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FPM - H. R. Hicks
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Date Printed:_________________________ Verifier:__________________________
PURPOSE This procedure establishes a consistent approach for
managing controlled and uncontrolled documents.
This procedure interprets the requirements of
Oak Ridge National Laboratory (ORNL) Procedure IO-
201, "Document Control" and replaces the ORNL
Quality Assurance Procedure QA-L-6-100, "Document
Control."
Until revision, ORNL IO-201 will be a supplement to
this procedure.
APPLIES TO This procedure applies to documents created,
maintained, released, received, and distributed by ORNL
organizations, guest researchers, and ORNL
subcontractors. Vendor documentation that is
substituted for controlled procedures and used directly
to perform work is managed according to requirements of
this procedure.
OTHER ORNL Records Management procedures may be supplemented
DOCUMENTS by division, program, or operating document management
NEEDED procedures when necessary. Supplementary procedures
reflect ORNL requirements. Copies of supplementary
procedures will be sent to the ORNL Records manager
during first review.
WHAT TO DO A. Categorization
Originating Categorizes documents as controlled or uncontrolled.
Organization Documents that must be controlled include, but are not
limited to:
o Documents that define technical requirements of
safety or safety-related systems, structures, and
components
o Documents that provide instruction for operation
and/or maintenance of safety or safety-related
systems or equipment (e.g., procedural documents)
o Baseline documents associated with configuration
management facilities, systems, or activities
o Other documents based on the complexity, importance,
and risk associated with their related activities,
including drawings and instructions; licensing
requirements; manufacturing instructions; QA and
quality control manuals and plans; specifications;
and documents related to environment, safety, and
health
B. Management
NOTE: Line managers determine which alternatives apply
to uncontrolled documents.
Manages both categories of documents in accordance with
guidance provided in Appendix A, "Document Management
Matrix."
C. Documentation
Documents categorization and management decisions from
Subsections A and B.
RECORDS o Controlled Document List
o Controlled Document Transmittal/Receipt
o Distribution Lists for controlled documents
o Document control procedures or operating
instructions
REFERENCES o IO-201, "Document Control"
Approved by: [R. I. Van Hook]
Executive Vice President
Lockheed Martin Energy Research Corporation
APPENDIX A
Document management matrix
___________________________________________________________________________
Activity/responsible Controlled Uncontrolled
person documents documents
___________________________________________________________________________
Creation/ Ensure that document has Ensure that document
creator and sponsor unique identification, can be linked to
revision levels, and activity
page numbers including
total number of pages
Ensure that document is Ensure that document is
complete, legible, complete, legible,
accurate, technically accurate, technically
adequate, reproducible/ adequate, reproducible/
translatable (i.e., translatable (i.e.,
language and format), language and format),
and useable and useable
Review/
line manager Identifies reviewers Determines if review is
necessary
Creator and Ensure that document is Ensure that document is
sponsor reviewed by reviewers reviewed by reviewers
Ensure that review is Resolve comments
documented and that
comments are resolved
Approval/
line manager Identifies appropriate
approvals for documents
under his or her control
Creator and Obtain appropriate approval Obtain approvals as
sponsor necessary
Distribution/ Identifies document Identifies document
line manager recipients recipients
Releases document for
distribution
Distributor Distributes documents in Transmits documents to
accordance with Appendix B, listed recipients
"Distribution of Controlled
Documents"
Document holder Maintains documents in
accordance with Appendix B
of this procedure
Revision or change/
line manager With the exception of minor With the exception of
or editorial changes, minor or editorial
ensures that document changes, ensures that
revisions/changes are revisions/changes are
identified and have the identified and have
same review and approval the same review and
as the original document approval as the
original document
Distributor Distributes revised Distributes copies of
documents to original revised documents to
listed recipients in original listed
accordance with Appendix recipients
B of this procedure
Recall or
cancellation/
line manager Identifies individuals
authorized to recall or
cancel documents
Creator and Obtain approval for Obtain approval for
sponsor cancellation or recall cancellation or recall
(if needed)
Distributor Ensures that distributed Notifies distribution
copies of recalled or list of recalled or
canceled documents are canceled documents (if
returned or destroyed needed)
Ensures that record copy Ensures that record
is retained in accordance is retained in
with approved requirement accordance with
information documents approved requirement
information documents
**********
APPENDIX B
DISTRIBUTION OF CONTROLLED DOCUMENTS
WHAT TO DO A. Receiving Controlled Copies for Distribution
Distributor 1. Establishes a receipt review process to
(Distribution verify that controlled documents are:
Control Point)
o At the correct distribution control point
o Correspond to those listed on the
transmittal
o Legible or have been accepted for
legibility by the releasing creator or
sponsor
2. Resolves noted document deficiencies with the
releasing creator or sponsor before
distribution.
B. Distributing Controlled Copies
Distributor 1. Updates master copy, or equivalent, upon
(Distribution acceptance of document.
Control Point)
2. Maintains distribution lists with current
holder assignment and location.
NOTE: Documents without proper identification are
"uncontrolled" or "information only" copies.
3. Identifies controlled documents clearly by
one of these methods:
o Colored stickers or stamps on the spine or
elsewhere on the copy
o Numbers on the spine or elsewhere on the
copy
o Means that do not conflict with
existing security markings or colors
that appear elsewhere on the copy or
spine.
4. Submits the original of the controlled
document to the designated approved storage
location.
5. Distributes controlled documents according to
the distribution list.
6. Uses a transmittal that requires receipt
acknowledgement by the controlled document
holder and where necessary provides clear
instructions for the insertion and removal of
transmitted material.
7. Follows up on receipt acknowledgement
transmittals not returned within the required
time.
8. If follow-ups with appropriate management do
not result in proper maintenance of controlled
documents, then decontrols documents by
removing control identification from the
document and document holder by (1) removing
document holder from the distribution list,
and (2) informing the document holder of
the action taken.
C. Maintaining Controlled Documents
Controlled 1. Updates controlled document holdings in
Document Holder accordance with directions from the
distribution control point.
2. Removes and discards all superseded or voided
documents as directed by the distribution
control point.
3. Signs and returns receipt acknowledgement
within the specified time.
4. Notifies the distribution control point of
changes in the controlled document assignment
or location.
5. Notifies the distribution control point of
lost, damaged, or destroyed controlled
documents.
6. Returns lost documents that reappear to the
distribution control point.
7. Implements a system to account for and locate
controlled documents removed from assigned
location.
8. Maintains consistent, accurate indices to
identify controlled documents, current
revision level, and any related temporary
change through a manual or automated system
readily available to all users.
9. Maintains under access control master copies
of controlled documents as a means to confirm
content and revision level.
D. Maintaining Controlled Documents on Electronic
Media
Creator 1. Generates, revises, and releases electronic
and Sponsor controlled documents using the same control
elements as the record copy of controlled
documents.
2. Keeps electronic documents current.
E. Maintaining Originals of Controlled Documents Used
for Revisions
Distributor 1. Control originals of paper or electronic
(Distribution documents used for revisions of controlled
Control Point) documents.
2. Establish access and administrative controls
to protect documents from loss or
unauthorized changes.
3. Maintain accountability for paper originals
removed from the files (if applicable).
4. Establish time frames for checkouts (if
applicable).
5. Follow up on originals not returned within
the specified time (if applicable).
***********
APPENDIX C
DOCUMENT MANAGEMENT GLOSSARY
Baseline Documents--information that depicts the status of a component,
system, or structure including, but not limited to, drawings, procedures,
and specifications.
Controlled Document/Manual--any document for which distribution and status
are to be kept current by the issuer to ensure that authorized holders or
users have available the most up-to-date version.
Distribution Control Point--the organization/individual designated by the
line manager as responsible for the controlled distribution of particular
documents.
Distribution List--a list of recipients for documents. List includes names
and addresses.
Document Management--the application of systematic control for the
creation, revision, release, distribution, and file maintenance of
documents.
Document Sponsor--the organization/individual assigned to be responsible
for the development and continued maintenance of a document.
Information Only Copy--a copy of a document.
Master Copy--the latest revision of the document/manual used by the
distribution control point for reproduction, distribution, and reference.
Record Copy--see ORNL Procedure X-AD-7, "ORNL Records Management," Appendix
A.
Uncontrolled Copy/Document--a document managed in accordance with the value
of the information.
Vendor Documentation--technical information supplied by equipment
manufacturers, covering installation, operation, and maintenance of the
equipment. This information also includes drawings, parts lists, and other
information in the manual.
PIC - J. G. Stewart
FPM - H. R. Hicks
Directives Coordinator
Directives Home
ORNL Internal Home
Search the ORNL/LMES Web
http://www-internal.ornl.gov/ORNL/directives/data/800140000088.html
Updated: Tuesday, 11-Feb-97 15:59:48 EST(npn)