Pick any important process in any organization and you can bet that there is at least one document, or more likely a suite of documents, that drives every mission critical business operation. Marketing, sales, service, research, production – you name it – they all depend on documents as the foundation of the process.
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What is document control?
Document control is needed for documents that affect business processes, compliance and quality management. It ensures the accuracy, consistency, and reliability of documents created within a company. The practice encompasses the creation, review, modification, distribution, and accessibility of documents to guarantee that they do their job and are available to the right people at the right time.
It also emphasizes the importance of effectively managing different versions, handling changes, and following regulatory requirements and industry standards.
Document control is essential for process performance, maintaining compliance, enhancing efficiency, and ensuring that all stakeholders are working with the most current information.
Document control is especially important in industries such as healthcare, manufacturing, construction and finance where the stakes are high. In these sectors, it’s crucial for ensuring patient safety, product quality, and financial integrity. A failure in document control can lead to severe consequences, including legal action, financial losses and damage to an organization's reputation.
Why is document control important?
The significance of document control management cannot be overstated. Let’s face it. In today's info-driven business environment, companies generate mountains of documents every day. An effective document control process ensures that there is one master version of each document, and each one created within its boundaries has a full version history.
Identifying which documents require control is the first step. In general, any document that directly or indirectly affects the quality of your product or service needs to be controlled. This includes policies, procedures, work instructions, forms, specifications, and any other type of document that impacts your operations.
Without proper control mechanisms, these documents can become disorganized, outdated, or even lost, leading to significant inefficiencies and compliance risks.
Key aspects to consider
- Process efficiency — Well-implemented document control ensures that key processes perform efficiently and reliably. Thoughtful strategies and systems work to streamline workflows, reduce the time spent searching for documents, and boost overall productivity.
- Accuracy and consistency — Ensuring that all documents are accurate and consistent across the organization helps maintain high-quality standards and prevents errors that could lead to operational disruptions.
- Enhanced communication — Document control facilitates better communication within and across departments. And when everyone is working with the same up-to-date information good things happen: collaboration improves, customer service is enhanced, and the organization is nimbler and more responsive.
- Risk and Regulations — Many industries are subject to stringent regulatory requirements, such as ISO 9001 and others, which mandate document control procedures. Proper document control helps organizations comply with these regulations and avoid costly penalties. And by controlling the distribution and accessibility of sensitive documents, organizations can mitigate the risk of data breaches and unauthorized access.
An essential guide to document control processes
A good document control process involves several key steps. You can use this document control checklist as a template.
1. Document creation — The process begins with document creation, which should follow standard operating procedures to ensure consistency and quality. It also makes sense to create templates for documents like standard contracts, non-disclosure agreements and basic forms. Standardization is crucial at this stage, as it sets the foundation for the entire document lifecycle.
2. Review and approval — Once created, documents must undergo a review and approval process to verify their accuracy and relevance. This step often involves multiple stakeholders to ensure thorough scrutiny. The review process can include checking for technical accuracy, regulatory compliance, and alignment with organizational policies.
3. Version control — Managing document versions ensures that the most current version is always in use. Document version control involves tracking changes and maintaining a history of modifications.
4. Issuance and distribution — Approved documents are issued and distributed to the relevant stakeholders. This step ensures that everyone has access to the necessary information. In this stage, it's important to consider the distribution method, whether it's electronic distribution or physical distribution for hard-copy documents.
5. Accessibility and retrieval — Documents should be easily accessible to authorized users, and there should be a reliable system for retrieving documents when needed. Accessibility is particularly important in fast-paced environments where quick access to information is critical.
6. Security — Most businesses deal with sensitive data, that can range from employee health care records to intellectual property. Document control establishes security protocols to protect private information from unauthorized access.
7. Archiving and disposal — Outdated or obsolete documents should be archived or disposed of according to company policies to maintain an organized document repository. Proper archiving ensures that historical data is preserved for future reference, while automated disposal ensures that outdated information does not clutter the system and is aligned with regulations that govern document destruction.
Each of these steps plays a crucial role in document control. By following a structured process, organizations can ensure that their documents remain accurate, up-to-date, and accessible throughout their lifecycle.
How two manufacturers use DocuWare for document control
Salco Products manufactures embedded hatch covers for railway hopper cars designed to allow ventilation of cargo during transport. The company works closely with the Federal Railroad Administration and must follow their guidelines and standards for document retention. If they keep documents beyond their retention period or can’t produce the necessary documents for an audit, the company will be fined for nonconformance.
Before DocuWare, the company stored its documents on a local network. “The biggest problem was that you would store something and then you’d go back to edit it to find that somebody has deleted the whole folder,” notes Global Compliance Engineer Jason Mohs. “Now we can always find our documents,” he says.
“We have over a hundred DocuWare users and over a terabyte of storage space in our digital compliance cabinet. All the documents are kept according to their retention period and are set to be automatically deleted once that period ends.
DocuWare also manages workflows such as one that is activated when a technical drawing or a procedure needs to be updated. These requests are now submitted through digital forms, which start the workflow that requires input or approvals from multiple people and at different stages of the workflow.
Ewart-Ohlson Machine Company specializes in precision computer numerical control (CNC) machining, producing large-size parts in steel, aluminum, titanium, and other alloys for aerospace, energy, steel, and automotive industries. Documents on each precision part produced by the company must be stored for years in compliance with the terms outlined in AS9100 compliance regulations. This standard was created by the International Organization for Standardization (ISO). ISO certification is an internationally recognized quality management standard. It confirms that customer satisfaction is one of your company’s central business objectives and requires meticulous and secure recordkeeping.
Before DocuWare was implemented, all records and paper documents were manually sorted and filed in a physical location. When staff in quality control or any other department needed to reference the documents internally or respond to customer requests, the search process was long and tedious.
By securely storing files electronically in DocuWare, Ewart-Ohlson easily adheres to compliance regulations. Search and retrieval are now straightforward. “File retrieval, which used to take upwards of 30 minutes per search, can now be done in under a minute”, says President Brian Ewart. “Now that the process is managed electronically through DocuWare, we can find what we need faster.”
With up to 300 pages of paper documents to be scanned and filed per week, the company appreciates the benefits of a digital document management system.
The Role of a Document Management System
A document management system (DMS) puts document control strategies into practice and plays a pivotal role in enforcing it.
Vital document management features
With all the technologies and solutions available today, how do you know which document management system is right for you? Consider these essential features.
- Centralized repository — Look for a system with a centralized repository for storing all documents, ensuring that they are organized and easily accessible. This centralization reduces the risk of documents being lost or misplaced and makes it easier to manage document versions.
- Automated workflows — Advanced DMS solutions offer automated workflows for document creation, review, modification, publication, and distribution, streamlining the entire document control process. Automation reduces the likelihood of human error and speeds up document-related processes.
- Version control — Built-in version control features track changes, maintains version histories, and guarantees that users are always working with the most current document. Version control is crucial for maintaining the document accuracy, integrity and consistency.
- Access controls — A DMS allows organizations to set access controls and permissions, so that only authorized users can access sensitive documents. This feature is essential for protecting confidential information and aligning with data protection regulations.
- Audit trails — Comprehensive audit trails provide a detailed history of document activities, helping organizations maintain transparency and accountability. Audit trails are valuable for compliance purposes and for understanding the document lifecycle.
- Search and retrieval — Advanced search capabilities enable quick and efficient retrieval of documents, reducing the time spent searching for information. Effective search functionality is crucial in fast-paced environments where timely access to information is essential.
- Security — Comprehensive security measures protect your data from insider or external breaches and cyberattacks. Look for a DMS that uses the Advanced Encryption Standard (AES), which is the US military’s standard for protecting official documents. It should also send data via HTTPS with TLS encryption. Customer data should be safeguarded via VPN at cloud data centers, and technologies such as HSTS should be used to protect cloud services against downgrade attacks and cookie hijacking.
In addition to these features, look for a system that can integrate with other enterprise software, such as ERP and CRM systems, for even more overall operational efficiency.
Moving forward
Document control is a critical component of business operations. With a robust document managements system, companies can boost operational efficiency, enhance process performance, ensure better regulatory compliance, and reduce risks. Mastering document control empowers your company to manage their documents more effectively in an increasingly digital world. It's about ensuring that your organization operates smoothly, and by taking control of your documents you can drive your business forward with confidence.
Find out more about how Docuware can help by requesting a demo.
The information in this blog post is not intended as legal advice. It is to be used for educational purposes only.