Collaboration between ISO and Control Documents - Coursework Example

Table of Content: Introduction: Keywords: Aims and objectives: Where is the documentation? A-pre requisite: Core purpose: Scope definition: I.S.O and document control: Collaboration between I.S.O and Control documents: Standards Declaration: Document control considerations: I.S.O 9001: Approving Authority: Document Management System: The need for documentation: Document control akin to management: Control Document Preparation: Quality records: Flow Charts: Issues of controlled document approval: Control Document Lists: Structure of a control document: Q.M.S: Element of communication: Storage and retrieval section: Use of Softwares: Risk Management: General Pre requisites to Good Document control: Broad body wise segmentation of the control document: Conclusion: List of Abbreviations: I.S.O: International Organization of Standardization T.Q.M: Total Quality Management Q.M.S: Quality Management System Introduction: Any organization that operates in the industry needs to have a centralized and effective record of its activities and processes. This record is being collected and presented in form of the officially approved documents in the name of control documents. As the name would imply, these documents allow control in an indirect way through the traversing of the official record and information. This information can be used for the purpose of past data verification, comparison, correction and improvement if need be. Another narrative of the concept of documentation control can be the usage and preparation of the documents for the safe operations within the organization, contingency planning, quality maintenance and overall functions and services which are required to be handled in the due manner. Keywords: Quality, control documents, I.S.O, Q.M.S. Objectives: This paper looks into the nature of control documents, the advantages served by them, the pre requisites attached to them with regard to their handling and better services and outputs extractions, followed by the issues faced and the measures needed to be ensured in order to make vital and effective use of control documents. Where is the documentation? Documentation is being kept and prepared by the management team and the technical analysis team who create the company policies, rules and regulations, standard operating procedures, rules of engagement, and other policies pertinent to the dealing and exchange with the companies and stakeholders along with the regulatory authorities, government and competitors in the market. The documents are usually present in the human resource department and at the same time part of it can be made available on the website with the due consideration of the fact that the private and company related important information may not be shared or spread with the outside sources on a public platform such as company’s official website. Documentation is the process of making an activity and process official and bringing it under the record for present validation, future consideration and potential improvement in longer run. Documentation may be kept in the soft or hard retrieval section (Professional & Cochran, 20). The document is a collection of activities that are underpinned in a recorded way which allows for following a clear strategy based on the present processes and future planning and path that must be followed in order to maintain quality and earn the customers satisfaction. A Pre requisite: The document control function must make use of the presently in use documents and it must be ensured that the irrelevant and the data that may not be in use or of any advantage to the organization should be discarded. Ensuring that only up to date, and documents that have been revived and reviewed over period of time are existent in the network of operations in the organization, is the core function and duty of the control document administration and other personnel that are assigned the functions of monitoring the document control activities and processes. Floating the latest version of documents, and at the same time, checking that the previous versions are kept away is a primary function and a pre requisite that must be taken into account. Core purpose: The core purpose underpinned behind the control document is to bring about uniformity, control, management and positivity in the actions and delivery of the organization. It must not be directed in the manner to add to the overall activities of work load, rather make it easy in a combined way and create more comfort and ease with regard to various activities such as the ease of operations, financial aspects, costs consideration, technical skill and knowledge impartment, reduction of reliance on the manual methods and many more benefits which would otherwise not be possible if the control documentation procedures are not enacted. Scope definition: Defining the scope is an integral part of any function and any task that is being performed in the organization. The scope allows for defining of the boundaries and subsequently the consideration of the resources which may be incorporated and also the entities which ought to be avoided. Thereby, the scope definition is of high importance with regard to the control function. The scope definition allows for clear definition and demarcation of the dos and don’ts and at the same time allows for crafting of the strategies that are needed to be implemented in order to bring about a successful and collaborative control document system. I.S.O and document control: I.S.O is an internationally recognized and operative entity that ensures quality and standardization in working procedures of the various organizations with regard to quality. The document control is one of the functions that are being constantly stressed in their manifesto and in various standards, the document control procedures are being guided and instructed for the purpose of successful and quality entailed services. Collaboration between I.S.O and Control documents: Abiding by the I.S.O rules and regulations would in an indirect manner allow for constructing the control documents in such a way that are required and demanded of the organization. I.S.O specifies the guidelines for almost every angle of quality maintenance and control document is another method and procedure undertaken for ensuring the quality maintenance. Standards declaration: The control documents must be developed with the consideration of the international and standardized patterns that are in practice in the overall market and environment. The I.S.O 9001 (Calder, 33) manual and the Q.M.S (Robitaille, 23) is a direct guide in this regard and allows for the steps that must be taken, and in parallel allowing and instructing for refraining from the steps that must be avoided in order to ensure a quality enacted control document system. Document control considerations: Certain considerations must be taken in to account such as the size of organization, the staff inducted, the resources available the funding available, the auditing capacity and the availability of centralized data base system along with the software packages that may be afforded by the company, all these must be kept in view while conducting the control document procedural actions. Time line specification is also important and should be done so to ensure that the control procedures are met with in due time and without any major delays which would lead to lag in the overall activities and subsequently low throughput. The control procedure is like auditing, forecasting and budgeting function which can avoid no or little delays since it would lead to delays and overheads incurring in one way or the other. I.S.O 9001: I.S.O 9001 and its sub clauses in form of 9001:2008 provides instructions and guidelines in line with the quality management system Approving authority: A specially designated team and authority must be in place which looks into the matters subject to the quality control and documentation control. A properly envisaged system needs to be brought into force in order to make effective usage of the control document concept and thereby provide benefits to the organization. Document Management System: Many organizations engage properly devised management system for the document control. This system contains both the manual functions as well as the automated and computer generated operations, functions and services. This system is usually equipped with a database network supported by the contribution of information from the departments within, each providing the information and updates of activities as they take place. The advantages and purposes served by this system entail multiple benefits, it allows for the in time traversing and retrieval, official record keeping with no differences in view or record. The need for documentation: The purpose of documentation is multi fold, it not only allows for record keeping, but also for guidance, direction, correction, and improvements in longer run. It in another way allows the stakeholders to know about the company’s working, their aims and objectives, the procedures implied by them and numerous other entities and functions which are representative of the organization and serve as its representative function in the official and technically documented records and file systems. The document control also allows the personnel within the organization to work according to the charter and specified rules and regulations, further allowing them to follow a guideline and path that is deterministic of the quality, customers’ satisfaction and the expectations of the industry with regard to better services and products delivery. It allows for the information sharing as in what has been done, in what parameters and in what particular way against the functions that have been avoided in the given scenario; also the information about what has been prevented and avoided in terms of the processes and actions that may had been available as an option. Businesses are a day to day activities and functions that keep a fast pace, and thereby demand changes and developments at a fast pace, the control document is a recipe and item that ensures keeping up with the challenges and developments as they take place not only within the organization but outside as well and allows for embracing and keeping abreast with the challenges and obstacles that may come up with time and with new trends and technology in the surrounding market. Document control akin to management: Management is an integral part of any organization, and documentation and control can be loosely attached to the management since it allows for definition of the functions, processes, duties, tasks, history and record, and aims and objectives of the organization, thereby it can be termed as a managerial function at the same time. Management is about organization of the tasks, individuals and processes; the control document performs nearly the same function in a contained manner with relatively narrower scope restricted to one particular area of official operations. Control Document Preparation: The control documents preparation entail steps prior to their official publication and the phases of their development. The pre publication phases would include getting the approved from the major stakeholders, counter checking, evaluating the sections and cross checking them with the practical functions along with the comparison to the previous versions of the control documents that may have been generated by the incumbent organization in recent times. Getting approval from various sections is an important part which serves as the multiple scrutiny step and procedure and allows for better deliverance of the tasks at hand. Making sure that the changes recommended are realistic and practical and at the same time do not need holistic overhauling which may not be possible to implement and introduce in to the network and system. Verification of the list through the software is an additional option which may allow for better working and potential elimination of the errors that may have crept in during the document development (DINSMORE & BREWIN,61). Quality records: The quality records can be established in collaboration with the I.S.O standards, their approvals and recommendations. Based on the reports developed, the control documents generated and annual progress and annual benefits being delivered to the clients, stakeholders, government, environment, based on these factors and consideration, the quality records are being granted and approved through the administrative entity such as the centralized quality management system or the I.S.O specifications fulfillment. Internal audit is another procedure and option that may be used against a quality control service for ensuring effective check of functions and steps. Another dimension of the quality records step is the maintenance step and updating through the incremental steps that may be undertaken for the purpose of overall improvement in the organizational output. Flow charts: Flow charts may be used for purpose of record keeping and activities indication. The flow charts allow for incremental steps taking and clear definition and guidelines that must be taken into accord to ensure that all steps are taken. The advantage served by the flow charts is that visibility becomes prominent and no major steps may be missed in this manner. Issues of controlled document approval: the control document issuing may be done so in multiple ways, it can be done so through the by hand spreading in form of the hard form distribution, or it can be done so in the soft form such as via email, through the website download section or other online survey filling procedures and guidelines and instructions developmental steps and actions. The I.S.O 9001 standard provides descriptions and details of how the documents may be issued and brought about into force with regard to their publication and spreading. Other issues of control document may include deciding to discard the exact number of documents that are time barred and are no more needed. Making decision in this regard is vital and would need critical thinking and wise actions. Controlled Document List: The control document list contains various important sections; open ended questions are part of the list often, along with the manual components details. The list of standards incorporated, the validity of the standards, the time barring factor, scope definition and objectives are few of the components of the list that should be part of the controlled document list. The salient components of the list may include the following: Manual description: Policy definition: Instructions and guidelines: Operational resources, functions and activities intended: Deadlines mention: Structure of a control document: A given and standardized document of a given organization would contain all the pre requisites and functions that are part of a professional and fully equipped control document. The control document would contain the name of author, the tasks being supervised by the given author, the title section, the date of action, the signature, the place of activity and a particular department within the organization, approval or rejection section, the remarks section in case of any changes being recommended Table of content in the control document is a vital part which allows the readers and the observers to assess the functions as they have been undertaken and later on presented. Reference to the external documents used, the external resources being brought into force, all these are part of the table of content and should give detail of the functions as performed. This would make up for the first part of the control document which entails the activities and description of the individuals. The next part of the control document would include the details of activities such as revision of a particular action, the scheme of action being followed and implemented, the history of actions, procedures and processes being followed on given date and at a given place in the organization, sub headings highlighting the titles and sub sections, categorization of elements such as general to specific and the usage of devices, actions and tools against them. Q.M.S: Quality management system is an in direct way of keeping control and ensuring quality. Like document management system, the quality management system ensures achievement of the quality with regard to the tasks undertaken. Such a system provides support for maintaining the top quality and also keeping the low quality products at bay and ensures that non productive entities and functions may not hinder the operations in any way. Quality management system is the key and secret to ensuring quality within the organizational processes, the control documents may not stand functional and operative in absence of quality management system. Thereby Q.M.S serves as the pillar of support and direction for control documents. The quality management system, in line with the control document would allow for clear definition and addressing of various elements and components vital to be addressed prior to any practical action and step. These include the following questions and considerations: The manner in which the control document would work? The changes and updates in the control document with regard to the previous editions and versions that might have been operative in the organization? Evaluating the benefits being imparted through the control documents? Facilitating the control document functions and providing the necessary resources and functions for this purpose? Dealing with the previous set of orders, documents which do not add any value to the overall products and services and must be kept away from the presently existent setup of operations citing to the lack of productivity in case of their presence as the old versions may contain information, details and instructions that may not be of greater benefit to the organization in existing circumstances. Element of Communication: The control document may also serve as an agent of communication allowing for keeping a constant contact between the various entities and thereby removing any obstacle that may exist in the network due to lack of communication. Communication is of vital importance to any organization and any activity under taken. Its importance becomes multi fold in cases of control procedures, thus the control document may serve as an element towards ensuring communication. It may not be a direct and declarative form of communication, instead it would allow for knowing what has been achieved, and what has been left behind. Storage and retrieval section: The storage and retrieval section may include the previous files and records, although they may not be operational and in use, yet for record keeping purpose and developing new manuals and guidelines, these records are vital. Secondly the complaints received against a given order, or recommendations made against a given manual and control document may be contained in the storage and retrieval section. This storage can be done in the manual way in a designated part of the organization or in the software in case of the automated function. The software option can be used in case of the centralized data base that may be present in the organization. Presence of the centralized data base is highly vital since it allows for record keeping in an efficient manner. Use of softwares: The documentation process is not just limited to the manual record keeping and checking of tasks as per individual function, rather this can be done so through the use of dedicated software with pre defined functions and services. This is one of the gifts of technology that has enabled faster and easier documentation control methods through the use of centralized and uniform software. This software is fully equipped with the functions that would otherwise be done and performed through manual means. The advantages served by the software are multi fold. It comes into integration with the system and in case of a centralized data base presence in the organization, the processes become smooth, the second advantage served by them is the speed and pace with which the tasks are performed, a simple software may perform the calculations and retrieval process faster than many individuals may do so if combined. The final advantage served by the software application is the minimization of the errors that may occur. Since manual methods are most often prone to errors and lags in cases, the software works at a constant pace and making use of the computer and its fast pace, it allows for faster and reliable actions which may not be possible in case of manual functions and resources usage. Solutions: Risk Management: Mitigating the risk is a core function and aspect that must be part of the control documentation procedure. The risk management unit allows for preempting the functions and services which may pose threat in form of potential hazards. The time spent on the corrective actions can otherwise be spent on the development of functions and processes which may add value to the overall business endeavor undertaken. Risk mitigation can be performed through evaluating of the variables and scenario in parallel with the elements that may pose threats of various kinds. Further, assessing the entities and functions that add no or little value can also be highlighted in the process of risk management techniques and activities. General Pre requisites to Good Document control: A good control document should be elaborative, clearly defined, should be easily crafted with easy usage of language option along with the flow charts and clear directions that are easy to understand and comprehend. Other considerations that may be taken into account may include avoiding verbosity, inconsistency and lack of clarity for better understanding of the topics and subjects at hand. Keeping the words length minimal and according to the need is another general rule that may be applied to keep the overall text simple and easy to decipher for everyone including both the technical members and the non technical. Broad body wise segmentation of the control document: Manual : Procedures: Instructional sections: A generally developed control document would contain these three areas. The manual would provide details of the capabilities and functions, the procedures would provide an insight into the specialized working of the given organization, and the third part provides instructions and guidelines in light of the past working and the future challenges and conditions under which the organization must equip itself to working and delivering the performance based services to the clients in form of the stakeholders, government entities, customers. Hazard Mitigation: The control document is not just limited to the processes and tangible items, their success and productivity, rather they allow for clear definition of the paths and procedures which may not be obstructive in terms of the threats to the well being of the employees, clearly defining the procedures that may pose any threat to the personnel involved should be part of the control documents. In case of the hard hat areas and places of direct exposure to the heavy machinery, the control documents ought to provide description as to what should be done and what must be avoided with regard to practices in such places. Backup options and controls: Establishing alternatives, and working in a multi tier procedure allows for better working and minimal chances of mishaps, threats to the human safety and numerous other functions and steps. I.S.O and facilitation process: I.S.O the central and international entity for maintaining standard and quality ensures providing sufficient guidelines to the companies for purpose of meeting the challenges, and tasks in form of the control document. They provide expertise, tools techniques, guidelines, measures and funds for the purpose of meeting the requirements that come along the control document options. The failures: Control document serve as the litmus test and check over the activities, absence of it would lead to certain short comings in form of lack of evidence, check , support, scrutiny, direction, motivation, and numerous other functions and features that are made possible through the control document system. Keeping the confidential information away from the public eyes and making sure that the control document does not enlist any information which may be used against the organization is also one of the consideration and factor that must be taken into account while performing the task. It must be to the benefit of the organization and not against the organization. Cost consideration: Costs should be taken into account while dealing with the control document and it must be ensured that all resources, capital and budget is not being allocated into it for the purpose of future considerations. Keeping the budgets low, working in house and preparing the audit (Dacey, 525) and account a report with minimal usage of resources is the best solution in such scenarios. Costs are anything that do not add any value and create a burden over the financial sector of the organization, thereby the control procedures must be brought into force with due regard to cutting on the costs in any way possible and reducing the inventories and other non value items and phases to a minimum level. Conclusion: Documentation control is an added value procedure, it is part of the major organizations and their operations and it must be part of the organizations that have still not embraced this. The overall objectives of the document control are to maximize benefits, reduce slag and overheads and allow for maximum utilization of resources in a better and effective manner. Another dimension of the documentation control are ability to stand complaint with the international standards that are being under laid by entities such as I.S.O, Quality management systems, T.Q.M(Bagad, 23), Effective processes mechanism and other concepts that are existent and provide guidelines and directions for ensuring better outcomes from given resources. References: Bagad, V.S. Total Quality Management. Technical Publications, 2008. Calder, Alan. Information Security based on ISO 27001/ISO 27002 (english version): a management guide. Van Haren Publishing,, 2009. Dacey, Robert F. Federal Information System Controls Audit Manual (FISCAM). DIANE Publishing, 2010. DINSMORE, Paul C. and Jeannette CABANIS- BREWIN. The AMA Handbook of Project Management. AMACOM Div American Mgmt Assn, 2010. Professional, Paton and Craig Cochran. ISO 9001 in Plain English. Paton Professional, 2011. Robitaille, Denise. Document Control: A Simple Guide to Managing Documentation. Paton Professional, 2011. Read More