Mastering Document Control Procedure: Steps for enhanced access, efficiency and compliance

1 in 4 employees spends 2-3 hours searching for a document, disrupting productivity and undermining workflow efficiency. 
Despite a growing focus on strengthening data governance, many organizations overlook a critical element: a structured document control procedure. Effective data governance relies on two key pillars—strong data hygiene practices and an efficient document control system. Without these, even the most well-designed governance frameworks can falter. The numbers underscore the urgency: an Adobe Acrobat survey reveals that 48% of employees struggle to locate specific documents, while 36% often forget where documents are stored. Clearly, there’s substantial room for improvement.

For organizations that prioritize the accuracy and reliability of data assets, effective document control procedures are not just helpful—they are essential safeguards. These procedures enable secure, reliable data flow across teams, supporting operational efficiency and regulatory compliance.

Read on to learn the critical steps for building and implementing a solid document control system that aligns with your data governance goals.

What is the document control procedure?

The document control procedure is a systematic process of managing, storing, tracking, and updating documents to maintain their integrity throughout their lifecycle and ensure that authorized people have access to the right versions when required.

It enhances the organization’s operational efficiency by supporting its quality assurance efforts and minimizing the risks of outdated or inaccurate documents. The procedure is particularly useful for regulated industries such as healthcare and financial services to ensure compliance with applicable standards.

How to create a document control system?

This foundational step helps set up processes from document creation to final archiving and disposal. It helps build some consistent practices for document management to avoid common pitfalls such as missing documents or older versions.

Here are seven steps to help you create an efficient document control system:

1. Define the objectives

As with any exercise, begin by setting the key objectives of creating a document control system. The objectives can range from improving document accessibility and managing versions to ensuring compliance and reducing operational costs resulting from mismanagement. These key goals must align with the long-term company vision and aim for scalability.

2. Organize categories and types

Identify key document categories and group them based on the types of documents, such as policy documents, procedures, and records. For each document type, whether it’s a compliance document or a work instruction, define key attributes such as document ID (if applicable), created by, reviewed by, and retention period.

3. Evaluate document control system options

You have several options to choose from when creating a document control system. An on-premise system consists of locally hosted servers and gives you control over data storage. A cloud-based system can help lower infrastructure costs and solve for remote access. Alternatively a hybrid system can offer the best of both worlds where you can have the control of an on-premise system and the flexibility of cloud. Larger organizations can further streamline document management at scale using enterprise content management systems.

Pro tip: A GRC tool can also integrate document management with risk and compliance functions! .

4. Standardize naming conventions

Finalize a document naming convention that is easy to follow and helps minimize duplication or ambiguity. Some popular document naming conventions:

• Use abbreviations for document type such as POL for policy, REC for records
• Insert department identifiers such as HR (human resource)
• Add descriptive titles such as Data Privacy Policy
• Mention dates (like 20240101) and version numbers (like v1.0)

The convention you follow must be standardized across functions and make it easy for people to locate any required document.

5. Establish access permissions

Assign role-based access permissions to simplify access management. So, there will be admins, editors, and viewers instead of individual users. The access permissions can be read-only, edit, share, etc., based on the sensitivity of documents. Apply the principle of least privilege, i.e., grant minimum necessary permissions as required by job functions, and enable activity logging and tracking to identify suspicious attempts to access critical documents.

6. Set up centralized repositories

Use document management software or a dedicated server to ensure a centralized document location. If you use  GRC platforms like Sprinto, you will automatically have a built-in centralized place to organize your documents, especially for audit purposes. The repository allows for easy accessibility for cross-functional collaboration. Enable backup and recovery mechanisms to ensure business continuity in case of unplanned events.

7. Create other required procedures

Other required procedures to build a robust  document control system include review and approval workflows, data archiving procedures, version controls, regular checks, and a system for automating any document-related notifications. These workflows should be based on your organization’s unique needs, and you can tailor the systems eventually or based on feedback.

7 Steps to Implement Document Control Process

This stage is ‘implementation focused’ and discusses implementing the systems.

Here are 7 steps to implement the document control process:

1. Begin with document identification and labeling

Based on the naming conventions and the document categories, start assigning unique identifiers to help with tracking. You can also apply relevant tags to simplify document sorting, filtering, and retrieval. Communicate the labeling process org-wide to ensure consistent adoption and reduce any errors.

2. Roll out review & approval procedures

Define the roles and responsibilities of stakeholders involved in the review and approval process. The primary steps in this workflow will include the author drafting the initial document, review and revisions by reviewers, and final approvals by necessary authorities. Set deadlines and reminders for the review and approval process at each stage and keep an audit trail of revisions.

3. Enforce version controls

Here are some guidelines or best practices to ensure effective version controls:

• The file naming convention should be able to indicate if it is the latest or an outdated version. It should also clarify whether it is a major edit (v1.0, v2.0) or a minor edit (v1.1, v2.1).
• You can add descriptive notes to enable authorities to compare various versions
• Every version must have a review and approval process and a ‘final’ status to ensure there are no further edits
• Any outdated or previous versions should be archived

4. Set notifications for revisions and updates

Document revisions and updates are necessary for the document control procedure, so you must configure automated notifications for revisions. It enables the authorized person responsible for the reviews to initiate timely action and is especially necessary if you are preparing for compliance audits.

5. Train staff

Start by introducing the importance of a document control management system. Next, outline each person’s role in the process along with steps like document labeling, approvals, tracking changes, and maintaining logs. If you are using software such as a Document Management System (DMS), hands-on training for the software must also be arranged. Provide ongoing support and resources and gauge feedback on areas that need attention.

6. Implement archiving procedures

The archiving procedures require you to define the retention periods and any rules for when the documents become officially inactive. For example, if the organization is subject to HIPAA, the log retention requirement is 6 years, and the archiving rules will be created accordingly. The archived documents must also be stored securely and have proper access controls.

7. Monitor and enforce compliance checks

Lastly, the system must be monitored, and frequent compliance checks must be conducted to ensure proper adoption and identify gaps. The results must be reported to the top authorities, along with feedback on any non-compliance areas identified. This streamlined process ensures the system’s reliability and supports organizational objectives and regulatory requirements.

Benefits of document control process

A document control process helps with better digital organization and ensures people access documents efficiently while dedicating more time to mission-critical tasks.

Advantages of effecient  document control processes:

Enhanced access controls

A document control procedure helps strengthen access controls and minimize unauthorized access, as permissions are based on document type and job functions. Only authorized people can access the right information at the right time. Access to documents is also tracked using audit trails with details such as user, time of access, and activity, ensuring granular control while protecting sensitive information.

Better collaboration across teams

Document control systems allow for efficient collaboration across teams, where they can access and share the same information using centralized repositories. Certain systems allow for real-time collaboration and also have feedback and commenting systems to simplify tasks. Employees can also check versions, track the history of who made the last changes, and minimize duplication of efforts.

Scalability

Most document control systems today are cloud-based and help organizations scale effortlessly with growing needs. Features such as automated document discovery and classification, advanced search capabilities, multi-location support, and integration with other tools make things smooth as the organization grows and the processes become exhaustive.

Simplifies compliance for regulated industries

If you are in a regulated industry, a document control system ensures that all framework-related documents are proactively maintained. Sensitive information under frameworks like HIPAA and GDPR is classified and protected with access controls. Comprehensive audit trails serve as compliance evidence when required, and document version control ensures that only the latest and relevant documents are presented at the time of audits.

Minimized human errors and enhanced transparency

A document control procedure enforces consistent quality control practices for document formatting, approval processes, and retrieval, minimizing human errors and enhancing accuracy. Automating parts of the document lifecycle, it reduces the risk of conflicting actions and enhances transparency by providing clear insights into document processes. At the same time, it maintains discretion and protects sensitive information from unauthorized access.

Use Sprinto to integrate GRC solutions with Document Control

A strong document control procedure demonstrates your commitment to organizational efficiency, deters obsolete information, and keeps you continuously compliant. We’ve learned how to implement clear steps for the process, but integrating the process with broader Governance, Risk, and Compliance functions is another crucial aspect. This helps give a well-rounded approach and aligns document integrity with overall organizational objectives. And Sprinto make this integration a breeze.

Sprinto features a central repository of documents to prevent scattered storage and simplify audit-preparedness. It helps you go beyond static policy creation and take control of documents, acknowledgments, and compliance-linked evidence in minutes instead of months. The platform supports role-based access controls to ensure only the right people access sensitive documents and also runs granular level monitoring to send alerts on missing a compliance check.

The real-time health dashboard provides a bird’s-eye view of the compliance status and lets you initiate proactive actions as needed.

It also expands the scope of your GRC program with built-in policy templates, training modules, automated evidence collection, a trust center, and more.

Watch Sprinto in action and kickstart your journey today.

FAQs

What are the critical duties of a document controller?

The essential duties of a document controller include:

• Using a document control system to update, store, and manage documents
• Create and roll out any request forms or templates
• Manage document requests
• Conducting regular document audits to ensure reliability and accuracy
• Producing any reports for senior management
• Improving document control procedure

What is the difference between a document control procedure and a document management system?

A document control procedure focuses on maintaining the integrity, accuracy, and accessibility of documents, while a Document Management System (DMS) focuses on providing tools to manage the document lifecycle.
DMS automates document management processes and helps enforce document control policies and the document control procedure, in contrast, includes rules for document versions, publishing, access controls and archiving steps.

What is an obsolete document?

An obsolete document is a document that is no longer relevant and has been maintained longer than required for the organization’s operations. A scenario where a document can turn obsolete is when a company updates its policies or when a document does not meet current regulatory standards. It is crucial to mark documents obsolete to ensure that employees have access to the current documents and the latest versions.