Document Control in IMS: Version, Validity, and Signatories

Document control within an Integrated Management System (IMS) is one of the fundamental pillars to ensure compliance and operational efficiency in a company. Often, during audits, failures in this control can result in non-conformities that, besides compromising the organization's image, can lead to penalties. Therefore, it is essential to understand how to manage versions, validate documents, and determine signing responsibilities.

Document Version Management

Version management is a critical aspect that must be rigorously implemented. Each document should have a clear history of its versions, including information on changes and the date they were made. This applies to both operational procedures and internal policies and non-conformity records.

A common error found in audits is the lack of a clear version record, where outdated documents remain in circulation without proper control. To avoid this situation, it is recommended to:

• Use a document control system: Adopt a digital tool that allows version traceability, such as document management software.
• Establish a review protocol: Define a schedule to periodically review and update documents as necessary.
• Clearly identify the current version: Ensure that the version in use is clearly identified, with validity date and status (approved, under review, etc.).

Document Validity

Document validity is another crucial aspect of document control. Each document should have a defined validity period, after which it must be reviewed or replaced. The lack of strict control can lead to the use of outdated documents that do not reflect best practices or current legislation.

It is essential, for example, that documents related to air quality, in accordance with the CONAMA Resolution 491/2018, are reviewed to ensure they meet current requirements. To ensure proper document validity:

• Define validity periods: All documents should have a validity period, after which they will be reviewed.
• Implement automated reminders: Use tools that send notifications when a document's validity is about to expire.
• Conduct internal audits: Periodically conduct internal audits to verify if the documents in use are within the validity period.

Signatures and Responsibilities

Document signing is a critical part of document control, as it establishes who is responsible for the content and validity of the document. The absence of signatures or signatures by unauthorized persons can lead to serious consequences during audits.

It is common to find documents that have been altered but retain signatures from previous versions, leading to questions about responsibility and compliance. To avoid this, consider the following practices:

• Clearly define who can sign: Establish an approval flow that clearly identifies the people authorized to sign documents.
• Use electronic signatures: When possible, implement an electronic signature system that records who signed and when.
• Conduct training: Promote regular training for teams on the importance of document control and signatures.

Practical Checklist for Document Control

To ensure your company complies with document control requirements, use the following practical checklist:

1. Version Control:
   • Do all documents have a version history?
   • Are the versions in use clearly identified?
   • Is there an established review protocol?
2. Document Validity:
   • Do all documents have defined validity periods?
   • Are there automated reminders for document review?
   • Are internal audits conducted to verify document validity?
3. Signatures and Responsibilities:
   • Who are the people authorized to sign documents?
   • Is the approval flow well-defined?
   • Are teams trained on the importance of signatures?

When to Seek a Specialist

In many cases, companies may face difficulties in implementing effective document control. If your organization encounters recurring problems during audits, such as lack of version control or absence of valid documents, it may be time to consider consulting a specialist. A professional can help restructure your document management system and ensure all regulatory requirements are met.

A specialist can, for example, offer guidance on market best practices and assist in adopting technologies that facilitate document control, minimizing risks and increasing operational efficiency. Legnova, for instance, offers IMS consultancy and can be an ally in this process.