Sustainability & Risk / Compliance / Compliance Program Manager
Sustainability & Risk / Compliance / Contract Manager

Adding Documents for Compliance Records

You can add documents to:

• compliance programs
• requirements
• contracts
• contract terms

• events

• regulations
• events
• locations

Procedure

1. Select one of the following tasks:

   Purpose	Task	Steps
   Add documents for a regulation or initiative. For example, attach a PDF of the regulation.	Manage Regulations and Initiatives	Access the task. If needed, use the Filter console to locate the regulation. See Using the Filter Console for Regulations. Click Select in the row for the regulation. The Define Regulation tab becomes active. Select the Documents tab. Click Add New. The Define Document for Regulation form appears.
   Add documents for a compliance program. For example, attach a document that describes the program's purposes or goals, a set of processes and procedures associated with the program, regulatory audit paperwork (such as notices or results), violations paperwork, or certifications by the responsible person or vendor that the entire program is in compliance.	Manage Compliance Programs Manage Contracts	Access the task. If needed, use the Filter console to locate the compliance program or contract. See Using the Filter Console for Programs Click Select in the row for the program or contract. The Define Program tab becomes active. Select the Documents tab. Click Add New. The Define Document form appears.
   Add documents for a compliance requirement. For example, attach a PDF of the permit or license.	Manage Compliance Requirements Manage Contract Terms	Access the task. If needed, use the Filter console to locate the requirement or contract term. See Using the Filter Console for Requirements. Click Select in the row for the requirement or contract term. The Define Requirement tab becomes active. Select the Documents tab. Click Add New. The Define Document for Compliance Requirement form appears.
   Add documents for locations. For example, attach a copy of the inspection report for the location,	Manage Compliance Locations Manage Contract Locations	Access the task. If needed, use the Filter console to locate the location. See Using the Filter Console from the Manage Compliance Locations task. Click Select in the row for the location. The Define Location tab becomes active. Select the Location Documents tab. Click Add New. The Define Document for Compliance Location form appears.
   Add documents for events. For example, attach a scanned, signed completion certification for this event.	Manage All Compliance Events	Select the task. In the Select Compliance Items drill-down list, select the compliance item (regulation, program, or requirement) that has the event you want to add a document for. If needed, use the Filter console to locate the item. See Using the Filter Console for the Manage All Compliance Events task. In the right pane, click the Select button in the row for the event. The Define Event tab becomes active. Select the Documents tab. Click Add New. The Document for Compliance Event form appears.
   Add documents for missed or overdue events.	Manage Missed and Overdue Events (Compliance Program Managers)	Access the task. If necessary, use the Filter console to locate the event. Click Select in the row for the event that you want to associate a document with. The Define Events tab becomes active, Click the Documents tab. Click Add New. The Document for Compliance Event form appears.
   Compliance Program Coordinators
   Add documents for requirements assigned to you.	Manage My Compliance Requirements	Access the task. If necessary, use the Filter console to locate the requirement for which you want to add a communications log. Click Select in the row for the requirement. The Define Requirement tab becomes active. Select the Documents tab. The Documents for Compliance Requirements form appears.
   Add documents for permits and license requirements assigned to you.	Manage My Permits and Licenses	Access the task. If necessary, use the Filter console to locate the permit or license for which you want to add a communications log. Click Select in the row for the permit or license. The Define Requirement tab becomes active. Select the Documents tab. The Documents for Compliance Requirements form appears.
   Add documents when managing missed and overdue events assigned to you.	Manage My Missed and Overdue Events	Access the task. If necessary, use the Filter console to locate the event. Click Select in the row for the event that you want to associate a document with. The Define Events tab becomes active, Click the Documents tab. Click Add New. The Document for Compliance Event form appears.

2. Enter the following:

   Document Name	Enter a name that identifies the document.
   Description	Enter text that identifies the document to users. The Description appears in selection lists to help users identify the document.
   Document Category/Document Type	Select a document category and type to describe this document. If you select a category and type for the document, these can be entered as search criteria to help you quickly locate the document. Your Business Process Owner defines the categories and types from which you choose.
   Document Folder	Select a folder for the document so that you can search for it by folder, or locate it by drilling down in a selection list of folders and subfolders. Using Document Folders is especially useful for generic documents, such as best practices, that are not associated with a single record, and that might even be used across applications. However, you can associate any document, even those associated with a specific record, with a Document Folder to facilitate locating it. Once you drill down to a folder and select it, the field displays the last folder in the path; it does not display the entire folder hierarchy. Your Business Process Owner defines the folder structure.
   Document Author	Enter the name of the person who wrote the document, or the name of the organization that published the document.
   Document Name	Enter a unique name to identify the document.
   Date Document	Enter the date the document was published or written, or another critical date. For example, when adding documents using the Compliance application, you could enter the invoice date, bill date, or the issued date for a permit or license when adding a document. For Health & Safety, critical dates might be the training date, or the issued date for personal protective equipment. When users search for documents using the Date Document From and Date Document To fields, the application selects records for the restriction based on the document's Date Document.
   Document Review Group	Select the security group that is allowed to view this document. If you leave this field empty, any user who has access to this task can view the document.
   Document Notes	Enter any additional notes that describe how this document is used. For example, enter a document abstract, or enter a custom tag that you define to make locating this document easier by entering this tag in the Document Notes field in a Filter console.
   Description	Enter a description of this document, for example, to describe how it is used.

3. Do one of the following:

• To save the record and add a new one, click Save and Add New. The record is saved, and the form refreshes by clearing the values you entered so that you can add a new record.
• To save the record, click Save.

4. Check In the document: 
   After you save the document information, the Document fields now has the Check In New Document button, an up-arrow next to the Document field.

   

   Click this button to access the dialog to locate and select the document. After selecting the document, click OK in the dialog. See Working with the Document Management System for more information.

   After you select the document and click OK in the dialog, the document is stored in the Archibus document management system, and it is associated with the regulation, compliance program, requirement, event, or location you selected.

See Also

Managing the Document Library -- To work with all documents, those that are associated with specific compliance records and those that are not.

Define Document Categories and Types and Define Document Library Folders -- For information on defining the background tasks for the document library.

Working with the Document Management System -- For information on locking/unlocking records, checking in revised versions of documents, and so on.