Why Does ISO 9000 Emphasis On Document Control?

Why Does ISO 9000 Emphasis On Document Control?

Think of the Document Control Procedure as ‘evidence’ that an established process or procedure was adhered to in order to satisfy customer requirements. Both Registrars and Internal Auditors will always focus on the quality, continuity and flow of documentation; inconsistencies in this flow of information will indicate a problem and generate a non-conformance.

It is vital that your organization implements and maintains a robust document and record management system pursuant to Clause 4.2. of ISO 9001:2008.

Terms and definitions

To better understand the difference between a document and a record, the following terms and definitions are taken from ISO 9000:2005:

Term, Clause and Definition

Document, 3.7.2, Information and its supporting medium

Record, 3.7.6, A document stating results achieved or providing evidence of activities performed Control of Documents (4.2.3)

Implementing a quality management system might mean that you will be generating new documents and keeping some records that you might not be already keeping. Some of this documentation may seem burdensome until you become more familiar with the quality standard. In general though, the organization must:

- Approve documents before your distribute them
- Provide the correct version of documents at points of use
- Review and re-approve documents whenever you update them
- Specify the current revision status of your documents
- Monitor documents that come from external sources
- Prevent the accidental use of obsolete documents
- Preserve the usability of your quality documents

In order for any organization to demonstrate the effective implementation of its quality management system, it may be necessary to develop documents other than documented procedures. However, the only documents specifically required by ISO 9001:2008 are:

- Quality policy (4.2.1.a)
- Quality objectives (4.2.1.a)
- Quality manual (4.2.1.b)
- Control of Records (4.2.4)

A record is a document that provides traceability; it declares results or presents evidence that the activities undertaken met customer requirements. It is important to identify relevant quality records as you progress your documentation and ensure that records are defined within a procedure or by a system and that it exists and is controlled.

Types of Records required by ISO 9001:2008 Document Control Procedure

5.6.1 Management reviews
6.2.2 e) Education, training, skills and experience
7.1 d) Evidence that the realization processes and resulting product fulfil requirements
7.2.2 Results of the review of requirements related to the product and actions arising from the review
7.3.2 Design and development inputs relating to product requirements
7.3.4 Results of design and development reviews and any necessary actions
7.3.5 Results of design and development verification and any necessary actions
7.3.6 Results of design and development validation and any necessary actions
7.3.7 Results of the review of design and development changes and any actions
7.4.1 Results of supplier evaluations and any actions arising from the evaluations
7.5.2 d) As required by the organization to demonstrate the validation of processes where the resulting output cannot be verified by subsequent monitoring or measurement
7.5.3 The unique identification of the product, where traceability is a requirement
7.5.4 Customer property that is lost, damaged or otherwise unsuitable for use
7.6 a) Basis used for calibration or verification of measuring equipment where no international or national measurement standards exist
7.6 Validity of the previous measuring results when the measuring equipment is found not to conform to requirements
7.6 Results of calibration and verification of measuring equipment
8.2.2 Internal audit results and follow-up actions
8.2.4 Indication of the person(s) authorizing release of product.
8.3 Nature of the product nonconformities and any subsequent actions taken, including concessions obtained
8.5.2 e) Results of corrective action
8.5.3 d) Results of preventive action

Document Control Procedure Summary

Remember that you are in control of the documents and records and not vice versa. Only document and record what is necessary – the fewer documents and records you keep, the fewer things that will be audited, and the more time you will have to actually run your business.