Controlled documents

A controlled document records its title, version, effective date, attachment and status. Draft, Review, Approved and Obsolete distinguish the document’s place in its lifecycle. A training acknowledgment links a person to the document version and records when that person acknowledged it. The record helps the team see which version each person received.

• Identify the version. Admin records title, version, effective date and the document attachment.
• Review the document. Admin checks the file before recording an Approved status for that version.
• Record receipt. Link each person’s dated acknowledgment to the exact controlled document they received.

Agree who prepares a new version and who approves it. Use a version label that people can recognize when a later version replaces it. The effective date should be chosen deliberately; the acknowledgment should refer to the intended controlled document rather than a separate copy. Auditors can use the document and acknowledgment records when reviewing evidence.

Admin should compare the attached file with the title and version before recording approval. Record a separate acknowledgment for each person and document version. Auditor can then open a version and see who acknowledged it and when. Before marking an older version Obsolete, check that acknowledgments still point to the version the person actually received.

Create a new version of a procedure with a title, version, attachment and effective date. Place it in Review and have the responsible person check the document before approval. Record an acknowledgment for a named person. Later, mark the older version Obsolete and confirm that its earlier acknowledgment still points to that version rather than the replacement.

Ask the person receiving the work to open the record without extra explanation. They should be able to tell what the current state means, which evidence supports it, and what decision they are expected to make. If they cannot, revise the entry and repeat the handoff with the same case.

For a replacement procedure, create a new document record with its own version and attachment. Keep the earlier record for its prior acknowledgments. When Auditor reviews a person’s receipt, the document reference should lead to the exact version acknowledged; the date alone cannot tell them which file the person saw.

• Documents under review — Reviewers can see document versions awaiting a decision.
• Draft documents for review — Admin can find versions before they enter Review.

See the related process for the handoff, decision and rehearsal. Review roles before granting access and the data model when preparing records.