INTEGRATED SOLUTIONS
DOCUMENTATION CONTROL PROCEDURE
Prepared By: |
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Lead Author, Integrated Solutions |
Date |
Approved by & Effective on Date of Signature below: |
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Yufen Chang Yu, Integrated Solutions |
Date |
2/22/97
THIS DOCUMENT is to be regarded as the official document control Procedure within integrated solutions. it is to be maintained under change Control by the document control coordinator.
CHANGE SHEET
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TITLE: Documentation control procedure
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DESCRIPTION OF CHANGE |
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ISSUE |
DATE |
SECTION |
DESCRIPTION |
1.0
1.1
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2/27/97
9/6/97 |
All
footers |
· Original Issue.
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TABLE OF CONTENTS
1.0 PURPOSE
2.0 POLICY
3.0 DEFINITIONS
4.0 DOCUMENTATION GUIDELINES
4.1 GENERAL REQUIREMENTS
4.2 EXCEPTIONS TO GENERAL GUIDELINES
5.0 DOCUMENT CREATION AND SUBMISSION
5.1 DEVELOPMENT DOCUMENT PROCEDURES
5.2 QUALITY DOCUMENTATION
6.0 DOCUMENTATION CONTROL
6.1 DEVELOPMENT DOCUMENT CONTROL
6.2 QUALITY DOCUMENTATION SYSTEM
6.3 EXTERNALLY GENERATED DOCUMENTS
6.4 CONTROL OF MISCELLANEOUS ADMINISTRATIVE DOCUMENTS
7.0 REVISION (ISSUE) CONTROL
7.1 DOCUMENTS IN REVIEW
7.2 REVISION LEVEL CONTROLLED DOCUMENTATION
7.3 DATE CONTROLLED DOCUMENTATION
8.0 OBSOLETE DOCUMENTATION
8.1 OBSOLETE DEVELOPMENT DOCUMENTATION
8.2 OBSOLETE QUALITY DOCUMENTATION
8.3 OBSOLETE ADMINISTRATIVE DOCUMENTATION
8.4 DOCUMENT DISPOSAL
The Integrated Solutions Documentation Control Procedure governs the control, distribution, and removal of documentation. It applies to both hard copy and electronic forms of documentation.
The purposes of this procedure are to:
· establish a uniform and consistent method for the preparation and handling of documentation.
· promote consistent document management across Integrated Solutions.
· facilitate distribution of released development related documentation.
· provide an accurate historical record and archive of all Integrated Solutions documentation.
· specify who controls documentation.
· identify the location of the controlled copies of documentation.
Refer to Document Control Policy, file name 4001PO.doc.
Agent: A person, other than an author or originator, designated as responsible for managing the document through the DC process and securing the necessary concurrence and approvals.
Preparer: The person creating or publishing a document.
Change Control: A coordination and evaluation activity using input provided from various sources on the content, clarity, and accuracy of product or development documentation for which Integrated Solutions is responsible.
Document: Any written or electronically input conveyance of information leading to, required by, impacting upon, or pertaining to a Integrated Solutions development program or activity.
Editorial Changes: Any change that does not add information to, delete information from, or change the meaning or interpretation of the material, maybe considered an editorial change.
Externally Generated Documentation: A category of documentation produced by other companies or individuals outside of Integrated Solutions including but not limited to:
· Customer Documentation
· Engineering Standards
· Corporate Policies (i.e., Operations, Financial, Human Resources)
Form: A document with blanks for the insertion of details or information.
Guide/Manual: A reference or instruction document. All guides and manuals are considered local practices.
Internally Generated Documentation: A Category of documentation produced by Integrated Solutions employees including but not limited to:
· Product Realization Process Documentation
· Quality Documentation
· End User Documentation
Local Practices: A process, procedure, or set of instructions that apply to either a single functional area (i.e. engineering, F&A, etc.) or a single job task or set of tasks (i.e. librarian). Local practices detail the information necessary to complete tasks that are not completed by other functional areas in the organization or tasks that are job specific within a functional area.
Miscellaneous Administrative Information: A category of documentation containing information that must be revision controlled including but not limited to:
· Organizational Charts
· Job Descriptions
· Indexes
Original Issue: The first time a particular document is released.
Preparer: The person authoring or designated by a team of document authors as the focal point of documentation coordination, modification and issue resolution. This is the person who is responsible for managing the document through the review process and securing the necessary concurrence and approvals.
Process: A system of operations that describes the production of something. A process has three main components: inputs, throughputs, and outputs. Inputs describe the initial triggers and/or elements necessary to conduct a series of actions, changes, or functions (throughputs) that bring about an end result (outputs). A process either spans several functional organizations or can be used by more than one functional organization. It is repeatable and measurable; corrective action is used to correct systematic process problems and improve process performance.
Procedure: A set of established steps, methods, or actions that describe how to perform, effect, or conduct an act of business. A procedure either spans several functional organizations or can be used by more than one functional organization. It is repeatable and measurable; corrective action is used to correct procedure problems and improve procedure performance.
Review: The means and process by which documents are evaluated for correctness and General Documentation Guidelines completeness inclusive of the feedback comments, criticisms and recommendations.
Issue: Any substantive change in the contents of an already released document.
Except as noted elsewhere in this document, all documents created within Integrated Solutions and placed under revision control shall include a Document Cover Page, one or more Change Sheets and a Control Footer on every page following the title page. Depending on its length and intended use the author of the document may include a table of contents, an index or other aids to the reader/user of the document.
Document Cover Page - Each document type has a unique cover page. It serves as a title page. The cover page always includes the title of the document, the uniquely assigned document number for the document, the revision level of the document, the date of creation of the document
Approval Signature Page: Approval signature page is located on the back of the Document Cover Page (see appendix A for approval list) and the signatures for all required approvals. Appropriate signatures are obtained by the "owner" of the document before it is submitted to the document control authority. This can be electronic or hard copy. The reviewer is also to be listed on the signature page.
Change Page - The Change Page or pages immediately follow the Document Cover Page. They serve as a running log of the revisions which have been made to the document over time. The change page includes the document title, the control footer, and a chronological listing of revisions made to the document. Each entry in the list includes:
· Revision level
· Date of revision
· Identification of the section changed
· Description of the change. This includes the reason for the change and the specific changes made.
Control Footer - The footer of each page after the signature page contains the following:
· Document control number
· Appropriate revision number
· Page number
· Date (of most recent document revision)
· The appropriate confidentiality legend
Forms are operating tools for Integrated Solutions. They do not change on a regular basis and therefore are only required to have a unique document number and a revision level. Document Cover Pages, Signature Pages, Change Sheets and footers are not needed for forms.
4.2 Exceptions to General Guidelines
There may be times when a customer (internal or external) will require a modification to the footer on joint documents. The Document Control Coordinator has the authority to grant modifications of the footer.
5.0 Document creation and submission
5.1 Development Document Procedures
All development documents fall into one of the two categories listed:
n Released Development Documents- These documents are to be released to Document Control (DC) immediately upon approval.
n Development Program/Project Notebooks-This compilation of development related documents and notes submitted to DC upon completion of the development program.
5.1.1 Procedures for Obtaining a Document Number
For all controlled documents, the DC generates the unique number using the documentation identification number format below. The DC references the Master List of Controlled Documents to verify that the number is unique. The DC updates the Master List of Controlled Documents with the document ID Number, issue number, document title, author(s), and date. The DC notifies the author of the document number and updates the Master List of Controlled Documents.
Document No: A-BBB-CC-DDD-XX.Y
A is the Area identifier code. Such as Operations, Quality, etc.
BBB indicates the sequence number in that area.
CC indicates the type of document it is. The following types are reserved as follows:
AR = Architecture
BC = Business Case
CS = Customer Specification
DD = Detailed Design
DE = Development
FD = Feature Design
GL = Guidelines
GN = General
HD = High Level Design
PP = Project Plan
QM = Quality Manual
RQ = Requirements
TD = Test Documentation
TP = Templates
WI = Work Instruction
ML = Manual
ME = Metrics
PO = Policy
PC = Procedure
PS = Process
DDD indicates the product release number. For development documents the field represents the product release number. For quality system documents this is a fixed value of "000".
Issue XX.Y indicates the issue number. The issue number is the revision level of the document. The XX indicates major changes to the document. Incrementing the Y indicates minor changes to the document.
5.1.2 Procedures for Submitting a Document to DC
1. The author prepares the document or a revision to the document following the processes and procedures employed with the document type.
2. If it is a new document, the author obtains a document control number. When obtaining a document number, the author must provide the following information.
· Title of the document (usually the project title)
· Author's or originator's name -Non Lucent Technologies employees (contractors) use the Project Leader's name as the author or originator
· Area and type of document (see Section 5.1.1).
3. The author prints the hard copy document 8-1/2" x 11" paper, bearing the proper confidentiality legend on the Document Cover Page and in the footer.
4. The document "owner" obtains the appropriate approval signatures on the Document Signature page. When signed, the original is submitted to the librarian for control and distribution.
5. An initial distribution list is included if the "owner" wants the DC to make a distribution of the document.
5.1.3 Third Party Signatures
Occasionally controlled documents (i.e. External Interface Agreement) require signatures from persons outside Integrated Solutions. When this occurs, the following steps are taken:
1. The master copy of the document does not leave the Integrated Solutions premises.
2. A copy of the document and a separate signature sheet identifying necessary signatures is sent by the Integrated Solutions DC to the corresponding document control function at the receiving facility.
3. Upon signature completion the document is returned to Integrated Solutions DC who notifies the document "owner".
5.1.4 Confidentiality Legends on Development Documents
Development documentation is considered the intellectual property of Integrated Solutions and is to be handled as Confidential Material. The proper legend for confidential material is: Integrated Solutions Confidential. If, in the opinion of the cross-functional team, management approval is required before copies can be delivered outside Integrated Solutions, the legend is: - Integrated Solutions Confidential - Restricted Distribution. Through this legend, the librarian knows to obtain management approval from the first level of approving management on the document Signature Page before distributing the document outside Integrated Solutions.
5.1.5 Documentation Distribution
The norm will be electronic distribution. The DC person will control the approved copies on the WEB. A distribution sheet is to accompany the document if the DC is to distribute the document. With receipt of the approved document, fully signed Cover Page, and the distribution list, DC will send the document to the Copy Center for replication. Distribution will occur as rapidly as possible within the resource constraints of the Copy Center and DC. (It should be kept in mind that it may take up to two days before the copies are available for distribution.)
There are 6 types of Quality Documents: Processes, Procedures, Forms, Guides, Plans, Manuals and Local Practices.
5.2.1 Globally Maintained Documents
Processes, Procedures and Forms are maintained within the Quality Documentation system by the Documentation Coordinator. The CEO’s signature is required on all processes and procedures controlled within the quality system. Other required approval signatures for a document are determined by the span or reach of the process or procedure. All organizations which must input to or will receive output from a process or procedure approve the document or any revision to the document.
5.2.2 Locally Maintained Documents
Local Practices, Guides, and Manuals are functionally area or employee specific by nature. These local documents are not part of the Globally Maintained Quality Documentation System. They require the appropriate management signature, page numbers, a date, and a revision level. Such local documents are maintained and controlled within the functional area where they apply by either the employee or the area secretary.
5.2.3 Procedures for Submitting a Quality Document for Control
1. The author prepares the document or a revision to the document.
2. If a new document, the author obtains a unique document number from the Documentation Coordinator.
3. The author prints the hard copy document 8-1/2" x 11" paper, bearing the proper confidentiality legend in the footer.
4. The document "owner" obtains the appropriate approval signatures on the Document Signature page. When signed, the original is submitted to the Documentation Coordinator for control and distribution. Both hard copy and electronic copy must be submitted.
5.2.4 Revisions/Changes in Quality Documentation
A revision of a quality document occurs when the author makes a content change to the existing document. This includes additions, deletions, and any change in wording that alters the original intent or meaning of the document. All changes are duly noted on the change page. When changed, the new document is raised one revision level. Editorial and typographical error corrections do not constitute a revision.
The author of a quality document is the only person who can submit a revision to the Documentation Coordinator. The authors are responsible for reviewing and maintaining their processes and procedures. Processes and procedures must be reviewed on an annual basis. The author can denote review approval in writing or via e-mail to the Documentation Coordinator if no revision is necessary.
Employees may recommended changes to specific processes or procedures by notifying the author of said document. The employee and the author negotiate changes. The author is responsible for having the changes incorporated into the document.
6.1 Development Document Control
Documentation is controlled by numerous organizations. Upon approval, all Integrated Solutions development-related documents are released to, retained within and distributed by Integrated Solutions Document Control (DC). This includes those documents called for under Integrated Solutions adopted processes/procedures that direct or affect the course or content of Integrated Solutions development activities and programs. Since not all the documents of these types are placed under DC it is necessary to refer to the process or procedure which defines each type of document in order to determine whether DC is required.
6.2 Quality Documentation System
All Quality Documents, (except local practices, guides, and manuals) are maintained in the Quality Documentation System, administered by the Documentation Coordinator for all of OneOS Broadband Software. This includes processes, procedures, forms, and the Quality Manual.
There are two controlled copies of the quality documentation located as follows:
· The Document Coordinator’s Office (hard copy)
Integrated Solutions employees are able to make uncontrolled copies of quality documents (through photocopying or printing from the WEB). However, when using a document the employee must check a controlled source to ensure that they are using the most current revision level.
6.3 Externally Generated Documents
Externally generated documents, such as supplier and customer documents are maintained within the applicable department (e.g., information about a third party software contractor would be maintained by the Engineering personnel who interfaces with the contractor). Other externally generated documents—such as specific Integrated Solutions Policies—are also maintained within the applicable organization (For example, the Integrated Solutions. Corporate Financial and Accounting Policies Manual is maintained within Finance). In the case of corporate documents, the area which maintains these documents must take steps to ensure that Integrated Solutions has the latest revision of a document. In many cases, this is done by making certain that employees within Integrated Solutions are on corporate distribution lists for document updates.
6.4 Control of Miscellaneous Administrative Documents
Departmental management controls and distributes miscellaneous administrative documents such as organization charts, indexes and job descriptions. The Organization Charts Procedure exists to ensure that Integrated Solutions organization charts are kept up-to-date.
Clearly label all documents destined for revision control as a DRAFT when being circulated for review prior to approval. As multiple review cycles are possible, it is recommended that each review draft be differentiated by the date.
7.2 Revision level Controlled Documentation
The approved initial version of a revision level controlled document is "Issue 1.0". Each subsequent minor approved version becomes "Issue 1.1", Issue 1.2", etc. Major updates will go to "Issue 2.0, Issue 3.0", etc.
7.3 Date Controlled Documentation
Clearly indicate the date of publication on any date controlled document. Most externally generated and miscellaneous documents use this method of revision control.
Integrated Solutions documentation becomes obsolete when the next revision level of a document is approved and entered into the controlled environment. An exception occurs when there is work in progress in accordance with a prior revision level.
8.1 Obsolete Development Documentation
Development documentation is maintained as long as the product is supported. A development document is obsolete six months after final discontinuation notice for the product has been issued provided:
· any and all documents which refer to it are obsolete.
· corporate policy or individual contract does not call for continued support for the product for a longer period of time.
· a poll (e-mail) has been made to determine that the above is true.
All document revisions will be maintained in an accessible location. The most current revision is the only active document, however, the original document and all subsequent revisions will be retained for historical purposes.
The status of a document may be active, inactive, obsolete, or deleted. Document numbers may be active, inactive, obsolete, deleted, available or abandoned.
An active document is a document relating to a product which is under development or is being actively supported in the field. An active document number is a number assigned to such a document.
An inactive document is a document relating to a product development which has been, for some reason suspended. This includes documents for which document numbers were issued for a particular development but the documents were not written because the development was suspended. An inactive document number is a number assigned to such a document.
An obsolete document is a document relating to a product (or a release of a product) which is no longer being actively supported. An obsolete document number is a number assigned to such a document.
A deleted document is a document relating to a product (or a release of a product) which is no longer being supported and the documents historical value has come to an end. Hard copies of deleted documents are shredded, electronic copies are erased. A deleted document number is a number assigned to such a document.
An available document number is a number in the total pool of document numbers which has never been assigned to a specific document.
An abandoned document number is a number which was assigned to a document that was never created and was later abandoned by the development team. This may have occurred because the program changed direction. (i.e. early deployment which was originally planned never occurred but a document number had been assigned for the Deployment plan before the decision to not proceed had been made),
Note: If SABLIME is used, all versions may be kept indefinitely.
8.2 Obsolete Quality Documentation
Quality documents become obsolete when any of the following situations occur:
- a new revision level of the same document is approved.
- the document no longer applies to current business practices.
- the document is incorporated into another document.
The controlled hard copies of obsolete documents are destroyed and the electronic copy is archived. The archive directory is maintained by the Documentation Coordinator and is accessible to all employees for work in progress and historical purposes. Obsolete electronic archived documents are deleted when it is determined that the documentation has no remaining historical value, with a minimum archive of 2 years.
8.3 Obsolete Administrative Documentation
Integrated Solutions documentation must be maintained for a minimum period of time to ensure that sufficient documentation is available to satisfy customer, development, Corporate and contractual requirements.
All obsolete documents are put into document retention for a period of three years. If, after three years, they have not been accessed, they are deleted.
Documents relating to products which have patent or copyright implications are retained for the length of time prescribed by our intellectual properties policies and procedures issued by corporate legal department.
Confidential information will be shredded. Non-confidential information can be disposed of in normal manner. Appendix A - Document Matrix
APPENDIX A - DOCUMENT MATRIX
PROCESS STEP |
DELIVERABLE(S) |
PRIMARY REVIEWERS |
APPROVERS |
Marketing Requirements |
Market Requirements Document |
PS |
President |
Architecture Requirements |
Architecture Requirements Specification |
SE, DE, TE, TM, PM |
TM |
Quality Plan |
PM, QM, President |
President |
|
Performance Plan |
TM, DE, SE, TE |
TM |
|
Product Definition |
Product Description |
SE |
President |
Functional Descriptions |
SE |
TM |
|
Integrated Program Planning |
Business Plan |
PM |
President |
Project Plans |
PS, TM |
President |
|
Code & Unit/Feature Test |
Software Feature Test Reports |
TE, SE |
TM |
Interface Specification |
Software Internal Interface Specification |
DEV, SE, TM |
TM |
Software External Interface Specification |
TM, DEV, SE, Customer |
Customer, President |
|
Integration Planning |
Integration Test Specifications |
SE, TE |
TM |
Integration & Test |
Integration Test Results |
TE |
TM |
Deployment Planning & Implementation |
Deployment Plan |
TS, IMP, PM |
TM |
Implementation Guide |
TS, IMP, PM |
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Implementation |
Site Plan |
TS, IMP, PM |
TM |
Product Introduction Planning & Implementation |
Product Introduction Plan |
SE, TS, IMP |
TM |
Legend:
President
TM - Technical Manager
PS - Project Specialist
SE - System Engineer
DE - Developer
TE - Tester
IMP - Implementation Support
TS - Technical Support