewed and re-approved by the same
level who the approved document before.
 Update: Is recording of any change last page “Modifications and Distribution Control” in each document’s first part
“Documents control list” such as add in more documents, change document, cancel of documents. Update also include
recording of result of implementing forms.
 Index: Is attachment of document to supplement content of main document and there is same revision, same code with
main document.
2. Abbreviations
UEH: University of economics Ho Chi Minh city

V. Procedure
1. Internal document control

No Reponsibility Flow chart Description

Parts or individuals that require new

creation or modification of documents,

should specify the information. For

1 All member
documents that need modification, the
Suggest to write, modify
requester needs to underline the areas that

need modification in the document

Upon receipt of a proposal for drafting and

Stop modification, the Head of QualityAssurance

Department shall forward it to:

+ Vice Rector (if it is proposed by

functional departments)
Unescessary + Head of relevant functional departments

(if it is proposed by faculties, centers and

Proposal
consider
Board of
other units)
2
director, Units
Review, discuss with the Head of the unit

that requested and specify the opinion

(agree / disagree and the reason) before

submitting to the School Board.

Nesscessary + If agree: Principal / Vice principal in

charge of approval

+ If you disagree: specify the reason and

return the proposing unit

ISO Standing Committee reviews the TBP's

confirmed request and comments. DLĐ for

Confirm request
comments, and reports to the church. HT for
Board of
3
Directors comments and returned to ĐDLĐ.
 The datasheet is transferred to the person

assigned to write / edit and monitor the

Assign to write
progress of writing / editing the document.
Assigned
4
person

Unit / person assigned to draft, modify,

collect data, refer to relevant documents and

Assigned Collecting
5
person information records.

When writing, revisions need to comply

Writting and
consultation with the form and content of the document,

specifying the document's number, revision,

effective date and page numbering. Head of

unit / assigned person signs on the position

Writting of the editor, is responsible for the drafting
6
process units
content and sends it to the Quality

Assurance Department.

Once completed, it will proceed to consult,

and be checked and confirmed by the

ĐDLD.

Unsatisfactory ĐDLD Check and review

If found unsatisfactory: the writer should

Check write or correct again.

If the document content is found to be

ISO Standing
7 appropriate: sign for certification, approve
Committee Satisfactory
and send it to the HT for review

re-approved before issuing and going into

implementation.

The Quality Assurance Department delivers

documents to the principal or his authorized

Approval
8 Principal
principal. Then move to HT for review and

approval before issuing and implementing

After the document is reviewed / approved

ISO Standing by the HT, the document is returned to the
9 Issuing new documents,
Committee
removed old documents
ISO Standing Committee to update, stamp,
 distribute and maintain documents.

Quality assurance specialist updates

documents, scans and distributes

information to related units via the internal

mail system

Units:

- Make sure that documents related to the

operation of the unit are available for use

and reference when necessary.

- Be responsible for properly applying the

Applying
documents
10 All members
- Do not arbitrarily modify the content of

documents already issued. If detecting

inappropriate documents, the unit making

the drafting form requests document

drafting and modification.

2. External document control

Step Flow chart Description Checker

Receiving,
Updateandto reviewing
external
Archive distribute
and registering
documents legal
catalog
external document
documents The documents originating from outside are
stamped on the document by relevant functional
Related Functions
1 departments, write the arrival number, date of
Department.
arrival and submit to the Principal or his
authorized person for application.

Principal/
No The principal or authorized person reviews and
Authorized
Consider, decides to agree / disagree with the distribution,
2 Person/ Related
approval resolution of documents or summons of
Functions
relevant individuals.
Finish
Department.

Related Functions Department receive the text

from the School Board, duplicate (if necessary) General room/
or scan and email the required units to use Related functional
3
under the signed direction (if necessary) and units
save the original.

- The unit received the document to update the

external document list of the unit.
- The unit is responsible for controlling external
documents related to the operation of the unit,
destroying expired documents.
4 Related units.
- The functional departments periodically once
a semester (in a specific month) publicize the
list of external documents (valid and expired) in
the work of the unit being in charge School
website.

3. Standard issue code

 Documents are presented in a consistent format for the types of documents. The ISO 9000 body of the organization
models the document presentation and delivers it to the applicable entity.
 All documents under the quality system are identified through the following information: document name, number,
date of issue, date of issue and page number.
 Code Number: Quality system documents are numbered according to the following rules:
 Quality handbook: QH / UEH
 Process: PRYYY-XX / UEH or ZZ
 Regulation: REYYY-XX / UEH or ZZ ZZ
 Form: FOXX- <code of document containing Form>
In which:
 QH / UEH stands for Quality Handbook
 PRYYY-XX stands for Process
 REYYY-XX is the abbreviation of Regulations
 FO stands for Forms
 YYY is the symbol required by the ISO standard 9001: 2015
 XX is ordinal number, with a value from 01-99
 ZZ is the abbreviation of the name of the text editor
 Issuance: Times of the Handbook of Quality, Process, Regulation and the form is an ordinal number starting with 01.
 Date: is the effective date of the document.
 Pages: is the number of pages / total number of pages.
NOTE: Change documents
 All documents under the quality management system should change are performed according to the above steps
and be checked for approval according to regulations.
 When there are changes, the issue of the Quality Handbook, processes, regulations, the form increases by 1 unit.
 Any changes must be updated timely.
 When there is a change, the ISO 9000 Division distributes new documents concurrently recover old documents
and destroy them.
VI. Forms Attachment

VII. Risk Assessment

No. CAPA – Corrective Action Preventive Action

Identification of Problem

Corrective Action Preventive Action

1 Use out-of-date documents
2 Lost documents
Withdraw outdated documents and mark
out obsolete documents.
Provide necessary replacement
documents.
Periodically distributing necessar
documents to departments and
withdraw, mark out the outdated
documents.
Store text documents in covers,
cabinets, or back them up on onli
devices.

3 The document is damaged
Recall and organize copy and recovery
documents. If a document cannot be
recovered, it becomes a lost document.
Check and preserve documents
regularly. Clean documents, prote
documents from outside agents
(natural disasters, fires, termites,
rotting, theft)

4 Approved non-standard documents Revoke non-standard documents, review Strengthen the inspection of
amendment or destruction of documents. documents about to be approved,
review and update more necessary
standards for the documents