Info
Note: This documentation is provided in its previous/legacy format. A comprehensive restructuring and optimization effort is planned, and the content will be updated accordingly.
Info
Note: The Compliance module is the preferred tool for managing assurance documents. However, this advanced assurance documents module remains available and can still be activated and used if needed.
Goal
Via the assurance documents module, insight and overview can be obtained with regard to laws and regulations regarding the assurance of documents and / or contracts. By determining the desired and required assurance types per object (property and asset) and determining the responsibilities and validity of these documents, a clear overview of the assurance rules and the existing, expired or missing documents or contracts can be made visible via the assurance dashboard, per property or for all properties.
Workflow used
This process uses workflow version: FMB-WF-1909001-01
Description
Note, there is also a "Simple" version of assurance documents. That option has a lot less functionalities (for example, no document workflow) but might also be sufficient in some cases: Assurance documents (simple)
The Assurance documents functionality consists of the following main components:
Assurance types (CodeTypes)
Assurance types are the main objects that bundle multiple assurance rules that fall within this type. As a result of this bundling, it is only necessary to indicate per property which types of assurance must be complyed to and all underlying assurance rules automatically apply.
wide760For each type of assurance, it must be determined whether it relates to properties or assets. If it concerns assets, the asset category must also be chosen.
It is then possible to indicate for each property which assurance types apply to this property. For assets, if assurance documents apply to the property(yes/no setting on a property), any assurance type that relates to assets of a certain category automatically applies to all assets of this category that are coupled to that property.
Assurance rules (CodeTypes)
One or more assurance rules need to be created per assurance type. This object determines the actual details regarding the assurance and workflow for the document. A assurance rule can relate to (the mandatory presence of) a document or a contract.
For each assurance rule, it must also be indicated which user group is responsible for the assurance rule and what type of document or contract is required. If the assurance rule relates to a document, the following additional information is important:
- Cycles: Determine the validity period of the document. Based on this period, the document will automatically expire if it is not revised in time. If left blank, the document will never expire and will automatically be assigned "Final Version" status.
- Approval group : If filled in, a document associated with this assurance rule will automatically generate a task for this group of users for approval of the document upon submission. The document will be in "Draft" status until approved.
Document types (CodeTypes)
In order to be able to distinguish between types of documents (Not every assurance document relates to every assurance rule, but the same document could related to multiple assurance rules. So it is possible to use the same document type for multiple assurance types), document types must also be created. These are only textual labels.
Document types instead of document categories were deliberately chosen to make this distinction, because these types are easy to create and manage bu the assurance document manager. Generally, more technical knowledge is required to create and manage categories.
Assurance documents
Via the tab "Assurance documents"* on a property or assets it is possible to upload new assurance documents. The documents are automatically created in the category "Assurance documents", if they are uploaded via this tab in the include "Upload assurance documents".
Once a document has been uploaded, the document type can be set in the same screen. After this, the process behind the assurance document starts automatically (see below).
*This tab is visible if "Assurance documents apply" is set to "Yes" for the property. This field on the general page of the property is visible and editable for the assurance document manager.
Contracts and contract types
In addition to the above components, contracts and contract types are also important. It is possible to indicate that a assurance rule concerns (the presence of) a contract instead of a document. A contract type must be specified here. This assurance rule is considered "assured" if the property or asset to which this assurance rule is linked, is also linked to an active contract (via a Contract Item) with the same contract type as the assurance rule.
There is no further process behind the contract itself. If this assurance dashboard does not show a compliance for this assurance (no contract item found in an active contract of this contract type), this object (property or assets) simply needs to be linked to an existing or new contract of the same contracttype.
A responsible group also needs to be set for assurance rules relating to a contract. This is only informative, so that the assurance dashboard shows which group / department should take care of this. This does not mean that this group also has automatic access to the contracts module. If this group does not have access to (the correct) contract, it can cause users in this group to incorrectly see that there is no contract.
Objects to which assurance documents might be related
Assurance can apply to both properties (whole property) and specific assets within this property.
Property
It is necessary to indicate per property whether assurance applies. If applicable, indicate per property (via the tab "Assurance documents") which assurance types apply. The Assurance Dashboard shows all present and missing assurance documents for properties where assurance applies, based on the associated assurance types for the property.
Assets
If assurance applies to the property, all assurance rules automatically apply to the asset within the property, which relate to the category of this asset. Assurance documents are uploaded within the specific asset page, also via the "Assurance documents" tab.
Process assurance document
Submit
As soon as a new assurance document has been uploaded and the document type has been set, it is automatically determined which assurance rules apply to this document. This can of course be more than 1 assurance rule. Based on the responsible group (s) of the underlying assurance rule (s), all users in these groups are tasked with providing the assurance document with the latest revision date and submitting it. This task can also be performed by the creator of the document itself.
The next revision date of the document is then automatically determined. This is set on the basis of the underlying assurance rules and the assurance rule with the shortest cycles is leading.
Approve
In addition, it is also determined whether approval is required. If an approval group is defined in the underlying assurance rules, all users in this group(s) are automatically assigned the task of approving the document. After submission, the document is given the status "Concept".
Published
If the document is approved or no approval is required, the document is given the status "Published". If the assurance rules related to this document have no cycles (so it never expires), the document will be given the status "Final version".
Revise
If the document is given the status "Published" (not final), the document will automatically be given the status "Revise" on the reminder date. This reminder date is determined based on the "Next revision date" minus the number of days set as reminder days " set at the general (document) settings .
In the "Revise" status, the responsible group(s) is tasked with uploading a new version and setting the new latest revision date, after which the process continues as described above.
Obsolete
If the document is not revised before the next revision date, the document will become "Obsolete" and the responsible group must upload the new version.
Expired
In addition, it is possible to give the document the status "Expired", if this document is no longer applicable.
Assurance dashboard
The assurance dashboard can be found via the navigation menu under the heading "Documents". In addition, this same dashboard is also shown on the Assurance documents tab of a property specifically for that property and the assets of that property.
Via the navigation menu it is possible to choose a property and it can also be indicated whether only security rules should be shown where the user is in the responsible group.
The assurance dashboard then shows all the applicable assurance rules, including whether a document or contract is present for this rule and what its status is. 3 traffic lights are possible:
- Green: document or contract present and active
- Orange: Document available, but in "Revise" status
- Red: No active document or contract available
It is important to note that as long as no document has been uploaded (the assurance dashboard shows that the document is missing for a security rule), no task can be generated for the responsible group. Users responsible for certain assurance rules should therefore refer to the assurance dashboard to determine if there are any missing documents.
Once the document is actually there, you can always work via the task list for the revising of that document.
Authorizations
The following user groups apply:
Group | Reference | Description |
|---|---|---|
| FMB-G042 | Group gives access to the assurance document options in the navigation menu and the possibility to upload assurance documents in the assurance documents tab for a property and asset . This group should be assigned to all users who may be responsible for assurance rules |
| FMB-G038 | Group grants rights to all assurance document functionalities. So also the creation and management of assurance types, assurance rules and document types. In addition, this group also gives the possibility to perform all tasks in the assurance document process |
| FMB-G039 | Group is automatically populated in the context of an assurance document based on the underlying assurance rules |
| FMB-G040 | Group is automatically populated in the context of an assurance document based on the underlying assurance rules and gives the user the correct rights with regards to approving the specific document |
Configuration options
Via the general settings, documents you can determine how many days before the next revision date the reminder date should be set (Client.fmb-AssuranceReminderDaysBefore). This determines how many days before the document is given the "obsolete" status, it will receive the "Revise" status.
Data imports
There are not standard import templates for this functionality
Dashboards and reports
For Assurance documents there are default reports and dashboards available.
The 'Assurance documents' can be found via the 'Assurance dashboard' via the navigation menu option 'Documents' or via the 'Assurance documents' tab on a property.