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Environmental & Risk Management / Compliance Management / Business Process Owner - Compliance

Defining Document Library Folders

Compliance Officers need to track, organize, and manage a large volume of many different types of documents related to compliance. This is required primarily to successfully pass regulatory audits, and to reduce liability risk from lack of documentation in the event of litigation due to an accident or health-related incident where compliance comes into question.

Using the Compliance Management application, you can store documents by associating them with a regulation, program, requirement, location, or event. However, some documents are general documents that do not apply to a single record. In these cases, Compliance Officers might want to organize documents into a filing system that is customized to their unique business needs or structure by defining document library folders. This is especially useful when the document is not associated with individual records, or is used across different ARCHIBUS applications.

These document folders enable you to locate documents by browsing the filing system using drill-down selection lists, as found in some views, or by entering the Document Folder as a search criterion in a Filter console. When you enter the Document Folder as search criteria, both the drill-down selection list and the grid pane showing the list of documents is restricted to show only the documents associated with that Document Folder.

You can associate a document with an individual record, and also with a Document Folder. You can associate a document with a Document Folder and also with a Document Category and Type.

A sample hierarchical filing system might be:

Compliance

FY2011

ISO

Environmental

HR

Finance

Vendors

Vendor A

Contracts

SLA

Regulatory Agencies

EPA

OSHA

FDA

Best Practices

Inspections

Audits

Documentation

Correspondence

IN

OUT

Define Document Folders and Sub-Folders

The first step in creating the document framework is to establish document folders.

1. In the Process Navigator's choose Define Document Library Folders.
2. Click Add New to open the entry form.
3. In the entry form enter a name and optional summary and description for the folder.
4. In the right pane click Save.

After you define one or more document folders, define sub-folders to enhance organization. To define a sub-folder:

1. Create at least one document folder.
2. In the middle pane click Add New to open the entry form in the right pane.
3. In the entry form enter a name and optional summary and description for the folder.
4. Use the Parent Folder select tool to select the folder within which the sub-folder will reside.
5. In the right pane click Save to record your entry in the database.

   The sub-folder is displayed under the parent folder in the left pane.