LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/01

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

Procedure: Control of Documents

1. SUMMARY

1.1. This procedure defines the requirements for the creation, review, approval, distribution, use and
revision of Locomotive Workshop, Northern Railway, Charbagh, Lucknow Integrated
Management System documents.

1.2. This procedure applies only to documents which instruct Locomotive Workshop, Northern Railway,
Charbagh, Lucknow, Staff on how to carry out activities and tasks; this includes manuals,
procedures, forms and instructional sheets or posters. Documents outside of this scope do not
require control.

2. REVISION AND APPROVAL

This procedure is released and approved as follows.

Rev. Date Nature of Changes Approved By
[Rev [Procedure
[Date of
Number Original issue. Approver
Issue]
] Name]

3. PROCEDURE

3.1. Creation of Documents

3.1.1. Documents are created by an appropriate subject matter expert.

3.1.2. All internal documents are created as soft files (MS Word®, etc.); it is recommended that
files of a similar type follow the format of other documents in that type.
3.1.3. Draft versions must then be sent to the appropriate approver(s) for review and approval.
3.1.4. Original releases of documents are given a revision indicator of “00”.
3.2. Review and Approval

3.2.1. The Apex Manual Doc may only be approved by the Dy. C.E. Other documents are to be
approved by the original author, an appropriate SSE or Senior Management Team
Nominee.

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LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/01

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

3.2.2. Draft files may be sent to the approver(s) via hardcopy.

3.2.3. The reviewer will resolve any issues with the original author to achieve a satisfactory
document.
3.2.4. The reviewer will indicate approval of the document by putting a sign on hard copy.
3.2.5. The approved document shall then be forwarded to the [Document Controller].
3.2.6. The Document Controller will maintain a binder of most current hardcopy versions of
documents. Any previous hardcopies in this binder are to be discarded or filed in an
obsolete document file.
3.2.7. The List of official released documents shall act as a “master list” of documents,
indicating the current versions of all documents.
3.2.8. If maintained in soft, the Document Controller will maintain a computer folder, on the
company server, for the latest soft copy versions of document. This file set must be on a
server subject to data backup. The Document Controller will place new or revised
documents into that folder, setting each file’s permission to READ ONLY, or converting
the released versions to a non-editable file format.
3.2.9. Any previous soft versions are then moved to a separate folder identified for obsolete
documents which are kept for historical purposes. The directory of official released
documents shall act as a “master list” of documents, indicating the current versions of all
documents. No other master list is required.
3.3. Distribution of Documents

3.3.1. The Document Controller will maintain a list of where controlled hardcopy documents are
to be distributed. The Document Controller will be responsible for distributing updated
copies of such controlled hardcopies to proper locations. Controlled hardcopies shall be
stamped CONTROLLED in red ink on the first page, to distinguish them from uncontrolled
documents or photocopies.
3.3.2. Controlled hardcopies may not be altered or modified by users, and must remain legible
and readily identifiable. This includes hand mark-ups by unauthorized personnel. The
only exception to this rule is for Forms (see below.)
3.3.3. Controlled hardcopies may not be photocopied, unless for the purposes of sending to a
recipient who is authorized to receive uncontrolled versions of Locomotive Workshop,
Northern Railway, Charbagh, Lucknow documents (i.e., a vendor or customer). The only
exception to this rule is for Forms (see below.)
3.3.4. If Soft Copies are used, documents will be available in PDF Format for all employees.
Employees receive training on the file and folder locations for most current documents.

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LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/01

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

3.4. Re-Evaluation

3.4.1. Documents must be reviewed by the original author or another subject matter expert or
top manager every three years or in case of any subsequent change.
3.4.2. The Document Controller will ensure re-evaluation is conducted and that documents are
updated if required. The Document Controller will maintain a record of document re-
evaluations, to identify when documents are due for re-evaluation.
3.4.3. If a document is determined to require updating, the changes shall be made and a new
version issued per the rules below.
3.4.4. If a document is determined not to require updating, no action on the document is
necessary.
3.5. Revising Documents

3.5.1. Changes to documents go through the same steps as original issue, except that their
revision level is advanced upon approval.
3.5.2. Only authorized personnel may change documents, although any employee can request
a change to their Manager by filing the Document change request form. Wherever
possible, the document shall include a change history table within its text. Forms do not
require a revision history table.
3.5.3. Any changes to documents that require customer or regulatory authority review and
approval shall be submitted accordingly, and not implemented until such approval is
obtained.
3.5.4. Re-evaluation, inspection (where applicable) and internal auditing will confirm the
effectiveness of changes.
3.6. Controlling Documents of External Origin

3.6.1. For external documents such as standards or third party specifications which are
referenced in a customer purchase order or contract, these documents may be
maintained without control, provided that the revision of the document on file matches the
revision indicated by the customer. Where the customer provides no revision number, the
latest (most recent) revision shall be assumed.
3.6.2. For external documents such as standards or third party specifications which are not
referenced in a customer purchase order or contract, these must be controlled. Such
control requires that the Document Controller or responsible manager obtain the latest
version of the document, and maintain it on the company server (for electronic versions)
or in a binder of controlled external documents (for hardcopies). Like other controlled
documents, these may not be edited or copied.

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LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/01

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

3.6.3. External documents for non-critical use, such as user manuals, reference books,
marketing materials, and supplier directories are not controlled.
3.7. Forms

3.7.1. Forms are a special kind of document that may be photocopied as needed. Furthermore,
forms do not require an approval signature; department managers are responsible for
creating and using forms in their areas.
3.7.2. A softcopy of each approved form must be sent to the Document Controller for inclusion
in the Document Master List, and for inclusion in the document control area on the
intranet for soft version.
3.8. Numbering Pattern

3.8.1 The documents are identified by the type mentioned on it and abbreviations used.

AM- Apex Manual SOP – Standard Operating Procedure

PM – Procedure Manual FR- Record Formats

FC – Flow Charts CP- Control Plans

1. The numbering Scheme for Apex manual & procedure Manual is :XX/YY/ZZ – Where

XX corresponds to AM for Apex manual & PM for procedure manual

YY corresponds to SMT and

ZZ corresponds to the sequential numbering given to the document.

2. For all other documents, The numbering Scheme for the documents is : XX/YY/ZZ – Where

XX-corresponds to the Type of Document. Example: CP- Control Plans, FC – Flow Charts,
SOP – Standard Operating Procedure, FR- Record Formats

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LOCOMOTIVE WORKSHOP, NORTHERN RAILWAY, LUCKNOW

Procedure Manual - IMS DOC. NO. : PM/LW/SMT/01

ISO 9001:2015, ISO 14001:2015 & ISSUE/REV NO.-1/0Date : 15-09-2019

ISO 45001: 2018

YY corresponds to the Department name I.E. ELECT/ MECH/ SMT

ZZ corresponds to the sequential numbering given to the document/ record’ within the department.

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