Title / Document Control
File / /Procedures/GD-P-001_B.doc
Category / Standard Procedures / Rev / 0
Author / ACK / Date / 03 Jul 2006
Key Words / Guttsa, Procedures, Document Control, Revision, Numbers, Register
Introduction
Document control covers the processes by which documents are named, stored, generated and otherwise maintained. Document control ensures that all standard procedures, work instructions, training material, knowledge base articles and business documents are generated, reviewed, checked andmaintained in a predictable and reliable fashion.Contents
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1Controlled Documents
2Document Numbers
2.1Nomenclature
2.2Categories
2.3Index Number
3Document Control Register
3.1Allocating New Document Numbers
4Document Revisions
4.1Development
4.2Document Approval
4.3Issuing Documents
4.4Document Maintenance
4.5Document Authors
5Storage of Files
5.1Job Folders
6Electronic Files
6.1Electronic Document Store
6.2Systems Folder
6.3File Names
7Hard Copy Files
7.1Hard Copy Document Store
7.2Hard Copy Distribution
8Document Templates
8.1Template File Locations
9References
10Distribution
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Revision Control
Rev / By / Chkd / Appr / Date / CommentsA / ACK / OW / - / 17/6/2006 / General issue.
B / ACK / AGF / - / 28/6/2006 / General revision.
0 / ACK / AGF / 3/7/2006 / Approval.
1Controlled Documents
Guttsa controlled documents cover all standards, procedures, induction and training material, knowledge base articles and all other documents falling under the categories defined in section 2.2.
Guttsa controlled documents exclude invoices and business related faxes, letters and emails.
Templates are used to provide a consistent look and feel to documents.
A filing structure exists to store documents.
2Document Numbers
Controlled documents are those documents whose contents are maintained and issued. Document numbers provide a unique identifier and form part of an organizational structure for the information store resulting from collecting and storing documents in a central location.
A document register is used to control the allocation of document numbers.
2.1Nomenclature
Document numbers have three parts including an index and document category. The parts are separated by a hyphen character “-“. The document number of this procedure is shown below:-
Notes
1. The GD prefix is mandatory for all Guttsa controlled documents.
2. The Category is a single alpha code defined by the Category list.
3. The index is an incremental numerical value assigned from the document control register.
2.2Categories
The category is a single character denoting similar activities within the Guttsa Business.
Different categories contain different types of documents.
The categories are defined in the document control register in a secondary worksheet with a named range “Categories”.
Categories are reflected in the Guttsa file system structure with a document sub directory for each category.
The document categories are defined:-
A / AdministrationB / Brochures, Banners
S / Safety, Environment, Community Affairs
P / Standard Procedures
T / Training Material
Q / Quality System
G / Guttsa Business
R / Register
W / Standard Work Instructions
K / Knowledge Base Articles
2.3Index Number
A document control register is used to record and allocate document numbers. The register rows are indexed so that a unique identifier is assigned to all new documents.
All documents are entered into the register in the order in which they are allocated. Consequently the index number is sequential and not continuous within categories.
3Document Control Register
The Document Control Register shall be used to record and allocate document numbers of all official Guttsa documents. The register number is GD-R-000 and the register file is /Registers/GD-R-000.xls
File names for registers do not contain revisions.
The register contains columns of document management fields such as author, creation date, current revision, title and file path.
The Active flag is used to signify that a document has been approved and issued. Documents may evolve through various alpha revisions before being approved at revision zero. Once approved the Approved flag set to Yes.
The document management fields are used by the standard work instructions as the source for linked data.
3.1Allocating New Document Numbers
The register contains columns of documents management fields. The leftmost column is pre filled with the sequential index. The second column has data validation to the categories list.
A new document number is chosen by selecting the appropriate category from the first available row with no document number assigned to it. The document number is automatically assigned to the third column as soon as the category is chosen.
The initial document revision is always “A”.
The Active flag is always initially “No”.
4Document Revisions
Documents exist in two distinct phases, the first being development, and the second controlled issue or reissues.
Documents under development DO NOT EXIST in the controlled document domain until they have been approved and issued.
4.1Development
Document revisions are assigned alpha revisions; A, B, C etc during the development process.
A document must have at least one development revision, revision ‘A’ which must be submitted for final review. In practice development revisions may include reviews and subsequent edits before being submitted for approval after revision C for example.
At the beginning of each revision phase a “Save As” action shall be carried out after incrementing the revision to the next character. The work must be saved at the end of each session until the document is printed and issued for review.
A review issue is a document release for the purpose of gaining comments and feedback. The feedback should be incorporated into a subsequent revision.
In general, a revision change will occur if a document is issued for review, printed and feedback is marked up on it. Revision changes for incremental changes and minor corrections are at the discretion of the author.
4.2Document Approval
Approval requires documents be submitted for signoff and issue. The document shall be raised to revision zero (0) and printed in colour.
Approval can only be granted by an authorized Guttsa representative signing the proof copy.
Once approved, the document is scanned and saved as a PDF document. The resulting PDF is non changeable and includes the wet signature of the authorisor.
The register Active flag is set to “Yes”. The document is now controlled and ready for issue.
If the document is not approved, the correction shall be marked in red pen and the document re-submitted for approval.
4.3Issuing Documents
Document issues are the distribution and handling of documents in both hard copy and electronic formats.
The original of all issued documents is stored in a plastic sheet protector and filed in the filing cabinet. This is referred to as the hard copy document store.
Documents with a distribution require that existing copies of the current document in its previous revision are manually updated. This applies to updating SWI’s in work packs, MSD sheets in resource kits, artwork and branding held under agreement with suppliers etc.
The electronic forms of the files are stored according to the electronic filing process in section 11.
Issues of SWI’s shall be verbally communicated at toolbox meetings and other work planning meetings.
4.4Document Maintenance
Maintenance is often required to update document content as new procedures, processes or opportunities are identified.
Maintenance may also be required to legislative changes or as a result of incident investigation.
Maintenance applies to documents that have been approved and issued.
Maintenance involves raising the document to the next numeric revision and submission for approval after the appropriate modifications have been made.
Subsequent revisions will attract an incremental revision number; 1, 2, 3 etc.
4.5Document Authors
The people nominated as document authors and approvers must be setup in the register and a special file called staff.ini.
The staff list is defined in the document control register in a secondary worksheet with a named range “Staff”.
The staff.ini file resides in a sub directory to the Doc Control directory called Settings. The ini file can be edited with a text editor such as notepad.
5Storage of Files
File storage applies to document hard copies, source files (*.doc, *.xls, *.ppt), PDF issues, images used in preparation of documents. File storage also covers past and present revisions of the same document, developmental stages and the document store of current revisions.
5.1Job Folders
A separate file structure is reserved for work photos. The Work directory contains sub folders representing years. Job folders are created under each year and all photos, invoices and correspondence is stored in the job folder.
Work or job folders do not adhere to a naming regime and are not subject to this document control procedure.
6Electronic Files
A standard file structure exists to contain all files related to operating Guttsa.
Two main directories exist to separate the store of current documents from those under development, revision, images, registers etc. These directories are called Doc Store and Systems folders respectively.
The two stores and their purpose are described below.
6.1Electronic Document Store
The electronic document store is the library of all issued PDF documents.
Documents are stored in sub directories reflecting the appropriate category.
The document store does not contain the Register and Guttsa Business sub directories.
Issued PDF documents do not contain the revision element in the file name. This allows hard coded hyperlinks and file system shortcuts to continuously reference the current issue file.
The electronic document store bears close resemblance to the hard copy document store.
6.2Systems Folder
The systems folder contains the complete development history of all documents. Importantly it contains the source documents.
Past revisions of revised documents are stored within the Archive directory located within each category folder.
The source files refer to files that can be opened by an appropriate “Office” application and modified. This is an important distinction from the PDF files in the document store that cannot be changed. The PDF files are created from scanned images of signed documents.
The category folders also contain an images folder to store masters of images that have been inserted into documents. The images directory also contains a working and backup directory for image processing.
The systems folder also contains a Doc Control folder. This folder is used to store templates and binder covers.
6.3File Names
A standard file naming structure for source files is in place that ensures consistency between the hard copy and electronic document stores and to distinguish different revisions of the same document.
Issued PDF files are stored with the PDF file extension but without the revision.
Notes
1. The document number is allocated from the document register and entered into the document number box in the document header.
2. The revision character represents the current document revision. Refer section 8.
3. The file extension is determined by the native application associated with the Guttsa template used to generate the document.
4. File names for registers do not contain revisions.
7Hard Copy Files
Hard copy files fall into two distinct categories. The first is a hard copy document store that contains approved source documents. The purpose of this store is an administrative one and used to protect the integrity of the electronic file store should it need to be regenerated.
The second category of hard copy documents covers documents issued for use as work instructions, training and induction material. These documents are made accessible to Guttsa employees.
The existence of the hard copy in the document store is a mandatory requirement for all controlled documents. Additional document locations are listed in the distribution section of each procedure.
7.1Hard Copy Document Store
Thehard copy document store is maintained in the same state of the electronic document store. These are the hard copy source files that were printed for approval and signed.
Documents are stored in individual clear plastic sheet protectors.
Documents of the same revision are stored in the same sheet protector with the most current revision at the top.
Documents of the same category are stored sequentially in the same file divider. File dividers of the same category with index ranges may be used if a large number of documents exist.
The hard copy document store does not contain PDF copies unless specified in the document distribution. This prevents hard copies from being superseded.
7.2Hard Copy Distribution
Other hard copy locations may also exist. These will typically be contained in ring binders and allocated to Guttsa work vehicles and remote offices. The document distribution section of each document details the distribution requirements.
Each line of the distribution list represents one copy of the document in either signed source, electronic PDF or hard copy PDF.
Like the electronic document store, hard copy locations defined by distribution and not held in the hard copy document store are only PDF documents containing the approval signatures.
8Document Templates
A document template exists for each category of document. A new document is created by either;
- Right clicking on the template file icon in File Explorer and clicking New, or
- Selecting the File -> New option from within the application menu (Word, Excel, Power Point) and choosing the template from the dialogue box.
Modifications to templates should be made with great care.
8.1Template File Locations
Document templates are stored in the Systems/Document Control/Templates directory.
The “Office” applications are configured to find user Guttsa templates from the Document Control directory. Thus a new document can be created from the application “File -> New…” menu. This is the recommended method for creating documents.
9References
The following documents form part of this procedure
Doc No. / TitleGD-K-002 / IT Network Description
GD-R-000 / Document Register
GD-P-027 / Creating PDF documents
10Distribution
All controlled documents exist in at least two document stores. These documents and any others listed in the table below must be updated upon issue.
The document issue is not complete until all previous revisions are destroyed.
# / HC/E / Format / Location1 / HC / Source / Hard copy document store; (Source document with wet signature).
2 / E / PDF / Electronic document store; /Doc Store/[Category]/[Doc File Name]
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