Document Control Review Checklist for Insurance
A checklist for reviewing the document control system to ensure all business documents are current, accessible, and managed according to quality management principles.
Aligns with ASIC regulatory requirements, General Insurance Code of Practice, and AFSL obligations. Includes audit trail provisions.
Complete Checklist
- 1Review the master document list and confirm it is complete and currentCritical
- 2Check that all controlled documents have a current version number and dateCritical
- 3Verify that obsolete documents have been archived or destroyed
- 4Confirm that all documents have been reviewed within their scheduled review period
- 5Check that document approvals are recorded with the appropriate authority signatures
- 6Verify that the most current versions are accessible to all relevant staffCritical
- 7Check that hard copy controlled documents in use match the current digital versions
- 8Review the document change log for any changes made during the period
- 9Confirm that new documents created during the period have been properly registered
- 10Check that document naming conventions are being followed consistently
- 11Verify that the document storage system is organised and searchable
- 12Assess whether any gaps exist in documentation coverage
- 13Review the template library and update any outdated templates
- 14Check that external documents such as standards and regulations are current
- 15Document the review findings and update the document schedule as needed
Frequently Asked Questions
What is document control and why does it matter?
Document control is the system for creating, reviewing, approving, distributing, and archiving business documents. It ensures that the right people have access to the right version of the right document at the right time. Without document control, staff may follow outdated procedures, leading to errors, inconsistency, and non-compliance. Good document control is a foundation of any quality management system.
What is the best way to ensure staff are working from current documents?
Use a central digital document management system where the latest version is always the one accessed. Remove or archive outdated hard copies. Send notifications when documents are updated. Include document training in onboarding. Conduct periodic checks to verify that the documents staff reference match the current controlled versions. Make it easy for staff to access the right documents quickly.
How should we manage document version control?
Assign a unique reference number and version number to each document. Increment the version number each time the document is revised. Record the date, nature of changes, and approver for each version. Archive previous versions rather than deleting them. Use a document management system or a clear folder structure that makes the current version obvious and prevents confusion.
Need help implementing these checks into your daily operations?
Our team can build custom checklists integrated into your daily operations workflow.