Learn how to Manage and create quality documents with or without a Change Request in SimplerQMS.
Outcomes and Prerequisites
Section 1: Workflow overview
The flowchart below outlines the process of creating a quality document without Change Request (CR). To see how document processing changes due to a Change Request, refer to Work Instruction: Managing Change Request.
A document will require a Change Request when the following conditions are met:
- When the Document Type selected in the creation of the document is set to require a Change Request – this can be defined by a metadata administrator while setting up the Document Type
Section 2: Creating a Quality Document
Step 2.1 – Create a Quality Document – Initiator / Author
Step 2.1 can be accomplished by a person who has the All Contributors User Group assigned to them.
There are multiple ways to create a Quality Document in SimplerQMS:
- In the Create New section, on your Home Tab, click on Document
- Click on the Create (+) next to the Home Tab and choose Document from the dropdown list
- On the left side of the screen, expand Create and click on Document
2. To create a quality document from this selection, you need to define the Class as Quality Document
3. Select the right template
A Metadata Card will pop up.
Step 2.2 – Fill in the Metadata Card
Fill the following sections on the metadata card:
Part 1: Document Information
Part 2: Change Control
Part 3: Workflow Process Information
- Click Create after filling out all necessary information on the metadata card
- Working copy of the new quality document launches in Word (or in other the applications where document was initiated)
- Modify or draft the document if needed
- Save and check in the document and go back to SimplerQMS
- The document will be in the state “New Preliminary Document”, and it should be assigned to the document author
- Select the quality document and read the assignment description in the metadata card. Pay attention to your selected Document type, as that defines whether the quality document requires CR or not
6. Once you have verified the Document Type, click on “Proceed” under State Transition
7. If the document requires CR after it has been created, you will need to create a Change Request before moving on to the next steps.
a. The Document will stay in the state “Pending Change Approval” until the Change Request Plan has been approved. After that is done, you can proceed to Section 3.
b. To learn about creating a Change Request, refer to Work Instruction: Managing Change Requests.
NOTE on Quality Documents and Change Request
A quality document will require a Change Request and periodic review if the selected document type is defined to require a Change Request and periodic review in metadata administration.
ONLY a Metadata Administrator can create and define the Document Type.
In this example, Meeting Minutes is the document type selected, which does not require Change Request. Without CR a document will automatically get a unique ID once Proceed was pressed.
In this example, Procedure is the document type selected, which requires both Change Request and Periodic Review.
A document controlled by CR will only get a unique ID once the CR Planning phase is completed.
Once a document is created, it will not move forward until Proceed is pressed, so you have the chance to review your document type before starting a draft.
Note: This Work Instruction will follow the flow of a Quality Document without Change Request, but you will find notes referring to the changes that a CR adds to the flow.
Section 3: Drafting a new Quality Document
Note: If the document is controlled by a Change Request, the CR Plan needs to be approved before moving on to the next steps!
Step 3.1 – Draft new quality document and route for review – Author
- Check out the document, launches in Word (or other applications the template was initiated from)
- Draft the document with all the necessary information
- Click Save and close the document, check in to SimplerQMS
- Send the document for review, under State Transition, click on “Route for Review” (only when there is an assigned reviewer to the document)
- Alternatively, if no reviewer is assigned or the document ends up not needing a review, click on “Route for Approval without Review”
Section 4: Additional State Transitions for a Responsible Person under Review
(Skip this Section if there is no reviewer assigned to document, and proceed to Section 6)
The Responsible Person has the following two options:
Step 4.1 – Close Review Immediately
If the review is no longer necessary, the Responsible Person can end the review process without the need for reviewers to press “My Review Task Completed”
- Click on “Close Review Immediately” under State Transition
- This will require an electronic signature
- The document will be assigned back to the author and can move on to approval
Step 4.2 – Modify Reviewers List
When the document has been routed for a review, and the assigned reviewer(s) need to be changed, the Responsible Person can modify the reviewers list.
- Click on “Modify Reviewer List” under State Transition
- At this stage you can add other reviewer(s), remove, and reassign reviewer(s) on the metadata. You can see this highlighted on the Assignment Description.
- Once done, click on “Continue Review” under State Transition
Section 5: Reviewing the Quality Document
(Skip this section if no review is necessary)
Step 5.1 – Complete the review of the quality document –Reviewer
When the document has been routed for a review, it assigns to the document Reviewer and the State in the metadata is “Review Ongoing”.
- Check out the document, launches in Word (or other applications the document was initiated from).
- Review the document
- Document reviewer has the same level of access rights to the document as the author when it is on the “Review Ongoing” state
- Save and close the document. Check in to SimplerQMS.
- When the review has been completed, click on “My Review Task Completed” under State Transition if the number of modifications needed are acceptable
- If there are too many modifications needed after the review process, it is recommended to route the document back to draft by pressing “Route Back to Draft”
State should change to “Review Closed”
Section 6: Finalizing the Quality Document
Step 6.1 – Final draft of the Quality Document – Author
When the document has been reviewed, it assigns back to the author to finalize the drafting of the document and route it for approval.
- Check out the document, launches in Word (or other applications the template was initiated from).
- Write the final changes in the document.
- Save and close the document. Check in to SimplerQMS.
- Set the effective date in the metadata card (document cannot be routed for approval without the effective date).
- Under the State Transition, the author has the options to
- “Route Back to Draft” – if the author is not satisfied with the look of the document, they can restart the process from Section 3 by pressing this button
- “Route for Another Review” – if too many changes have been made in the document, it is recommended to send it for another review
- “Route for Approval” – to move forward with the document and proceed to Section 7
Note: If your document is controlled by a Change Request, it is not mandatory to set an effective date for the document before sending for approval, as the effective date of the Change Request will be carried over to the document once the CR has been closed.
Section 7: Approving or Rejecting the Quality Document
The document should now be assigned to the Approver(s) and the state is” Awaits Approval Signature(s)”. At this stage, no changes can be made on either the document or the metadata.
Step 7.1 – Approve the Quality Document – Approver
- Select the document and under State Transition click on “Approve Document”.
2. Approve the quality document with your electronic signature using your SimplerQMS log-in and password
a. If the Approver is not satisfied with the content or the layout of the document, they can reject the document which will go back to draft and the process from Section 3 starts all over again.
b. In case of multiple approvers, it is enough if only one of them rejects the document for it to go back to draft and be reassigned to the author.
3. If the effective date is set to be on the day of approval, the document will be released as a PDF and in state “Effective”.
- If the effective date is set in the future, the working copy will be released but the PDF copy will be on the state “For Learning”. Proceed to Section 8.
Note: If your document is controlled by a Change Request, the document will be under the state “Awaits CR Approval”. You can now proceed with the Implementation and Closure of the Change Request. Refer to Work Instruction: Managing Change Request, Section 6 and onwards. The document will become effective once the Entire Change Request has been approved and released.
Section 8: Making effective immediately – Responsible Person
(Skip this section if the effective date is not set in the future)
If the effective date of your document was set in the future, the PDF copy of the document will not be released until the effective date is reached. This will put the document in “For Learning” state.
The “For Learning” state allows the training manager to create a learning rule. Refer to Work Instruction: Training and Learning for further instructions about learning rules.
If the document is needed to be released earlier than the set effective date, the Responsible Person has the option to make the document effective immediately.
- Click onthe PDF version of the document. It should be on state “For Learning”.
- Under State Transition click on “Make Effective Immediately”
3. Enter your electronic signature and then click OK.
a. An “Exceptions” box is available to write an explanation as to why the document needs to be effective immediately.
4. This will release the quality document as a PDF and in state “Effective”.
a. The working copy of the document will keep the original effective date, but the released version will update to the date when it was made effective immediately.
Section 9: Routing for Update – Author / Responsible Person / Process Manager
These commands are available for the author, responsible person, and process manager.
- If the document needs to be updated to a new version, select the working copy (Word file) and under State Transition click on “Route for Updates”.
2. The state should change to “Awaits Updates” and the title should update to include the next version number (e.g., v2)
3. The document to update is assigned to the author. Go through the actions described in Section 3, 5, 6, and 7
Note: If your document is controlled by a Change Request, updating it will require you to create a new Change Request. You will need to go through the entire Change Request flow for an update. Editing the document will only become available once the Change Request Plan has been approved.
Section 10: Routing for Retirement – Responsible Person / Process Manager
- If the document needs to be retired, select the working copy (Word file) and under State Transition click on “Route for Retirement”.
2. A Retire Date will need to be entered in the metadata
3. Click on Submit Retirement Date under State Transition.
4. The state should change to “Document Retired”
Note: If your quality document is controlled by a Change Request, retiring it will require you to create a Retire Request. You will need to go through the entire Change Request flow for the retirement but will not need to process the quality document as the system will automatically move it to state “Controlled Document Retired” once the CR is approved.