I am looking for any references that support the use of document ID numbers. I am currently writing procedures required for Sarbanes Oxley certification and would like to use a smart numbering system to identify documents. I have spent some time researching the internet looking for supporting documents but can find nothing. I did find one citation that stated that both ISO 9000 and Sarbanes Oxley require document and version numbers on all printed documents, but cannot find anything that supports that statement.

Can anyone point me in the right direction?

I am looking for any references that support the use of document ID numbers. I am currently writing procedures required for Sarbanes Oxley certification and would like to use a smart numbering system to identify documents. I have spent some time researching the internet looking for supporting documents but can find nothing. I did find one citation that stated that both ISO 9000 and Sarbanes Oxley require document and version numbers on all printed documents, but cannot find anything that supports that statement.

Can anyone point me in the right direction?
I don't know about SOX, except that I put on clean ones every day:cool: , but ISO 9000 doesn't specify document numbering requirements. You do have to be able to distinguish the current version from others, but how you do it is up to you. My own experience has been that so-called "smart" numbers usually aren't, and the simplest method that allows for unique identification is usually best.

We number our procedures and instructions so that they correspond with the sections of the standard. Our forms are sequential with the department indicated by a letter.This is a partial copy of our list.

Michelle

Document List

Document #

Document Name

OP 4.2Z Control of Documents
OP 4.3Z Control of Records
OP 6.2Z Training
OP 7.1Z Sales Quote
OP 7.3D Design & Development
OP 7.4P Procurement
OP 7.5S Shipping & Receiving
OP 7.5X Production
OP 7.6Q Calibration
OP 8.1Z Measurement Analysis & Improvement
OP 8.2Q Internal Quality Audits
OP 8.2Z Customer Satisfaction
OP 8.3Z Control of Nonconforming Product
OP 8.5Z Corrective & Preventive Actions

Welcome to the Cove!:bigwave:

Sorry. I consider myself VERY experienced and knowledgeable in most aspects of document management and control. There is NO STANDARD which requires document numbering.

There are several Standards which describe numbering schemes, primarily these:
MIL-STD-100 Engineering Drawing Practices (withdrawn as obsolete)
ASME Y14.100 Engineering Drawing Practices
ASME Y14.25M Revision of Engineering Drawings and Associated Documents
ASME Y14.34M Associated Lists

Practically speaking, modern computers have obviated the primary reasons for numbering schemes which primarily were for ease of filing so documents could be created in numerical order to avoid shuffling filing cabinets, as might be necessary with an alphabet-based system. Search methodology like Google makes location and retrieval easy in the same manner that alphabetical and numerical systems made filing and retrieval easy in pre-computer days. Thus, documents may be filed under "common sense" titles, rather than imposing a layer of numbers to complicate the process (where folks need training and, perhaps, a "cheat sheet" to understand the filing scheme.)

I am looking for any references that support the use of document ID numbers. I am currently writing procedures required for Sarbanes Oxley certification and would like to use a smart numbering system to identify documents. I have spent some time researching the internet looking for supporting documents but can find nothing. I did find one citation that stated that both ISO 9000 and Sarbanes Oxley require document and version numbers on all printed documents, but cannot find anything that supports that statement.

Can anyone point me in the right direction?The reason you can't find it, is because it doesn't exist. There is no requirement In ISO 9001 to numbering documents. I would be interested in knowing where in the SOX act it is required.

The reason you can't find it, is because it doesn't exist. There is no requirement In ISO 9001 to numbering documents. I would be interested in knowing where in the SOX act it is required.
I'm pretty familiar with SOX, too. It is simple enough to run a search on an electronic copy of the Act - nothing even similar to a required numbering scheme is contained in the act.

As always, there are folks who neglect to go to the original source material and take the word of "self-styled experts." I urge ANYONE faced with this question to go to the original documents (ISO9001:2000 and SOX) and search through them word-for-word to confirm or deny my pronouncement.

I'm pretty familiar with SOX, too. It is simple enough to run a search on an electronic copy of the Act - nothing even similar to a required numbering scheme is contained in the act.

As always, there are folks who neglect to go to the original source material and take the word of "self-styled experts." I urge ANYONE faced with this question to go to the original documents (ISO9001:2000 and SOX) and search through them word-for-word to confirm or deny my pronouncement.Precisely! It is attached for anyone interested.

Michelle,
Thank you for sharing a simple number system. I have been struggling with that. I do not want to use unecessary numbers.
Kathy

I am looking for a very simple way to number my procedures, WI, forms, even master lists. Any help here?

You can have a prefix for WI- Work instruction, FM- forms, QP- quality procedure and process, TP- test procedure, AI- assembly instruction, BM- Bill of materials, SC- Schematic and so forth.
starting with -0001 like FM-0001, WI-0002, QP-0003.

Assign one decription for each 4 base digit number. Such as -0001 for Quality Manual, -0002 for document control procedure. And you can use the same 4 digit part number if you are pertaining to the same description such as if you have -0003 for non conforming product procedure, you can use the same -0003 for its form, such as QP-0003 -non conforming product procedure and FM-0003 for non conforming product report form (NCR Form) and WI-0003 for a work instruction for NC product . Assign part number in ascending order regardless of the prefix. Do not use the same base digit for different prefix. (Ex. do not assign WI-0001- work instruction for requesting PO if you assigned the base number -0001 to Quality Manual, QP-0001)

If you have plenty of documents you can add more digits to it, 5 or 6 digits such as QP-000001 or QP-00001 and so forth.

I hope this helps.

I am looking for a very simple way to number my procedures, WI, forms, even master lists. Any help here?


Why use numbers at all. It is more meaningful to use names and titles that are clear and understandable. Computers no longer limit us to short 8 character filenames.

Michelle,
Thank you for sharing a simple number system. I have been struggling with that. I do not want to use unecessary numbers.
Kathy

IMO it is best to set up your numbering scheme inherant to your organization. Styling after standards only leads to:
1) extra work (when either the standard is revised or you attain certification to another standard [9001/14001] where there are numerous shared systems/processes) , or
2) confusion and slow learning curves because the numbers do not have any significant meaning without point of reference of the standard.

We use a combination alpha-numeric based on the process and process step.
Example from Nonconformance Management:
Work instruction: NCM-01
Visual SOP: NCM-01-01, NCM-01-02
Forms: NCMF-01, NCMF-02, NCMF-03

Develop one cross-reference from your processes to any standard that is relative. The only folks that need to know standard info are your management/staff and internal auditors.