Originating Office: Admin

Procedure:  Document Control Procedure

Document Number: All-AP-001 Version:

Document Owner: Approval: Date of Creation:

Title: Title Date of Last Review:

Date of Next Review:

Revision History
Date of Last Review Comments
Original document created.

Document Control Procedure

[Type the document subtitle]

[Date]
[Company Name]

Prepared by:
Summit Safety Technologies
www.SafetyProgramNow.com
310-940-1394
 (COMPANY NAME) Document Control Procedure
1. Introduction & Purpose
Documentation is critical in the success of any organization’s Management System. It allows for consistency
and uniformity in the application of procedures and specification in the workplace. The purpose of this
procedure is to provide a standard method for controlling documents that support the operation of the
(Company Name) Management System.

(COMPANY NAME) relies heavily on it’s intranet for the storing and availability of documents used in the
management system. This allows for one controlled source to be available for the Company and eliminates
the need for multiple controlled copies of manuals to be kept. In doing so, this means that any printed
version of a document or record is ‘un-controlled’ and should be checked against the intranet for its status.

2. Scope/Application
This procedure applies to the documents created as part of the (COMPANY NAME) Management System. This
includes policies, procedures, manuals, training materials, articles, newsletters, guidelines and fact sheets.

3. Responsibilities
3.1 (COMPANY NAME) President
The (COMPANY NAME) President has the overall responsibility for the (COMPANY NAME) document
control system. This includes the development and evaluation of this procedure. The (COMPANY
NAME) President also has direct responsibility for all centrally produced documentation.
3.2 Department Senior Management
Department Senior Management is responsible for ensuring the implementation of procedures and
guidelines created within their department are implemented and controlled in accordance with this
guideline.
3.4 Local Document Controllers
All Department Senior Management will nominate a document controller/s to ensure all document
control requirements are met. The following individuals are assigned as Document Controllers for their
group:

Group Document Controller

(enter department name) (enter employee name)
(enter department name) (enter employee name)
(enter department name) (enter employee name)
(enter department name) (enter employee name)
(enter department name) (enter employee name)
(enter department name) (enter employee name)
(enter department name) (enter employee name)

4. Implementation
4.1 Document Control Register
Each document created as part of the (COMPANY NAME) Document Management System will be
recorded on the Document Control Register [See Document Control Register in Appendix A]. This
may be accomplished by listing the document details (document number, current version, title,
creation date, last review date, next review date and comments) directly into the (COMPANY NAME)
Document Control Register, or by inserting a single link in the (COMPANY NAME) Document Control
Register that points to a detailed Register in another Network location.

4.2 Document Design

Documents designed for use within (COMPANY NAME) shall use the (COMPANY NAME) Document
Template or a template of similar design. This will ensure that documents have the same style and

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presentation. [See (COMPANY NAME) Document Template in Appendix B]
All documents are to contain the following information:
 A description of the activity or process;
 The person or position that has supervisory responsibility for the activity or process;
 A clear explanation in sequential order of the steps or stages comprising the procedure or
process.

4.3 Document Properties & Identification

Each document created for use within (COMPANY NAME) is required to contain document information
at the top of the first page and in the footer of each page. The following document properties are to
be displayed in the footer: 1st 2nd 3rd 4th 5th
 Document Number : Example: All – AP – 009 – 001 - B
o The 1st position identities the controlling department or group:
All: All (COMPANY NAME) Departments
FacSup: Factory Support
Finance/Admin
Acc: Accounting
CS: Customer Service
EHS: Environmental Health & Safety
HR: Human Resources
IC: Inventory Control
Pack: Packaging
Purch: Purchasing
FieldOps: Field Operations
ProdMktg: Product Marketing
Sales: Sales
SalesSup: Sales Support
SBU: Strategic Business Unit
o The 2nd position is the document type or category:
AP: Administrative Programs, Policies, and Plans
MN: Manuals
FO: Forms
MP: Maintenance Procedures
TR: Training Course or Materials
UG: User's Guides
VM: Vendor Manuals
RS: Requirement / Specifications
PP: Papers / Presentations
SF: Software / Firmware

o The 3rd position is the document number.

o The 4th position is the document sub-number.
 Optional - use for multi-section documents).
o The 5th position is the version number.
 A=Not Revised; B=First Revision; C=Second Revision, Etc.
 Date of Creation : the month and year the document was created;
 Date of Last Review : the month and year the document was last reviewed;
 Date of Next Review : the month and year the document is to be reviewed;
 Owner: the person responsible for the document. This is not necessarily the person who
created the document;
 Page Number
Footer Example:
EHS-MN-003.A Created: 6/05 Last Review: 11/05 Next Review: 6/06 Owner: M.D. Lawrence Page 1 of 23
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The identifying Controlled Document Header and Revision History below will be placed on the cover or first
page of every controlled document. At each department’s discretion, the Header/Revision History information
may be placed at the end of the document rather than at the beginning as long as a note indicating this is
placed at the top of the first page or cover page.:
(Sample)
Originating Office: (COMPANY NAME) Environmental Health & Safety 
Procedure: (COMPANY NAME) Safety Strategy

Document Number: EHS-AP-001 Version: A

Document Owner:   Approval:  Date of Creation: 5/04
Michael D. Lawrence Michael Joshi
Date of Last Review: 5/05
Project Manager, Safety & Technical Communications (COMPANY NAME) President Date of Next Review: 5/06
 

(COMPANY NAME) Controlled Document Header

 Revision History
Date Comments
2/05 Original document created
11/05 Minor revisions. Added document control header and revision history.

4.4 Location of Documents

Documents are to be located on the (COMPANY NAME) Intranet or Network for ease of accessibility. For
those persons who do not have access to the intranet, hardcopies of procedures and guidelines are to be
made available. However these documents, as are any document printed from the (COMPANY NAME)
Intranet or Network, are ‘uncontrolled’ documents and will need to be periodically checked against the
Intranet to ensure validity.

4.5 Document Review

Most documents used at (COMPANY NAME) should be reviewed within 1 year of last review. For some
documents this may need to be more frequent or less frequent depending on changes in legislation,
corrective action from incidents, individual department needs, or to aid in continuous improvement.

While the recommended review period for controlled documents is 1 year, each department may establish
the review period for their documents. For example, the steps and processes in many equipment
maintenance procedures might remain constant and may not require an annual review. The department
owning the document may choose to establish a review period of more than 1 year based on the
department’s needs. This decision should be made by the Approval Authority for the particular document in
question, and must be indicated in the Date of Next Review located in the document control header.

4.6 Document Retention

All versions of created documents shall be kept either electronically or in print for system evaluation
purposes. Archived documents will be stored electronically on the (COMPANY NAME) Network or Backup
indefinitely. These must be clearly identified as archived documents that are no longer in force. There will be
no links to access these archived documents from the (COMPANY NAME) Document Control Register. All links
in the Document Control Register must always point to the current version of all documents. The older
versions will be kept in a limited access folder on the Network and can be made available to users by making
a request to the (COMPANY NAME) Document Control Administrator (safety@(Company Name).com).

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4.7 Document Approval
The document approval process flow for each department should be the same as or similar to the process
shown below. Each department may make modifications to this process flow to meet their specific needs. It
is recommended that departmental modifications to this process flow be discussed with the (COMPANY
NAME) Document Control Administrator prior to implementation of said modifications.

(COMPANY NAME) Document Approval Process/Flow:

1. Document Owner drafts document and forwards to Department Manager.
2. Draft to Department VP/Director for review and edit.
3. Return to Department Manager and Document Owner for edit.
4. Department VP/Director, Department Manager, and Document Owner discuss impact of document.
a. Senior Staff of other affected groups are asked to make input to document.
5. Document Owner incorporates final edits.
6. Document to Department VP/Director for approval.
7. Document to Dept Document Controller.
8. Document to (COMPANY NAME) Document Control Administrator.
a. Document Number Assigned.
b. Document listed in (COMPANY NAME) Document Control Register (located on Quality Web).
c. Document posted on (Company Name)Web.
d. Appropriate managers advised of document posting.

Review frequency
may be established by
each department.
Recommendation is 1
year.

Fig 1: (COMPANY NAME) Document

Control Process Flow
4.8 Documents of External Origin
Externally-created documents (such as equipment maintenance manuals) will be controlled by the document
owner. At a minimum, each document will contain the header and footer requirements of (COMPANY NAME)
documents.

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5. Uncontrolled Documents
DISCLAIMER FOR UNCONTROLLED COPIES OF CONTROLLED DOCUMENTS

A disclaimer using one of the formats below will be placed as a header on uncontrolled documents.
a. For uncontrolled copies of controlled documents that are maintained electronically, the header should
read:
For documents maintained on the Internet/Intranet:
 “This is an UNCONTROLLED DOCUMENT printed for reference only (date). The controlled document
is located on-line at the address shown at the bottom of this page.”
For documents maintained on a locally accessed file:
 “This is an UNCONTROLLED DOCUMENT printed for reference only (date). The controlled document
is located (state where, e.g. I-Drive, file name)”
b. Uncontrolled copies of hard copy controlled documents should have the following format:
 “This is an UNCONTROLLED DOCUMENT for reference only. The controlled copy (or copies, if more
than one) is (are) located (state where, e.g., file cabinet in a specific shop office or room number)”

6. Review and Evaluation of (COMPANY NAME) Document Control Procedure

In order to ensure that these guidelines continue to be effective and applicable to current (COMPANY NAME)
needs, the program will be reviewed annually.

Following completion of any review, the program will be revised or updated in order to correct any
deficiencies. Any changes to the program will be reviewed by the appropriate Senior Staff members, and
approved by the (COMPANY NAME) President.

Changes to Documents
To request a change to a document, the (COMPANY NAME) Document Change Request Form should be
completed and routed per the instructions in the Form below. As with the Document Approval Process Flow
(see Section 4.7 of this document), the change control process may be customized as necessary to meet the
needs of each department.

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Note: This document uses your computer’s default email system (such as Outlook) to send the form as an
attachment. Your email system must be functional and accessible in order to send this form.
Recommended Document Change Request Flow
Originator
Responsible Manager (Initial Review/Approval)
Assigned Author(Write Text for Change)
Responsible Manager (Final Review/Approval)
Department Document Controller (Implement Change; Update Document Control Register)
(COMPANY NAME) Document Control Administrator (Document Posted on Web; Document Change Communicated to appropriate
(COMPANY NAME) employees)

(COMPANY NAME) Document Change Request Form

1. Originator: Complete Section 1 and send Form to appropriate Manager (see Block 1-11 and Note1)

1-1. Originator:       1-2. Date (m/d/yy):       1-3. Phone Number: (   )       Ext:      

1-4. Document Type:       1-5. Type of Action Requested:            
1-6. Document Number:       Version      
1-7. Document Title:       Note1
1-11. Send Form to: (Select Name of Responsible Manager):
Factory Support:       Other:      
1-8. Other Documents Affected:       Field Ops:       Other:      
Finance/Admin:       Other:      
1-9. Summary of Requested Change:       Product Marketing/Engineering:       Other:      
1-10. Recommendation (include rationale for change:       Sales/Sales Support       Other:      
SBU:       Other:      

Note1
To send, select File, Send To, Mail Recipient – email fields will appear at top of page. Click Address Book Icon ()
near “To…” field (top of page), select Name of Responsible Manager. Type in any text you wish as comment or
explanation in “Introduction:” field. Select Send a Copy to email the form.

2. Responsible Manager (Initial Review & Approval): Complete Section 2 & send Note1 to Assigned Author (see Block 2-2)

2-1. Approval       2-2. Assigned Author:       2-3. Date:       (m/d/yy)
2-4. Not Approved Reason:       If Not Approved, return to Originator (Name in Block 1-1)

3. Author (Assigned by Responsible Manager): Complete Section 3 and return to Responsible Manager via email Note1

3-1. Assigned Author Name:      

3-2. Detailed Description of Change:      
3-3. Date Returned to Responsible Manager:       (m/d/yy)

4. Responsible Manager (Final Review and Approval): Complete Section 4 , send Note1 to Dept. Document Controller.

Approval:       
Not Approved Reason:       If Not Approved, return to Assigned Author and include instructions.
Responsible Manager Name:       Date:       (m/d/yy)

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5. Department Document Controller: Implement change, update Register, complete Section 5 , send Note1 to Doc Cont
Admin.

Departmental Document Controller Name:      

Change Implemented:       Effective Date:       (m/d/yy) Not Implemented Reason:      
(COMPANY NAME) Document Control Register Updated       Returned to Responsible Manager on:       (m/d/yy)

6. (COMPANY NAME) Document Control Administrator – Final Release: Assign Doc Cont Req#, post revised document on
(Company Name)Web.

Document Change Request #:      

Confirm that (COMPANY NAME) Document Control Register was updated:      
Post revised document in Controlled Documents section of (Company Name)Web:        Date:       (m/d/yy)

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Appendix A: Document Control Register (Sample)

(COMPANY NAME) Document Control Register

Only documents in web page format located on the (Company Name)Web (Intranet) are controlled
documents. All other copies are uncontrolled and should be checked against those on the (Company
Name)Web to ensure correct revision number.

Formats: W1=Word, W2=Web, P=PDF, E=Excel, DB=Access Database

Document # Level I, Document Title Created Date; Last Review Date; Comments
II, III, or (C) = (COMPANY NAME) Owner Next Review Date
IV Confidential
Programs, Policies, & Plans
Doc-P-001 (COMPANY NAME) Document 4/06; M. Lawrence
Control Procedure
Doc-P-002 (COMPANY NAME) Employee ; HR
Handbook
Doc-P-003 (COMPANY NAME) Policy Manual ; HR

Doc-P-004 (COMPANY NAME) Job Description 5/06; M. Lawrence

Guidelines
Doc-P-005 Site Safety Team Guidelines 5/06; M. Lawrence

Manuals
Doc-M-001    

Forms
Doc-F-001   Job Description Questionnaire      
 
 
 

Training Materials
Doc-TM-001

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 Document # Level I, Document Title Created Date; Last Review Date; Comments
II, III, or (C) = (COMPANY NAME) Owner Next Review Date
IV Confidential

Document Levels:

 Level I consists of a quality manual that outlines what the company plans to achieve and outlines the policies it plans
to implement to achieve its goal.
 Level II outlines procedures the company will follow, what workers will do, in what order, by whom, and with what
results, structured to reflect the process flow of events.
 Level III consists of detailed work instructions—specific written information on how to do a particular task—available
centrally and locally.
 Level IV consists of reference material and information not in other categories. This information may include quality
records, forms, and so forth.

Appendix B: (COMPANY NAME) Document Template

Originating Office

Procedure: Procedure Title Here

Document Number: To be assigned by (COMPANY NAME) Document Control Administrator Version: Version letter here

Document Owner: Approval: Date of Creation:      

Owner Name Approver name

Owner Title Approver Title Date of Last Review:      

Date of Next Review:      

Revision History
Date of Last Review Description of Changes

      Brief Description of Changes

Document Title Here

See (COMPANY NAME) Document control procedure ((COMPANY NAME)-ALL-P-001 A) for full details.

1. Introduction and Purpose:

1.1. Write an introductory statement detailing the purpose of the document here.

2. Scope/Application
2.1. Detail the scope of the document here (who it affects, which region/toolset/etc.)

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3. Responsibilities
3.1. List details of responsibilities regarding this document here.

4. Implementation
4.1. Details of steps in procedure/policy/etc. here.

5. Additional Information or Process Details/Steps

5.1. Insert additional information, caveats, descriptions of theory, etc. here. Also include links to any
supporting information, such as manuals, procedures, policies, etc.

6. Review and Evaluation

6.1. Insert information for review here, including who to discuss changes with and who must approve
changes (such as, customer representative, (COMPANY NAME) manager, etc.). See (COMPANY
NAME) Document Change Request Form for more details.

--- Document End ---

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