quality-documentation-manager

Quality Documentation Manager

Document control system design and management for ISO 13485-compliant quality management systems, including numbering conventions, approval workflows, change control, and electronic record compliance.

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Table of Contents

• Document Control Workflow
• Document Numbering System
• Approval and Review Process
• Change Control Process
• 21 CFR Part 11 Compliance
• Reference Documentation
• Tools

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Document Control Workflow

Implement document control from creation through obsolescence:

1. Assign document number per numbering procedure
2. Create document using controlled template
3. Route for review to required reviewers
4. Address review comments and document responses
5. Obtain required approval signatures
6. Assign effective date and distribute
7. Update Document Master List
8. Validation: Document accessible at point of use; obsolete versions removed

Document Lifecycle Stages

Stage	Definition	Actions Required
Draft	Under creation or revision	Author editing, not for use
Review	Circulated for review	Reviewers provide feedback
Approved	All signatures obtained	Ready for training/distribution
Effective	Training complete, released	Available for use
Superseded	Replaced by newer revision	Remove from active use
Obsolete	No longer applicable	Archive per retention schedule

Document Types and Prefixes

Prefix	Document Type	Typical Content
QM	Quality Manual	QMS overview, scope, policy
SOP	Standard Operating Procedure	Process-level procedures
WI	Work Instruction	Task-level step-by-step
TF	Template/Form	Controlled forms
SPEC	Specification	Product/process specs
PLN	Plan	Quality/project plans

Required Reviewers by Document Type

Document Type	Required Reviewers	Required Approvers
SOP	Process Owner, QA	QA Manager, Process Owner
WI	Area Supervisor, QA	Area Manager
SPEC	Engineering, QA	Engineering Manager, QA
TF	Process Owner	QA
Design Documents	Design Team, QA	Design Control Authority

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Document Numbering System

Assign consistent document numbers for identification and retrieval.

Numbering Format

Standard format: PREFIX-CATEGORY-SEQUENCE[-REVISION]

Example: SOP-02-001-A

SOP = Document type (Standard Operating Procedure)
02  = Category code (Document Control)
001 = Sequential number
A   = Revision indicator

Category Codes

Code	Functional Area	Description
01	Quality Management	QMS procedures, management review
02	Document Control	This area
03	Human Resources	Training, competency
04	Design & Development	Design control processes
05	Purchasing	Supplier management
06	Production	Manufacturing procedures
07	Quality Control	Inspection, testing
08	CAPA	Corrective/preventive actions
09	Risk Management	ISO 14971 processes
10	Regulatory Affairs	Submissions, compliance

Numbering Workflow

1. Author requests document number from Document Control
2. Document Control verifies category assignment
3. Document Control assigns next available sequence number
4. Number recorded in Document Master List
5. Author creates document using assigned number
6. Validation: Number format matches standard; no duplicates in Master List

Revision Designation

Change Type	Revision Increment	Example
Major revision	Increment number	Rev 01 → Rev 02
Minor revision	Increment sub-revision	Rev 01 → Rev 01.1
Administrative	No change or letter suffix	Rev 01 → Rev 01a

See references/document-control-procedures.md for complete numbering guidance.

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Approval and Review Process

Obtain required reviews and approvals before document release.

Review Workflow

1. Author completes document draft
2. Author submits for review via routing form or DMS
3. Reviewers assigned based on document type
4. Reviewers provide comments within review period (5-10 business days)
5. Author addresses comments and documents responses
6. Author resubmits revised document
7. Approvers sign and date
8. Validation: All required reviewers completed; all comments addressed with documented disposition

Comment Disposition

Disposition	Action Required
Accept	Incorporate comment as written
Accept with modification	Incorporate with changes, document rationale
Reject	Do not incorporate, document justification
Defer	Address in future revision, document reason

Approval Matrix

Document Level 1 (Policy/QM): CEO or delegate + QA Manager
Document Level 2 (SOP): Department Manager + QA Manager
Document Level 3 (WI/TF): Area Supervisor + QA Representative

Signature Requirements

Element	Requirement
Name	Printed name of signer
Signature	Handwritten or electronic signature
Date	Date signature applied
Role	Function/role of signer

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Change Control Process

Manage document changes systematically through review and approval.

Change Control Workflow

1. Identify need for document change
2. Complete Change Request Form with justification
3. Document Control assigns change number and logs request
4. Route to reviewers for impact assessment
5. Obtain approvals based on change classification
6. Author implements approved changes
7. Update revision number and change history
8. Validation: Changes match approved scope; change history complete

Change Classification

Class	Definition	Approval Level	Examples
Administrative	No content impact	Document Control	Typos, formatting
Minor	Limited content change	Process Owner + QA	Clarifications
Major	Significant content change	Full review cycle	New requirements
Emergency	Urgent safety/compliance	Expedited + retrospective	Safety issues

Impact Assessment Checklist

Impact Area	Assessment Questions
Training	Does change require retraining?
Equipment	Does change affect equipment or systems?
Validation	Does change require revalidation?
Regulatory	Does change affect regulatory filings?
Other Documents	Which related documents need updating?
Records	What records are affected?

Change History Documentation

Each document must include change history:

| Revision | Date | Description | Author | Approver |
|----------|------|-------------|--------|----------|
| 01 | 2023-01-15 | Initial release | J. Smith | M. Jones |
| 02 | 2024-03-01 | Updated workflow | J. Smith | M. Jones |

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21 CFR Part 11 Compliance

Implement electronic record and signature controls for FDA compliance.

Part 11 Scope

Applies To	Does Not Apply To
Records required by FDA regulations	Paper records
Records submitted to FDA	Internal non-regulated documents
Electronic signatures on required records	General email communication

Electronic Record Controls

1. Validate system for accuracy and reliability
2. Implement secure audit trail for all changes
3. Restrict system access to authorized individuals
4. Generate accurate copies in human-readable format
5. Protect records throughout retention period
6. Validation: Audit trail captures who, what, when for all changes

Audit Trail Requirements

Requirement	Implementation
Secure	Cannot be modified by users
Computer-generated	System creates automatically
Time-stamped	Date and time of each action
Original values	Previous values retained
User identity	Who made each change

Electronic Signature Requirements

Requirement	Implementation
Unique to individual	Not shared between persons
At least 2 components	User ID + password minimum
Signature manifestation	Name, date/time, meaning displayed
Linked to record	Cannot be excised or copied

Signature Manifestation

Every electronic signature must display:

Element	Example
Printed name	John Smith
Date and time	2024-03-15 14:32:05 EST
Meaning	Approved for Release

System Controls Checklist

Access Controls:

• Unique user ID for each person
• Password complexity enforced
• Account lockout after failed attempts
• Session timeout after inactivity

Audit Trail:

• All record creation logged
• All modifications logged with old/new values
• User identity captured
• Date/time stamp on all entries

Security:

• Role-based access control
• Encryption for data at rest and in transit
• Regular backup and tested recovery

See references/21cfr11-compliance-guide.md for detailed compliance requirements.

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Reference Documentation

Document Control Procedures

references/document-control-procedures.md contains:

• Document numbering system and format
• Document lifecycle stages and transitions
• Review and approval workflow details
• Change control process with classification criteria
• Distribution and access control methods
• Record retention periods and disposal procedures
• Document Master List requirements

21 CFR Part 11 Compliance Guide

references/21cfr11-compliance-guide.md contains:

• Part 11 scope and applicability
• Electronic record requirements (§11.10)
• Electronic signature requirements (§11.50, 11.100, 11.200)
• System control specifications
• Validation approach and documentation
• Compliance checklist and gap assessment template
• Common FDA deficiencies and prevention

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Tools

Document Validator

# Validate document metadata
python scripts/document_validator.py --doc document.json

# Interactive validation mode
python scripts/document_validator.py --interactive

# JSON output for integration
python scripts/document_validator.py --doc document.json --output json

# Generate sample document JSON
python scripts/document_validator.py --sample > sample_doc.json

Validates:

• Document numbering convention compliance
• Title and status requirements
• Date validation (effective, review due)
• Approval requirements by document type
• Change history completeness
• 21 CFR Part 11 controls (audit trail, signatures)

Sample Document Input

{
  "number": "SOP-02-001",
  "title": "Document Control Procedure",
  "doc_type": "SOP",
  "revision": "03",
  "status": "Effective",
  "effective_date": "2024-01-15",
  "review_date": "2025-01-15",
  "author": "J. Smith",
  "approver": "M. Jones",
  "change_history": [
    {"revision": "01", "date": "2022-01-01", "description": "Initial release"},
    {"revision": "02", "date": "2023-01-15", "description": "Updated workflow"},
    {"revision": "03", "date": "2024-01-15", "description": "Added e-signature requirements"}
  ],
  "has_audit_trail": true,
  "has_electronic_signature": true,
  "signature_components": 2
}

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Document Control Metrics

Track document control system performance.

Key Performance Indicators

Metric	Target	Calculation
Document cycle time	<30 days	Average days from draft to effective
Review completion rate	>95%	Reviews completed on time / Total reviews
Change request backlog	<10	Open change requests at month end
Overdue review rate	<5%	Documents past review date / Total effective
Audit finding rate	<2 per audit	Document control findings per internal audit

Periodic Review Schedule

Document Type	Review Frequency
Policy	Every 3 years
SOP	Every 2 years
WI	Every 2 years
Specifications	As needed or with product changes
Forms/Templates	Every 3 years

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Regulatory Requirements

ISO 13485:2016 Clause 4.2

Sub-clause	Requirement
4.2.1	Quality management system documentation
4.2.2	Quality manual
4.2.3	Medical device file (technical documentation)
4.2.4	Control of documents
4.2.5	Control of records

FDA 21 CFR 820

Section	Requirement
820.40	Document controls
820.180	General record requirements
820.181	Device master record
820.184	Device history record
820.186	Quality system record

Common Audit Findings

Finding	Prevention
Obsolete documents in use	Implement distribution control
Missing approval signatures	Enforce workflow before release
Incomplete change history	Require history update with each revision
No periodic review schedule	Establish and enforce review calendar
Inadequate audit trail	Validate DMS for Part 11 compliance