Document Control Audits and Best Practices

Introduction

This course shows you how to deal with papers in an electronic way to get rid of the papers hard copy which takes a lot of space and time. This 5-day course is a combination of the two back-to-back courses: Document Control (2 days) and Records Management (3 days). Records management today is a combination of many subjects, including retention, security, privacy, and governance of both data and information. It is the customer/user-facing side of managing information and is truly a change management and people (education) issue. With the introduction of new technology that enables us to communicate in many different and innovative ways, it is more important than ever that the documents, data, and information contained in your organization are properly managed. Many documents may need to be retained long after you have left the organization, and in some cases more than 50 years. Managing data throughout its life relies on effective people, processes, and technology.

This course is delivered through a 4-element framework that defines the purpose of document control and records management; discovers the rules that the work has to abide by; develops different methods and processes using new and existing technology; and delivers education and learning to co-workers and to those who will be responsible for ensuring that the documents are maintained throughout their life.

Objectives

By the end of the course, participants will be able to:

• Define the purpose behind document control and identify the goals for the document control processes and/or systems
• Define the purpose behind their records management program and identify deliverable goals for the organization
• Discover how to recognize both internal and external rules relating to document control and follow them in order to provide low risk and compliant processes
• Discover how to recognize risks and information management issues within the organization and understand how to bridge the gaps to provide low risk and compliant processes
• Develop different methods and processes using new and existing technology for managing document control data and information to help with change and understanding of the new ways of working
• Deliver document control and records management through education and learning among colleagues in order to achieve their organizations’ goals
• Apply document control process as well as practical solutions for creating, organizing, and maintaining documents.
• Define document accessibilities and identify the relationship between documents and records.  
• Specify document accessibilities and handle revisions and deviations.
• Write document control procedures.
• Control policies, procedures, specifications standard operating procedures (SOP), forms, and logbooks.
• Manage the documentation for material handling, maintenance, quality control, quality assurance, and production and validation functions.
• Compile the records inventory, specify the documents retention schedules and perform filling indexing.
• Manage/control documents, including folders and forms reduce document distribution costs –no more paper.
• Distribute and view documents costs –no more paper
• Scan, OC, index, and archive paper documents.
• Automate other office functions that involve workflows and electronic mail
• Address requirements of ISO 9000 and other regulatory agencies.
• Understand different technologies involved in EDMS
• Manage EDMS projects and justify ROI
• Get hands-on training on some EDMS products
• Evaluate merging standards

Training Methodology

This is an interactive course. There will be open question and answer sessions, regular group exercises and activities, videos, case studies, and presentations on best practices. Participants will have the opportunity to share with the facilitator and other participants what works well and not so well for them, as well as work on issues from their own organizations. The online course is conducted online using MS-Teams/ClickMeeting.

Who Should Attend?

The course is intended for those who are required to develop, manage or control technical documentation, including specifications, procedures, and standards. Also, this course is designed for professionals who are involved in any aspect of document control but have limited experience, as well as those involved in any aspect of records management and have ~2 or more years of experience. This includes document controllers, records managers, office managers, technicians, IT support professionals, in-house counsel, privacy officers, information security and protection managers, litigation and discovery staff, compliance officers, internal auditors, IT and enterprise content management professionals, and administrative assistants and supervisors.

Course Outline

Day 1: Document Control Introduction and Definition – Purpose and goals

• San Bruno case study
• Definition of document control
• Document control in different types of organizations
• The reasons you need to control documents
• The goals you have for your document control process​

Document Control Discovery – Risks and Rules

• The types of documents you control
• Documents coming from vendors and suppliers
• Rules, regulations, and risks
• Standards and specifications​

Day 2: Document Control Development – Processes, Policies, and Retention

• Processes and systems to control documents
• Managing conflict with enterprise business policies
• The length of time you need to keep documents, data and information​

Document Control Delivery – Educating for the Future

• Educating your co-workers and helping them understand document control
• Audit and compliance
• What the future holds​

Day 3: Records Management Definition – Purpose and goals

• Definition of records management
• Where it fits within the information governance framework
• Enterprise goals for managing data and information
• Matching goals to purpose and business strategy​

Records Management Discovery – Risks and Rules

• What you have and why you have it
• How information is used in the organization
• Identifying the risks​

Day 4: Records Management Development – Principles and Policies

• Managing digital data and information with paper records
• Creating the “dReaM” team to govern the records management processes
• Accessibility, availability, and retention of information
• Protection, security and sharing of information​

Day 5: Records Management Delivery – People and Educating for the Future

• Accountability – working with the business units to deliver governance
• Compliance and audit
• Technology and what the future holds