@saibolla/ada 0.1.2

package/skills/iso-13485-certification/assets/templates/procedures/document-control-procedure-template.md

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+# Document Control Procedure Template
+
+**Document Number:** SOP-4.2.4-001
+**Title:** Control of Documents
+**Revision:** 00
+**Effective Date:** [DATE]
+**Page:** 1 of [X]
+
+---
+
+## DOCUMENT CONTROL
+
+### Approval Signatures
+
+| Role | Name | Signature | Date |
+|------|------|-----------|------|
+| Author | [NAME] | | [DATE] |
+| Reviewer | [NAME] | | [DATE] |
+| Approver (Quality Manager) | [NAME] | | [DATE] |
+
+### Revision History
+
+| Revision | Date | Description of Changes | Approved By |
+|----------|------|------------------------|-------------|
+| 00 | [DATE] | Initial release | [NAME] |
+|  |  |  |  |
+
+---
+
+## TABLE OF CONTENTS
+
+1. [Purpose](#1-purpose)
+2. [Scope](#2-scope)
+3. [Definitions](#3-definitions)
+4. [Responsibilities](#4-responsibilities)
+5. [Procedure](#5-procedure)
+   - 5.1 [Document Types and Hierarchy](#51-document-types-and-hierarchy)
+   - 5.2 [Document Numbering System](#52-document-numbering-system)
+   - 5.3 [Document Creation](#53-document-creation)
+   - 5.4 [Document Review and Approval](#54-document-review-and-approval)
+   - 5.5 [Document Distribution and Access](#55-document-distribution-and-access)
+   - 5.6 [Document Changes](#56-document-changes)
+   - 5.7 [Control of Obsolete Documents](#57-control-of-obsolete-documents)
+   - 5.8 [Control of External Documents](#58-control-of-external-documents)
+6. [Records](#6-records)
+7. [References](#7-references)
+8. [Attachments](#8-attachments)
+
+---
+
+## 1. PURPOSE
+
+This procedure establishes requirements for the control of documents within the Quality Management System to ensure:
+
+- Documents are approved before use
+- Documents are reviewed, updated, and re-approved as necessary
+- Changes and current revision status are identified
+- Relevant versions of documents are available at points of use
+- Documents remain legible and readily identifiable
+- External documents are identified and controlled
+- Obsolete documents are prevented from unintended use
+- Obsolete documents are appropriately identified if retained
+
+This procedure ensures compliance with ISO 13485:2016 Clause 4.2.4.
+
+---
+
+## 2. SCOPE
+
+This procedure applies to all controlled documents within the Quality Management System, including but not limited to:
+
+- Quality Manual
+- Standard Operating Procedures (SOPs)
+- Work Instructions (WIs)
+- Forms and templates
+- Medical Device Files
+- Design and Development documents
+- Risk management documents
+- Validation and verification protocols and reports
+- Specifications (product, process, test methods, materials)
+- Drawings and schematics
+- Labels and instructions for use
+- External documents (standards, regulations, customer specifications)
+
+This procedure does NOT apply to:
+- Records (controlled per SOP-[NUMBER] Control of Records)
+- Transient documents (emails, meeting notes not part of QMS)
+- Marketing and sales materials (unless affecting product quality or regulatory compliance)
+
+---
+
+## 3. DEFINITIONS
+
+| Term | Definition |
+|------|------------|
+| **Controlled Document** | A document that is subject to review, approval, distribution control, and change management per this procedure |
+| **Master Document** | The official controlled copy maintained by Document Control, from which all distributed copies originate |
+| **Document Owner** | The person or department responsible for the content, accuracy, and maintenance of a document |
+| **Document Control Coordinator** | Person responsible for managing the document control system |
+| **Revision** | A change to a controlled document that has been approved and issued |
+| **Obsolete Document** | A document that has been superseded by a newer revision or is no longer applicable |
+| **External Document** | A document originating from outside the organization (standards, regulations, customer specifications, etc.) |
+| **SUPERSEDED** | Watermark applied to obsolete documents retained for reference |
+
+---
+
+## 4. RESPONSIBILITIES
+
+### 4.1 Document Control Coordinator
+- Manages document control system
+- Assigns document numbers
+- Maintains master document repository
+- Ensures proper document approval before release
+- Distributes controlled documents
+- Maintains distribution lists
+- Retrieves and destroys/archives obsolete documents
+- Maintains document control records
+- Trains personnel on document control procedures
+
+### 4.2 Document Owners
+- Create and maintain documents within their area
+- Ensure document accuracy and completeness
+- Initiate document changes when needed
+- Participate in document review and approval
+- Identify when documents become obsolete
+- Ensure personnel in their area use current documents
+
+### 4.3 Quality Manager
+- Approves all QMS documents (SOPs, Quality Manual)
+- Reviews document changes for QMS impact
+- Ensures document control system effectiveness
+- Audits document control compliance
+
+### 4.4 Department Managers
+- Approve department-specific work instructions
+- Ensure current documents available in their areas
+- Ensure personnel trained on document changes
+- Remove obsolete documents from use areas
+
+### 4.5 All Personnel
+- Use only current, approved documents
+- Report document issues (errors, illegibility, missing documents)
+- Do not use obsolete or unapproved documents
+- Maintain documents in good condition
+
+---
+
+## 5. PROCEDURE
+
+### 5.1 Document Types and Hierarchy
+
+QMS documents are organized in a four-tier hierarchy:
+
+**Tier 1: Quality Manual (QM)**
+- Policy-level document
+- Describes overall QMS
+- References all Tier 2 procedures
+- Approved by CEO and Quality Manager
+
+**Tier 2: Standard Operating Procedures (SOPs)**
+- Define WHAT must be done, WHO does it, WHEN
+- Cross-functional processes
+- Include all 31 required documented procedures per ISO 13485
+- Approved by Quality Manager
+
+**Tier 3: Work Instructions (WIs)**
+- Define HOW to perform specific tasks
+- Step-by-step instructions
+- Department or process-specific
+- Approved by Department Manager and Quality Manager
+
+**Tier 4: Forms and Templates**
+- Standardized formats for data collection
+- Support SOPs and WIs
+- Approved by Document Owner and Quality Manager
+
+**Other Controlled Documents:**
+- Medical Device Files (MDFs)
+- Design History Files (DHFs)
+- Validation documents
+- Specifications
+- Drawings
+- Labels and instructions for use
+
+### 5.2 Document Numbering System
+
+All controlled documents are assigned unique identification numbers:
+
+**Quality Manual:**
+- Format: QM-[###]
+- Example: QM-001
+
+**Standard Operating Procedures:**
+- Format: SOP-[ISO Clause]-[###]
+- Example: SOP-4.2.4-001 (for Clause 4.2.4 Control of Documents)
+- Example: SOP-8.5-001 (for CAPA procedure)
+
+**Work Instructions:**
+- Format: WI-[Department Code]-[###]
+- Example: WI-MFG-001 (Manufacturing department work instruction)
+- Department codes: MFG (Manufacturing), QC (Quality Control), ENG (Engineering), etc.
+
+**Forms:**
+- Format: FORM-[SOP/WI Number]-[Letter]
+- Example: FORM-SOP-8.5-001-A (CAPA Request Form)
+
+**Medical Device Files:**
+- Format: MDF-[Product Code]-[###]
+- Example: MDF-ABC-001
+
+**Other Documents:**
+- Format varies by document type
+- Assigned by Document Control Coordinator
+
+**Revision Designation:**
+- Initial release: Revision 00
+- First revision: Revision 01
+- Subsequent revisions: 02, 03, 04, etc.
+- Format: [Document Number] Rev [##]
+
+### 5.3 Document Creation
+
+**5.3.1 Initiating Document Creation**
+
+1. Document Owner identifies need for new document
+2. Document Owner notifies Document Control Coordinator
+3. Document Control Coordinator:
+   - Assigns document number
+   - Provides document template (if applicable)
+   - Logs document in master list as "In Development"
+
+**5.3.2 Document Format Requirements**
+
+All controlled documents must include:
+
+**Header (on each page):**
+- Document number
+- Document title
+- Revision number
+- Effective date
+- Page number (Page X of Y)
+
+**Document Control Section:**
+- Approval signature table
+- Revision history table
+
+**Content Requirements:**
+- Clear, concise language
+- Present tense, active voice
+- Consistent terminology
+- Numbered sections and subsections
+- References to related documents
+- Records generated (if applicable)
+
+**5.3.3 Document Drafting**
+
+1. Document Owner drafts document content
+2. Document Owner marks document as "DRAFT" on each page
+3. Draft may be circulated for informal review and input
+4. When ready for formal review, Document Owner submits to Document Control Coordinator
+
+### 5.4 Document Review and Approval
+
+**5.4.1 Review Process**
+
+1. Document Control Coordinator:
+   - Verifies document number correct
+   - Verifies format compliance
+   - Checks for required sections
+   - Routes for review
+
+2. Reviews conducted by:
+   - Technical reviewer (subject matter expert)
+   - Quality reviewer (for QMS compliance)
+   - Other stakeholders as appropriate
+
+3. Reviewers:
+   - Review for technical accuracy
+   - Review for clarity and completeness
+   - Review for compliance with requirements
+   - Provide comments to Document Owner
+
+4. Document Owner:
+   - Addresses all comments
+   - Revises document as needed
+   - Resubmits for approval
+
+**5.4.2 Approval Process**
+
+Approval authority based on document type:
+
+| Document Type | Approval Authority |
+|---------------|-------------------|
+| Quality Manual | CEO and Quality Manager |
+| Standard Operating Procedures | Quality Manager |
+| Work Instructions | Department Manager and Quality Manager |
+| Forms | Document Owner and Quality Manager |
+| Specifications | Engineering Manager and Quality Manager |
+| Medical Device Files | [Per regulatory requirements] |
+
+**Approval Steps:**
+
+1. Document Control Coordinator routes document to approvers
+2. Approvers review and sign/date approval section
+3. All required approvals must be obtained before document becomes effective
+4. Document Control Coordinator:
+   - Removes "DRAFT" watermark
+   - Adds effective date (typically [X] days after approval)
+   - Assigns final format
+   - Adds to controlled document system
+   - Updates master document list
+
+**5.4.3 Training Requirements**
+
+Before document becomes effective:
+- Affected personnel identified
+- Training conducted as needed
+- Training records maintained per SOP-[NUMBER]
+
+### 5.5 Document Distribution and Access
+
+**5.5.1 Master Document**
+
+- Document Control Coordinator maintains master copy
+- Master stored in: [ELECTRONIC SYSTEM or PHYSICAL LOCATION]
+- Master clearly identified as "MASTER COPY"
+- Master is reference for all distributed copies
+
+**5.5.2 Controlled Copies**
+
+**Electronic Distribution (Primary Method):**
+- Documents stored in [DOCUMENT MANAGEMENT SYSTEM]
+- Access controlled by user permissions
+- Read-only access for most users
+- Always displays current revision
+- Obsolete revisions automatically removed from access
+- Users may print for immediate use (uncontrolled copies)
+
+**Physical Distribution (When Necessary):**
+- Controlled copies issued for specific locations/uses
+- Each copy stamped "CONTROLLED COPY - [Copy Number]"
+- Distribution list maintained showing:
+  - Copy number
+  - Document number and revision
+  - Holder name and location
+  - Date issued
+- Holders responsible for maintaining copy in good condition
+- When document revised, Document Control retrieves old copy and issues new copy
+
+**5.5.3 Uncontrolled Copies**
+
+- Printed for temporary, immediate use
+- Stamped or marked "UNCONTROLLED COPY"
+- User responsible for verifying current revision before each use
+- Should be destroyed after use or within [X] days
+
+**5.5.4 Availability at Point of Use**
+
+- Current documents available where work is performed
+- Electronic access at workstations
+- Controlled physical copies in areas without electronic access
+- Documents protected from damage, loss, deterioration
+
+### 5.6 Document Changes
+
+**5.6.1 Initiating Changes**
+
+Changes may be initiated by:
+- Document Owner identifying need
+- CAPA requiring procedure change
+- Internal audit finding
+- Management review action
+- Regulatory or standard update
+- Process improvement
+
+**5.6.2 Change Request Process**
+
+1. Requestor:
+   - Completes Document Change Request Form (Attachment A)
+   - Describes change needed and justification
+   - Submits to Document Owner
+
+2. Document Owner:
+   - Reviews change request
+   - Determines if change appropriate
+   - Approves or denies request
+   - If approved, initiates document revision
+
+**5.6.3 Making Changes**
+
+1. Document Owner:
+   - Requests current master from Document Control
+   - Creates revised version with changes
+   - Increments revision number
+   - Updates revision history table
+   - Identifies changes in document (change bars, highlights, or summary)
+   - Marks as "DRAFT REVISION"
+
+2. Changes reviewed and approved by:
+   - Same approval authority as original document
+   - UNLESS different approval authority designated by original approver
+   - Reviewers have access to previous revision for comparison
+
+3. Approval:
+   - New revision approved per Section 5.4.2
+   - Previous revision becomes obsolete on effective date of new revision
+
+**5.6.4 Indication of Changes**
+
+Changes are indicated by:
+- Revision history table (describes nature of changes)
+- Change bars or highlights in document (optional but recommended)
+- Change summary page for significant revisions (optional)
+
+**5.6.5 Urgent Changes**
+
+For urgent changes affecting safety or regulatory compliance:
+- Expedited review and approval process
+- May use interim method (e.g., hand-written changes with approval)
+- Formal document revision completed as soon as practical
+- Document per CAPA process if change due to nonconformity
+
+### 5.7 Control of Obsolete Documents
+
+**5.7.1 When Document Becomes Obsolete**
+
+Document becomes obsolete when:
+- New revision approved and becomes effective
+- Document no longer applicable to operations
+- Product discontinued
+- Process changed
+
+**5.7.2 Removal from Use**
+
+1. Document Control Coordinator:
+   - On effective date of new revision, marks superseded revision as obsolete
+   - Removes from electronic document system OR limits access with "OBSOLETE" notation
+   - Retrieves physical controlled copies from distribution locations
+   - Updates distribution lists
+
+2. Department Managers:
+   - Remove obsolete copies from work areas
+   - Return to Document Control or destroy
+   - Ensure personnel aware of new revision
+
+**5.7.3 Retention of Obsolete Documents**
+
+Obsolete documents may be retained for:
+- Reference purposes
+- Product investigations
+- Regulatory or legal requirements
+- Historical record
+
+**If retained:**
+- Clearly marked "OBSOLETE - FOR REFERENCE ONLY" or "SUPERSEDED"
+- Stored separately from current documents
+- Access restricted and controlled
+- Retained per applicable retention requirements
+
+**Retention Locations:**
+- Electronic archive with "OBSOLETE" watermark
+- Separate physical archive area
+
+**5.7.4 Prevention of Unintended Use**
+
+To prevent unintended use:
+- Physical copies stamped "OBSOLETE" in red
+- Electronic copies watermarked "OBSOLETE"
+- Removed from active work areas
+- Stored in separate archive
+- Training on document control system and how to verify current revision
+
+### 5.8 Control of External Documents
+
+**5.8.1 Types of External Documents**
+
+External documents include:
+- ISO standards
+- IEC standards
+- FDA regulations and guidance documents
+- EU regulations (MDR, IVDR)
+- Other regulatory requirements
+- Customer specifications
+- Supplier certifications
+- Calibration certificates
+- Reference materials
+
+**5.8.2 Identification and Control**
+
+1. Document Owner or requestor:
+   - Identifies external document needed
+   - Provides copy to Document Control Coordinator
+
+2. Document Control Coordinator:
+   - Assigns external document number: EXT-[Category]-[###]
+   - Logs in external document register including:
+     - Document title and number
+     - Source/publisher
+     - Date/version
+     - Location in organization
+     - Responsible person for monitoring updates
+   - Files in external document repository
+
+**5.8.3 Reviewing for Currency**
+
+- Document Owner responsible for monitoring updates to external documents
+- Frequency: [Annually or as notified of updates]
+- Check publisher website for updates
+- Subscribe to update notifications when available
+- When update identified:
+  - Obtain new version
+  - Provide to Document Control
+  - Review for impact on QMS documents
+  - Update QMS documents as needed (per CAPA if necessary)
+  - Obsolete previous version per Section 5.7
+
+**5.8.4 Customer-Supplied Documents**
+
+- Customer specifications and drawings controlled as external documents
+- Review for clarity and completeness upon receipt
+- Discrepancies communicated to customer for resolution
+- Controlled per this procedure to ensure current version used
+
+---
+
+## 6. RECORDS
+
+Records generated and maintained per this procedure:
+
+| Record | Retention Period | Location | Responsible Party |
+|--------|------------------|----------|-------------------|
+| Master Document List | Current + [X] years | [LOCATION/SYSTEM] | Document Control Coordinator |
+| Document Approval Records | [X years or device lifetime] | Document Control System | Document Control Coordinator |
+| Document Revision History | [X years or device lifetime] | Document Control System | Document Control Coordinator |
+| Document Change Requests | [X years] | [LOCATION] | Document Control Coordinator |
+| Distribution Lists | Current + [X] years | [LOCATION] | Document Control Coordinator |
+| Obsolete Document Archive | [Per retention schedule] | [LOCATION] | Document Control Coordinator |
+| External Document Register | Current + [X] years | [LOCATION] | Document Control Coordinator |
+
+---
+
+## 7. REFERENCES
+
+- ISO 13485:2016, Clause 4.2.4 - Control of Documents
+- Quality Manual, Section 4.2.4
+- SOP-4.2.5 - Control of Records
+- SOP-6.2 - Training and Competence
+
+---
+
+## 8. ATTACHMENTS
+
+**Attachment A:** Document Change Request Form
+**Attachment B:** Document Templates (QM, SOP, WI, Form)
+**Attachment C:** Document Control Flowchart
+**Attachment D:** Master Document List Template
+**Attachment E:** Distribution List Template
+
+---
+
+**END OF PROCEDURE**
+
+---
+
+**Document Number:** SOP-4.2.4-001
+**Revision:** 00
+**Page:** [X] of [X]