Procedure for the Control of Documents
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Procedure for the Control of Documents
Document Reference: ITSM01004 Version: 1.0 Draft 1 Document Author: Document Owner:
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Procedure for the Control of Documents
Revision History Version
Date
RFC Number
Summary of Changes
Document Review Date of Next Scheduled Review
Distribution Name
Title
Approval Name
Position
Signature
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Date
Procedure for the Control of Documents
Contents 1
INTRODUCTION......................................................................................................................... 4
2
CREATION OF DOCUMENTS ...................................................................................................... 4 2.1 2.2 2.3
NAMING CONVENTION ..................................................................................................................... 4 VERSION CONTROL .......................................................................................................................... 5 STATUS ......................................................................................................................................... 5
3
DOCUMENT REVIEW ................................................................................................................. 6
4
DOCUMENT APPROVAL ............................................................................................................ 6
5
MAINTENANCE OF DOCUMENTS ............................................................................................... 7
6
DISPOSAL OF DOCUMENTS ....................................................................................................... 7
7
DOCUMENTS OF EXTERNAL ORIGIN .......................................................................................... 8
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Procedure for the Control of Documents
1 Introduction The ISO/IEC 20000 standard requires that all documents that make up the Service Management System (SMS) must be controlled. The general principles are that all service management documentation must be:
Readily identifiable and available Dated, and authorised by a designated person Legible and readable Maintained under version control and available to all locations where service management activities are performed Promptly withdrawn when obsolete and retained in/as an archive where required for legal or knowledge preservation purposes, or both This procedure sets out how this level of control will be achieved within [Organisation Name].
2 Creation of Documents The creation of documents will be at the request of the [IT Department] management team and may be done by any competent individual appropriate to the subject and level of the document. However there are a number of rules that must be followed when creating a document to be used in the SMS. 2.1
Naming Convention
In order to provide consistency of approach and version control, the following naming convention should be used for all Service Management documentation within [IT Department], including strategies, plans, policies, processes and procedures: ITSMxxxxx Document Title V1R0 Draft x Where ITSM = IT Service Management xxxxx = 5 digit unique document number Document Title = Meaningful description V1R0 = Version 1 Release 0 Draft = status of document X = Number of draft A 5 digit unique number will be allocated for each document and an index of references maintained within the Service Management Quality System. See the IT Service Management Documentation Log (document reference ITSM01008) for more details. Page 4 of 8
Procedure for the Control of Documents
No fixed format is prescribed for records and logs as these will often be determined by other systems and software. Where possible the name of a log or record should be self-explanatory and meaningful in the context of its use. See the Procedure for the Control of Records (document reference ITSM01005) for more detail. 2.2
Version Control
Document version numbers will consist of a major and a minor number e.g. 2.1 is Version 2 Release 1. When a document is created for the first time it will have a version number of 1.0 and be in a status of Draft. Each time a draft is distributed, any further changes will result in the draft number being incremented by 1 e.g. from 1 to 2 For example when a document is first created it will be Version 1.0 Draft 1. A second draft will be V1.0 Draft 2 etc. When the document is approved it will become V1.0 Final. The major number will be incremented when a subsequent version is published and when significant changes have been made. The minor number will be incremented when small changes have been made. For example a major revision of an approved document which is at V1.0 Final will be V2.0 Draft 1 then V2.0 Draft 2 etc. until approved when it will become V2.0 Final. The document must include a revision history as follows: Revision History Version
Date
RFC Number
Summary of Changes
Once the document reaches its final version, only approved versions should be recorded in this table. 2.3
Status
The status reflects the stage that the document is at as follows: Draft = Document under development and discussion i.e. it has not been approved Final = Following acceptance at approval board and released into live work environment Page 5 of 8
Procedure for the Control of Documents
3 Document Review Draft documents will be reviewed by a level and number of staff appropriate to the document content and subject. Guidelines are as follows: Document Type Strategy Policy Procedure Plan
Reviewers
Scheduled review information should be recorded as follows: Date of Next Scheduled Review
Once approved, the date of next scheduled review should also be recorded in the IT Service Management Documentation Log (document reference ITSM01008). A distribution list will be included as follows: Distribution Name
Title
This list must be accurate as it will be used as the basis for informing users of the document that a new version is now available.
4 Document Approval All documentation must go through an approval board to ensure that it is correct, fit for purpose and produced within local documentation control guidelines. The board will differ dependent upon the type of documentation and may go to numerous groups prior to being approved as a Final document.
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Procedure for the Control of Documents
In standard terms, approval boards are: Document Type Strategy Policy Procedure Plan
Approvers
Each document that requires approval should have a table for the purpose as shown below: Approval Name
Position
Signature
Date
Once approved a copy of the document must be printed and signed by the approver. This copy will then be retained in a central file. Upon approval of a new version of a document, all holders of previous versions will be instructed to obtain a new version and destroy the old one.
5 Maintenance of Documents All final documents must be stored electronically and in paper format both locally and off-site to ensure that they are accessible in any given situation. Service Management documents are stored electronically on the shared drive under the relevant sub-folder (e.g. IT Service Continuity, Incident Management etc.). The drive is a shared drive to which all members of the [IT Department] have access. Final documents are stored in paper format in a filing structure that mimics the electronic version. [State the location of the paper files]. A full copy of final documentation will be reproduced and stored within the Definitive Media Library.
6 Disposal of Documents Approved documents exceeding their useful life are stored in a Superseded Folder on the shared drive in order to form an audit trail of document development. They should be marked as being superseded in order to prevent them being used as a latest version by mistake.
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Procedure for the Control of Documents
Paper copies of approved documents that have been superseded are to be disposed of in secure bins or shredded.
7 Documents of External Origin Documents that originate outside of the organisation but form part of the SMS will be allocated a reference and a header page attached at the front of the document, setting out information that is normally included in internal documents i.e.:
Document reference Version Status Distribution Storage location
Such documents will then be subject to the same controls as those that originate internally.
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