ISO 9001-2008 PROCESS OWNER

PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
Managing Director
Control of Documents ISO_4-23 Final Draft 01/23/09

Purpose / Scope:
Purpose: The purpose of this procedure is to define the requirements for document
control to assure that quality-related documents affecting work activities show evidence
of review and approval by authorized personnel prior to issuing new or revised
documentation.

Scope: The quality requirements in this section apply to the control of distribution,
copies, and locations of documents and forms managed by WCRC.

Documents - Refers to policies, procedures, standards and regulations, or work

instructions identified to meet ISO compliance related to our business system.
Documents may be in paper or electronic form.

Forms (Records) – Refers to pre-defined documents used for recording

information or data from production and other transactions related to the support
of our business system. Completed forms may become records.

This procedure does not apply to Federal or State statues, administrative rules or work
instructions and departmental directives which define specific departmental tasks.

Responsibility:
The Information Technology managing staff is responsible for assuring the control of our
business system documentation including establishing document controls for specific
projects when applicable.

All personnel are responsible for adhering to this procedure to assure that controlled
documents are appropriately used, updated, and distributed in accordance to this
procedure.

ISO 9001:2008 Reference: 4.2.3 - Control of Documents

Procedure:

1.0 WCRC employees may initiate requests for a new or revised document.
Requests are forwarded to the Departmental Director.

2.0 To ensure that technical and quality requirements are sufficiently, clearly, and
accurately stated, each request will be reviewed and approved prior to release by
the Departmental Director as appropriate depending upon the content and nature
of the request.

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3.0 A draft document is created for review and approval by the Managing Director,
and/or Departmental Director as appropriate. If this is a revision, a copy is also
given to the originator for review to assure that the content accurately reflects the
intent of the originator’s document.

4.0 If the draft is not approved, the draft is sent back to the requester with an
explanation of the necessary changes to allow approval.

5.0 If the draft is approved as confirmed on the Document Approval Form FM_4-001,
the Information Technology management staff will assign a document control
number (DCN) in accordance with the WCRC Document Numbering system
(Appendix “A”).

6.0 Upon issuance of a document control number, the Information Technology

management staff will add the document into the appropriate WCRC Electronic
Documentation Standards and template format (Appendix “B”). The electronic
document file will be named in accordance with the electronic documentation
standards. Evidence of review and approval is indicated in the APPROVAL field
in the header of the document.

7.0 The Information Technology management staff is responsible for updating the
Master Documents Revision History form FM_4-002 to include new documents
as well as update the revision history. The documents revision history includes
the current document name, number and revision, the number of controlled
copies that exist, and where they are located.

8.0 The Departmental Director will coordinate appropriate security levels required for
network access to the document(s) with Information Technology. The
Information Technology management staff will store the document for electronic
access as necessary including security controls to ensure that only authorized
persons can make changes. All previous versions of the controlled document
(both electronic and hard copy) will be destroyed and replaced by the new
revised master controlled document.

9.0 The Departmental Director will ensure that interested parties are notified of all
approved documents and network location of the master electronic controlled
version. Any required hard copy documents are distributed according to an
established distribution list (see Table 1; Appendix “C”) to ensure availability at
the location where the activity will be performed prior to commencement of work.
The change is communicated by posting a Change Notification form (FM_4-003)
communicating that a change has occurred, the nature of the change, and the
date it is effective.
10.0 The Information Technology management staff will work with the WCRC Web
Master prior to publication to ensure that the electronic document functions
correctly within the WCRC electronic publication system, including all hyperlinks
to other documents and Web pages. The WCRC Web Master will post any
public interest documentation to the WCRC web site on the specified publication
date upon receipt of the signed Authorization for Publication of Documentation
FM_4-004.

11.0 If archived documents are retained, they should be retained electronically in the
“Archived Document” folder located within WCRC’s \FileStorage and listed on the
Archived Document Form FM_4-005. When paper copies of archived documents
are retained for historic purposes they are stored in the administrative file
cabinets located in Area C-139 or in the administrative vault area.

12.0 Certain documents may be sent to the WCRC from outside sources (e.g.,
townships, subcontractors, etc.). External documents that require control will be
documented on the Master List of External Documentation Form FM_4-006
maintained by the Information Technology management staff.

13.0 The WCRC Information Technology management staff has primary responsibility
for maintaining control of WCRC business system documents in accordance with
this procedure. Table 2 (Appendix “D”) summarizes the responsibilities and
authorities of key participants in this document control procedure. Document
control tracking form FM_4-007 has been provided if desired; however this is not
a procedural requirement.

14.0 References - Listing of documents cited in this procedure

14.0.1 Document Numbering System (Appendix A)
14.0.2 Document Standards (Appendix B)
14.0.3 Table 1 - Hard Copy Distribution List (Appendix C)
14.0.4 Table 2 - Authority of Key Participation (Appendix D)
14.0.5 Procedure Flow Diagram (Appendix E)

15.0 Forms - Listing of forms cited in this procedure

15.0.1 Master Document Revision History Form FM_4-001
15.0.2 Master List of External Documentation Form FM_4-002
15.0.3 Archived Document Form FM_4-003
15.0.4 Document Approval Form FM_4-004
15.0.5 Document Change Notification Form FM_4-005
15.0.6 Authorization for Publication of Documentation FM_4-006
15.0.7 Document Control Tracking Form (not required; for employee’s use
only) FM_4-007
 APPENDIX “A”
Document Numbering System

The WCRC uses the following numbering system to uniquely identify its controlled
documents.

Archived ARC-xxx where xxx is a sequential number starting with 001 for
Archived Board approved policies which have been rescinded or
replaced by another policy other than updates to the original

Benefits BN-xxx where xxx is a sequential number starting with 001 for
employee benefits offered to the organization

Forms/Records FM-XXXxx where XXX is the department abbreviation (see

Table 5 in 4.2.4 Document Control) and xx is a sequential
number starting with 01 for forms relating to each section.

Policies ADM-xxx where xxx is a sequential number starting with 001 for
Administrative Board approved policies

EG-xxx where xxx is a sequential number starting with 001 for

Engineering Board approved policies

FN-xxx where xxx is a sequential number starting with 001 for

Finance Board approved policies

HR-xxx where xxx is a sequential number starting with 001for

Human Resources Board approved policies

OP-xxx where xxx is a sequential number starting with 001 for

Operations Board approved policies

Procedures IO-xxx where xxx is a sequential number starting with 001 for
interoffice procedures

ISO_X-xx where X corresponds to the related ISO 9001:2008

section and xx relates to the sub-section number.

Standards & SR-xxx where xxx is a sequential number starting with 001 for
Regulations state and organizational work mandated procedures
 APPENDIX “B”
WCRC Document Standards

ISO Procedures and Processes, WCRC Policies, Interoffice Procedures, Standards and
Job Descriptions shall include a consistent template (Title Block) as illustrated in the
above page header template and formatted utilizing the header feature, with slight
modification as previously established such as the inclusion of resolution numbers or
WCRC policy numbers. Specific header templates for each of the above are stored
electronically in the File Storage server under the subfolder \POLICY &
PROCEDURES\Policy Template.

Above mentioned procedures, policies, etc will utilize an Arial Font. The Title Block
Application and Title information uses a 10 pt, with resolution, document numbers and
dates at 8 pt. The body of all documents utilizes a block style with a 12 pt font. Policies
and Interoffice Procedures alignment is a full justification, ISO Procedures are left
justified. Top, right, and left margins shall be at 1.0 with bottom margins at 0.75.

All Policies shall begin with “Intent” and may also include additional sections such as
Policy, Acceptable Use, Definitions, and Violations. Interoffice Procedures shall begin
with “Directive” and may also include additional sections such as Information and
Procedures. ISO Procedures shall begin with “Purpose / Scope” and will also include
Responsibility, ISO Reference and Procedure respectably.

Sections names for Policies and Interoffice Procedures should be all capped, bolded
without underline, period or colon. Section names for ISO Procedures are titled, bolded
and utilize a colon. Sections are not “Bulleted”; other items under main sections would
be numbered using a decimal numeric sequence as indicated below:

1.0 <main instruction or procedure steps>

1.1 <sub-steps>
1.2 etc.
 No.
Doc
Document Name
Administration

Construction
APPENDIX “C”

Engineering
Hard Copy Distribution List

Table 1 – Hard Copy Distribution List

Finance

Human Resources

Information Technology

Operations

Project Development

Permits & Subdivisions

Traffic & Safety

 APPENDIX “D”
Authority of Key Participation

Human Resource Personnel

ManagerI.T. / Document Control

Pertinent Personnel

Web Master
Managing Director

Department Director

Section Supervisor
Initiating Personnel
Step Procedure Step

1.0 Employee initiates request P RI

2.0 Departmental Director review and approval P A
3.0 Draft document (or revision) created for review and N RA RI P
approval by Departmental and/or Managing Director
4.0 Not Approved: returned to requester with explanation S N
5.0 Approved: Document Control number (DCN) P
assigned by Information Technology
6.0 Document formatted and named according to A RA S P
approved standards by Information Technology.
7.0 Master Document Revision History updated by P N
Information Technology
8.0 Required security levels coordinated through
Departmental Director and Information Technology. P A N N
Previous version of controlled documents destroyed
and replaced by new
9.0 Change is communicated through Change
Notification form (FM_4-003). Appropriate personnel P N A N
notified of availability
10.0 WCRC Webmaster post public interest documents to P S
website
11.0 Obsolete Documents requiring retention stored
electronically in Networks “File Storage” archive P A
folder
12.0 External Documents: Recorded in Master List of P A
External Documents when control is required
Table 2 – Authority of Key Participants

Legend:
P = Primary responsibility RA = Review and Approve
A = Assist N = Notify
RI = Review to provide Input S = Submit final output to this person
 ISO 9001-2008 PROCESS OWNER
PROCEDURE Information Technology Management

PROCEDURE TITLE: DOCUMENT REVISION REVISION Approval:

NUMBER: LEVEL: DATE:
Managing Director
Control of Documents ISO_4-23 Final Draft 01/23/09

APPENDIX “E”

Procedure Flow Diagram

 MASTER DOCUMENT REVISION HISTORY

No. of Location
DCN Rvsn
Document Name Cntrld of Master Document
No. Date
Copies
Board Action Administration
Board Consent Administration
Corrective Action Reports Administration
Manager’s Board Report Administration
Daily time sheets Engineering Project Files
Daily work sheets Engineering Project Files
Device Calibration record Engineering
Device maintenance and repair record Engineering
Field Manager Files Engineering
Final Plans Engineering
Inspection and test records Engineering Project Files
Permit-to-Place records Engineering Project Files
Project Data Worksheet Engineering
Project Files (paper copy) Engineering
Project Plans Engineering
Project Punch Lists Engineering
Employee performance files H. R.
Regulatory Audit Reports H.R.
MDOT, MIOSHA, EPA, MDEQ
Safety Training Records H.R.
Training Records H. R.
Information Technology System I.T. Server Room
Maintenance Records
Internal Audit Plans Internal Audit File – ISO
Management
Internal Audit Reports Internal Audit File – ISO
Management
Internal Audit Results data base Internal Audit File – ISO
Management
Internal Audit Schedule Internal Audit File – ISO
Management

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 No. of Location
DCN Rvsn
Document Name Cntrld of Master Document
No. Date
Copies
Building Maintenance and Repair records Operations
Change Order records Operations – Project Files
Daily inspection reports Operations – Project Files
Daily time sheets Operations – Project Files
Daily work sheets Operations – Project Files
Facilities Maintenance and Repair records Operations – Room 017
((Basement Vault); File
Cabinets Area D-112b
Fleet Maintenance and Repair records Operations – Strkpr Office
Electronic: Precision DB
Inspection and test records Operations – Project Files
Permit to Place records Operations – Project Files
Project plans Operations
Project Punch Lists Operations
Vehicle Maintenance and Repair records Operations
 MASTER LIST OF EXTERNAL DOCUMENTATION

No. of Location
Rvsn
Document Name Cntrld of Master Document
Date
Copies
MDOT LAP Program Applications Engineering
Change Order records Engineering
Daily inspection reports Engineering Project Files
MDOT LAP Planning Guide Engineering
Approved LAP Program Applications Engineering
 ARCHIVED DOCUMENT LISTING

Doc. Archived Document Name Date of Physical / Electronic

No. Archival Archived Location
Board Minutes / Agendas
Permits
Vouchers – FIN
Purchase Orders - FIN
 DOCUMENT APPROVAL FORM

DCN: TITLE:

Responsible
Person: <SIGNATURE>
<TYPED NAME, POSITION>

<DATE>

Reviewed By: <SIGNATURE>

<TYPED NAME, POSITION>

<DATE>

APPROVED BY: <SIGNATURE>

<TYPED NAME, POSITION>

<DATE>

EFFECTIVE DATE: <DATE>

 DOCUMENT CHANGE NOTIFICATION FORM

Check one: New Document Title:

Existing Document Title:

DCN:

Responsible Person:

Reason for Change:

Responsible Person assigned for this change:

Approvals:

Date:
<Typed name, position>

Date:
<Typed name, position>

Document Control:

DCN assigned/verified (enter number):

Responsible person notified regarding document control procedure and document

format standards (initials):

Responsible Person Doc Control Mgr

 DOCUMENT PUBLICATION AUTHORIZATION RECORD

DCN:

Document Title:

Revision Number:

Electronic document file name:

Electronic document file location:

Electronic document file version:

Publication date:

Authorization signature:

Document Control Manager Date

Receipt Acknowledgment:

WCRC Web Master Date

 DOCUMENT CONTROL TRACKING FORM

DCN: Responsible Person:

Document Title:

Step Date Initials Description

1.0

2.0

3.0

4.0

5.0

6.0

7.0

8.0

9.0

10.0

11.0

12.0

13.0