Document Control and Records Management (SQ806)

This 2-day course teaches the practitioner the principles of document control and records management, setting up and techniques of document control and develops the requirements to help the document controller and adminstration staff in the control of critical documents across the organisation. Best practices and latest industry developments will also be shared.

The trainer will help the course participant develop and implement key document control methods and improvement plans, and understand the impact of wider information management issues within the organization and the project team.

The course participants will be introduced to the use of data quality control, quality assurance and audit procedures. It will also highlight the different types of risks facing regulated industries and provide guidance on mitigating those risks though effective document control. The importance of information, why it is difficult to manage and the constraints and benefits of improving management of the information, will be described and explained. Approaches and techniques to improve management of documents and records are explained, with practical exercises helping reinforce the concepts. The participants will learn the proper ways to develop and implement document and records management within an organization and a project.

The trainer will utilise his more than 25 years industry experience in projects and production activities and document control, quality management and QAQC to teach the above document control and records management techniques and share his past work experiences in documents control and records management.

This is a Foundational to Intermediate level course.

• Engineering, operations, construction and admin teams encounter varying levels of risk and uncertainty. If risks are not adequately contained, recorded and the right SOPs and document/records management system is not in place, both corporate financial margins and reputation can be jeorpardised. Good documentation and records management is required for every well-run facility, plant, factory or project. Records are indispensable for daily operations, manufacturing and production activities. Accurate and reliable records are needed for identification and evidence of business transactions, for the purpose of adminisatration, engineering, manufacturing, assembly and construction. Organizations that lack skills or tools in this area expose themselves to poor administration, inefficient manufacturing and production, increased risk of claims, disputes and litigation, and especially time and budget over-run in projects.
• Document controllers are relied upon by project teams to manage the sharing, accessing, filing, storing, coordinating and retrieving of project information. Inefficiencies in these documentation and records processes are not only costly in terms of lost time, but also leave organizations exposed to risks of errors. The inability to find a necessary document, the misplacement of orders, the inefficient production, operation or manufacturing, or the misfiling of an important document will lead to a waste of time and money, as well as customer dissatisfaction or loss of orders.

What You Will Learn

• Review how projects, manufacturing facilities, plants, factories and organizations processes require document control for their key deliverables
• Learn how to effectively manage documents and records
• Learn key techniques and approaches to organizing and managing your documents and records.
• Recognise the challenges and risks faced by document controllers in regulated industries where requirements are more stringent
• Identify the key components required to implement an effective document and records control system 
• Acquire practical tools and techniques to start your own document control improvement plan
• Enable the accuracy of data through the use of data quality control, quality assurance and audit procedures
• Discuss the most common reasons for poor document control and how to improve the process
• Become familiar with international standards on document control and records keeping
• Examine selected case studies to understand how poor document control contributes to project failures and accidents
• Learn how to control non-document personnel on their deliverables 

Prerequisite

• Course participants are required to have at least a few years work experience in projects or corporate management, preferably in a document control, quality mangement, QAQC or records management role.

Course Methodology

• This course/workshop is very practical and relevant as it introduces a number of methods and techniques that could form the basis of the participants' own document control activities. It also provides case histories and access to the experience of the trainer in this field. Participants will gain knowledge and practical application of document control and records management that can be applied in their workplace. In particular, the deliverable for a project or operation of a manufacturing facility or assembly line is the final document.
• The course is a mixture of lecture and exercises, helping the attendees to practice and apply the knowledge. It has been designed to enable all participants leave the training with a set of new knowledge, tools, skills and direct experience of how to implement an effective document control and records system in a real company and project setting.

There will also be pre-course and post-course assessments.

Day 1

• Pre-course assessment
• Participants expectations and course objectives

Key Elements of Document and Records Management

• Introduce document and records management
• Business case and drivers
• Business requirements for managing document and records
• Managing information as an asset
• Document Control references in ISO and OSHAS
• Definition of Documents and Records
• Various terminology
• Difference between Documents and Records
• Documents needed e.g. for ISO 9001, ISO 14001, ISO 15489 and OHSAS 18001
• Document and records management strategies
• Effective document control methods
• Information governance
• Case studies

Concepts of Document Control and Records Management

• Document and records lifecycle
• Capture and storage management
• Storage and handling
• Preservation and archiving
• Metadata and indexing
• Classification schemes
• Searching and retrieving using web-based cloud computing
• Controls, availability and security
• Legislation, standards and regulation
• Case studies

Day 2

Process of Document Control and Records Management

• Information gathering - audit and survey
• Building a business case
• Business requirements
• ISO 15489 Part 1 requirements, procedures and guidelines
• Business classification scheme
• IT infrastructure details ֠internet-based
• Model office and rollout
• Planning for implementing document control and records management
• Implementation planning, including using secured cloud computing
• ISO 15489 Part 2 design, implementation and administration
• Information audit and monitoring compliance
• Project and programme planning

Implementing An Effective Document Control and Records Management System

• Introduction to filing & records management
• Master list for documents ֠approved Table Of Contents
• Files classification methods
• Document numbering system
• Accessing documents and access rights
• Updating documents
• Distribution and transfer of documents
• Control of obsolete documents
• How to choose proper filing equipment
• Preventing non-conformities issued against ISO 9001, ISO 14001, ISO 15489 and OHSAS 18001.