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Controlled Documents

Introduction

In this guide we will dive into the Controlled Document process. Please note that it is based on Simploud’s best practices which were developed from years of experience, however, we can simply update it to align with your business needs.

We recommend working with this guide while having the system open this way you can learn faster and experience it yourself!

Controlled Document Workflow

Before we start learning how the Controlled Document process works, it is important to understand that each process has its own flow called “Workflow” (this will be explained later).

This is the out of the box flow of the Controlled Document that we will go over:

Creating a New Controlled Document

Follow along the instructions and let’s learn how manage documents in Simploud!
Controlled Document
  • Go to the Controlled Documents tab.

  • You can also click on the 9 dots and search the Controlled Documents object.

  • Click on the New button.

Controlled Documents
  • Fill in the Document Name and Type.

  • Click Save.

Workflow Component

 

What is a Workflow?

Each record has its own workflow which displays the record’s current state. In each status there could be one or more users responsible for the document such as the author, reviewer(s) and approver(s) that need to complete certain tasks in the record. By completing these tasks (using workflow buttons), those participants allow the workflow to move on to the next status. These tasks are also known as “Workflow Tasks” discussed in the Tasks section.

Controlled Document
  • These are all the statuses the record can go through.

  • These are the workflow buttons that will allow us to move the record between statuses.

Fields

The fields capture data of the record. 
There are multiple field types such as: text, date, number, picklist (drop-down) and checkbox.

Controlled Document GIF
  • The fields are presented in the page layout in the Details tab.

  •  Make a change in one of the fields (e.g. Responsible Department). Click Save.

Audit Trail

Captures the record’s changes as required by Part 11. 

Scroll down and see the change you made captured in the Audit Trail. 

Controlled Document
  • Who made the change?

  • When the changed occurred?

  • What changed? – old and new value.

Right Side Component

Attach a File 

Click on the Check-In button. Follow along the video and upload a document to the record.
Controlled Document
  • Check-in/out- allows us to upload the document file.

  • Participants- assign reviewers and approvers.

  • Tasks- create tasks related to the record (will be explained in a later stage).

  • Related Items- add new related items or link existing ones. For instance, link other relevant documents to the record.

  • Prints- allows us to print the record information. We can create several prints for a record.

Controlled Document
  • Check-in/out- allows us to upload the document file.

  • Participants- assign reviewers and approvers.

  • Tasks- create tasks related to the record (will be explained in a later stage).

  • Related Items- add new related items or link existing ones. For instance, link other relevant documents to the record.

  • Prints- print the record information. Different prints could be created for an object.

Edit The Document 

The Check-Out button allows you to edit the document and download it locally to your computer. Watch the video and try checking the document out yourself.

Review Stage

We are now going to send the record to the Reviewer for feedback.
As an example, select yourself as a reviewer and send the record to the next status. 
There is no limit to how many users you can add. You can also add yourself as a reviewer/approver (to maintain flexibility).
 
The record moved to the Review status.
The reviewer(s) can now check-out the document, add their feedback and check-in the document. 

Electronic Signature

  • Each button can have an electronic signature in order to move to the next status.
  • You can define a signature for any button (usually we set the login to be the first name of the user).
    Sign the record with your nickname, click Approve Review  and move to the Final Draft status.

     

Approval Stage

The document needs to be approved by the approver(s).
Assign an approver participant to the record (from the right component, similar to the review stage).
Click on Send for Approval and move to the Document Approval status.
There is an option to request a comment from the user when we want to move to a specific status. Here, we rejected the approval of the document and the popup message asks for the reason for rejection.
 

Document Approval

PDF Rendition

In this status, the system generates a pdf including some data that is reflected to the header and footer. The watermark presents the record’s recent status.

In the Out of the Box configuration, the document moves automatically to the Effective status two weeks after the approval date.

You can also manually push the document to the Effective status by clicking on Make Effective.

Effective Status

  • The version of the document is updated to the next full number-from 0.2 to 1.0.
    You can also see that in the Effective status document signatures were added to the PDF rendition.
  • Take Ownership- this button allows the user to control the current workflow status. Pressing this button will display the workflow buttons.

  • Closed Status- you can see that the Effective status is a closed status which you can’t edit. In this case, the Take Ownership button appeared because of the closed status.

Creating a Revision

Excellent! You finished handling your first Controlled Document record. 
Now, suppose the document is already effective and you want to make changes to it.
Click on the Create Revision button.
 
Controlled Documents
  • The version is still 1.0 (the last version of the previous revision).

  • The record will be pushed back to Draft status.

  • The starting point of the word document will be the last Effective version.

You have reached to the new revision of your Controlled Document record.

Revision History

Move the record to the Effective status (as we did in the previous revision).
Controlled Documents
  • You can see that the version is now 2.0.

  • From the Revision History you can return to previous versions. The previous version will remain in version 1.0 and in Obsolete status.

General Requests

  • Adjust the header/footer in the pdf rendition.
  • Signature & Revision History Page – This page can be first/last page (revision history table can be removed).
  • User’s title/role/department can be added to the signature table.
  • Update the document numbering scheme (e.g SOP-000001).
  • Change the fields that are presented in the Recently Viewed list view.
  • Additional Files- if you want to add a file that isn’t word or pdf (for example excel), you can use the Additional Files tab and upload the file from there. The system can’t make a rendition for the additional files, so if you want the file to be rendered upload a pdf version from the Check-in component.

If you have any question you can go to the Configuration Items and search any question that you have in mind:

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