DOCUMENT CONTROL PROCEDURE

I. Purpose
 Ensure the document is clearly identified, easily identifiable and approved before being issued.
 Ensure to recognize changes and revision status of current documents.
 Ensure proper documentation is available where used.
 Ensuring documents of external origin are identified and controlled when distributing them.
 Ensure to prevent the unintentional use of expired documents and ensure appropriate identification if they are retained for reference
purposes.
 This process aims to unify the manner of compiling, approving, distributing and managing documents under the Quality Management
System at the University of Economics, HCMC. Ho Chi Minh City (UEH).

II. Scope
1. Objects
This procedure applies to document control under the UEH quality management system.
2. Responsibility to apply
All units are affiliated with UEH.

III. Reference
 Standard TCVN ISO 9001: 2015 (clause 7.5)
 Quality management system model description according to national standard TCVN ISO 9001: 2015.
 Other documents.
IV. Definitions and Abbreviations
1. Definitions
 Document: is meaningful data and supporting means, used to research, refer, and do research. Documents include 02 types:
 Internal documents: is a document compiled and issued by UEH, reviewed, revised and updated, including: system documents
(Policy, objectives, program, quality manual, process, instructions on work and forms ...), documents sent to the outside (decisions,
official letters, notices ...).
 External documents: A document issued by an external agency that UEH commits to comply with.
 Electronic documents (soft): are documents stored in a computer or other storage tools (CDs, floppy disks, portable hard drives ...).
 Reference: is the document mentioned in the document in use.
 Controlled document: is a document with the UEH stamp.

TRƯỜNG ĐẠI HỌC KINH TẾ TP. HCM

TÀI LIỆU KIỂM SOÁT

 Outdated document: The document is out of date and has been replaced by a new document; in accordance with UEH's decision to
cancel internal or competent authority documents for documents of external origin, and are marked with UEH's "Outdated
Documentation"

TRƯỜNG ĐẠI HỌC KINH TẾ TP. HCM

TÀI LIỆU LỖI THỜI

 Instruction: is a document that describes the steps to perform work for an activity; apply for a title, or apply to a unit.
 Preparing: is preparing letter, document in order to inform or regulate Company’s activities
 Review: is evaluation of feasibility in applying and conformation with standards
 Approval: is signing action to accept effectiveness of documents
 Re-approval: If there is no special designation, any change of document should be reviewed and re-approved by the same level who the
approved document before.
 Update: Is recording of any change last page “Modifications and Distribution Control” in each document’s first part “Documents
control list” such as add in more documents, change document, cancel of documents. Update also include recording of result of
implementing forms.
 Index: Is attachment of document to supplement content of main document and there is same revision, same code with main document.
2. Abbreviations
UEH: University of economics Ho Chi Minh city
V. Procedure
1. Internal document control
N Reponsibilit Flow chart Description Form
o y
1 All member
Parts or individuals that require new creation or WRITTEN

modification of documents, should specify the information REQUEST

Item 1 in FO01-PR750-01.UEH "Request for writing / FORM/DO

amending document" and certified by Head of Department CUMENT

Suggest to write, modify
and sentto the ISO Standing Committee.For documents that MODIFIC

need modification, the requester needs to underline the areas ATION

that need modification in the document

2 Board of
director, Upon receipt of a proposal for drafting and modification, the
Units
Stop Head of QualityAssurance Department shall forward it to:

+ Vice Rector (if it is proposed by functional departments)

+ Head of relevant functional departments (if it is proposed

Unescessary by faculties, centers and other units)

Review, discuss with the Head of the unit that requested and
Proposal
consider
specify the opinion (agree / disagree and the reason) before

submitting to the School Board.

 + If agree: Principal / Vice principal in charge of approval

+ If you disagree: specify the reason and return the

proposing unit

Nesscessary
3 Board of
Directors ISO Standing Committee reviews the Head of Department’s WRITTEN

confirmed request and comments on item 4 in FO01-PR750- REQUEST

Confirm request
01/UEH. Representative leaders give comments on item 5, FORM/DO

and reports to the church. Principal comment on item 6 of CUMENT

FO01-PR750-01.UEH and returned to Representative MODIFIC

leaders. ATION

4 Assigned
person Representative leaders transferred to the person assigned to

write / edit and monitor the progress of writing / editing the

Assign to write,
Collecting document.
information
Unit / person assigned to draft, modify, collect data, refer to

relevant documents and records.

5 Writting
process units When writing, revisions need to comply with the form and
Writting and
consultation content of the document, specifying the document's number,

revision, effective date and page numbering. Head of unit /

assigned person signs on the position of the editor, is

responsible for the drafting content and sends it to the

Quality Assurance Department.

Once completed, it will proceed to consult, and be checked

and confirmed by the

Representative leaders.

6 ISO Standing Representative leaders check and review If found

Committee Unsatisfactory unsatisfactory: the writer should write or correct again.

If the document content is found to be appropriate: sign for

certification, approve and send it to the HT for review

Check
re-approved before issuing and going into implementation.

Satisfactory
7 Principal
The Quality Assurance Department delivers documents to

the principal or his authorized principal. Then move to

Approval
 principal for review and approval before issuing and

implementing

8 ISO Standing
Committee After the document is reviewed / approved by the principal ,

Issuing new documents,

the document is returned to the ISO Standing Committee to
removed old documents
update, stamp, distribute and maintain documents.

Quality assurance specialist updates documents, scans and

distributes information to related units via the internal mail

system

9 All members
Units:

- Make sure that documents related to the operation of the

unit are available for use and reference when necessary.

- Be responsible for properly applying the documents

- Do not arbitrarily modify the content of documents already

Applying
issued. If detecting inappropriate documents, the unit

making the drafting form requests document drafting and

modification.
2. External document control
Receiving, reviewing
and registering legal
Updateand
Archive to external
distribute
Ste documents
documents
external
Checker catalog No
document Flow chart Description Form
p Consider,
approval

Finish The documents originating from outside are stamped

Dispatch
Related Functions on the document by relevant functional departments,
1 book go,
Department. write the arrival number, date of arrival and submit to
come.
the Principal or his authorized person for application.

Principal/
Authorized The principal or authorized person reviews and decides
2 Person/ Related to agree / disagree with the distribution, resolution of
Functions documents or summons of relevant individuals.
Department.

Related Functions Department receive the text from

General room/
the School Board, duplicate (if necessary) or scan and
Related functional
3 email the required units to use under the signed
units
direction (if necessary) and save the original.

- The unit received the document to update the external

document list of the unit.
- The unit is responsible for controlling external
External
documents related to the operation of the unit,
document
4 Related units. destroying expired documents.
catalog
- The functional departments periodically once a
update form
semester (in a specific month) publicize the list of
external documents (valid and expired) in the work of
the unit being in charge School website.
3. Standard issue code
 Documents are presented in a consistent format for the types of documents. The ISO 9000 body of the organization models the
document presentation and delivers it to the applicable entity.
 All documents under the quality system are identified through the following information: document name, number, date of issue, date
of issue and page number.
 Code Number: Quality system documents are numbered according to the following rules:
 Quality handbook: QH / UEH
 Process: PRYYY-XX / UEH or ZZ
 Regulation: REYYY-XX / UEH or ZZ ZZ
 Form: FOXX- <code of document containing Form>
In which:
 QH / UEH stands for Quality Handbook
 PRYYY-XX stands for Process
 REYYY-XX is the abbreviation of Regulations
 FO stands for Forms
 YYY is the symbol required by the ISO standard 9001: 2015
 XX is ordinal number, with a value from 01-99
 ZZ is the abbreviation of the name of the text editor
 Issuance: Times of the Handbook of Quality, Process, Regulation and the form is an ordinal number starting with 01.
 Date: is the effective date of the document.
 Pages: is the number of pages / total number of pages.

NOTE: Change documents

  All documents under the quality management system should change are performed according to the above steps and be checked for
approval according to regulations.
 When there are changes, the issue of the Quality Handbook, processes, regulations, the form increases by 1 unit.
 Any changes must be updated timely.
 When there is a change, the ISO 9000 Division distributes new documents concurrently recover old documents and destroy them.
VI. Forms Attachment
No. FORM NAME CODE
01 Written request form/document modification FO01-PR750-01.UEH
02 External document catalog update form FO02-PR750-01.UEH
03 CAPA form FO03-PR750-01.UEH
 No. CAPA – Corrective Action Preventive Action
Identification of Problem

Corrective Action Preventive Action

1 Use out-of-date documents Withdraw outdated documents and mark Periodically distributing necessary
out obsolete documents. documents to departments and
withdraw, mark out the outdated
documents.
2 Lost documents Provide necessary replacement Store text documents in covers,
documents. cabinets, or back them up on online
devices.
3 The document is damaged Recall and organize copy and recovery Check and preserve documents
documents. If a document cannot be regularly. Clean documents, protect
recovered, it becomes a lost document. documents from outside agents
(natural disasters, fires, termites,
rotting, theft)

4 Approved non-standard documents Revoke non-standard documents, review Strengthen the inspection of
amendment or destruction of documents. documents about to be approved,
review and update more necessary
standards for the documents

VII. Risk Assessment