The secure life-cycle of a simple document

Forms, certificates, specifications, compliance, drawings… documents are still the lifeblood and majority driver of process in most organisations. Whilst in the 21st century paper has been replaced with digital copy (in many cases), that digital transformation has brought a new set of ‘challenges’ although more often benefits over the old hard copy.

From inception through management to retirement, keeping documents in the digital domain throughout has never been easier than with today’s document management systems. Whether simply ensuring content is secured against loss, can be shared instantly or driving complex business processes, a document management system can simplify and safeguard any organisation - sole trader to global corporation.

Let us take a technical drawing (not necessarily a document immediately associated with a document management system) as a practical example to demonstrate a full digital experience to meet the requirements of security, compliance, agreements and service.

Creation -  The initial digital draft (CAD perhaps) is drawn up and that first version stored in the document repository. With the file immediately in the repository it is now not only accessible from any networked and permitted location but also secured against loss with backups / duplication.

Revision - Technical drawings will go through several revisions, perhaps taking months of work before even considering publication. The master file in the repository is updated with each change, storing a record of the version, auditing the event and ensuring that (without purpose) only the latest version is readily available.

Collaboration - During the file’s initial draft, there may be a need to collaborate with other designers, engineers or external subject matter experts. The drawing never needs to leave the repository for others to review, given the right security and access, the file can be reviewed directly, protected against unwanted changes if desired or worked on directly (with revisions stored). 

Publication - Eventually the drawing will be complete. A final version (major revision) can be published within the document management system and all the draft revisions archived - not deleted (as they may be required for compliance reviews), simply hidden from general access, ensuring the correct file is always reviewed. Perhaps a static PDF of the drawing is also created to be shared more widely and associated with the master drawing file. This copy could also differ in permissions, allowing for wider review and distribution perhaps.

Approval - Before the drawing is issued for its intended purpose (building contractor or manufacturer for example), it is likely to require a peer review or perhaps senior approval before it is committed.  Once again, the document never leaves the platform or has any copies produced. Process automation ensures that the required persons are notified to review, comment, reject or approve the document. If a revision is required, the document simply goes back through the revision process, cycling through until approval is gained.

Every revision is stored. Every comment recorded. Every action is audited. No duplication.

Management - With the drawing complete and approvals gained, there may be further, associated documentation to record. Perhaps formal certification from an accreditation board, review by a third party specialist or combination with other drawings associated with the same product (as in vehicle production). As each new document is stored within the document management system, the indexes associate the content, allowing a user to (in one simple search) review not only the original file but all the related certificates, certifications, related drawings etc

Compliance - When an external enquiry is made (perhaps even in a legal capacity), a document management system makes the task of supplying information or evidence simple. When it is inappropriate to give direct access to the content, authorised copies (digital exports) can be made for secure transmission and with all the documents in one place, there is confidence that everything required will be included. Of course, the ability to extract data can be heavily restricted (ensuring data security) and fully audited.

Retention - With a document stored and that system regularly backed up and/or replicated, that data is secured against loss for any period of time that is deemed fit. Some documents will have a definite lifecycle, perhaps a requirement to be fully revised every 5 years or to be superseded by new design specifications. Using records management functions within a document management system, rules can be applied to trigger key events based on any data value associated with the file. Automation ensures records managers are informed of pending changes and requirements.

Destruction - Eventually a document will reach the end of its purpose. Perhaps now superseded by 3 major revisions or having exceeded a compliance mandate for the retention of that data type (a likely scenario in HR compliance for example). Again, records management automation, using rules based assessment will ensure that documents are identified and either exported to different locations (say offline storage) or are marked for permanent deletion. Associated documents can be included from the one trigger and of course, the whole process can be reviewed and is audited.

Taking the above process and reimagining the same with paper - drafts, revisions, storage, sharing and management, it is easy to see how duplication and version management control would be difficult. It is apparent how mistakes and omissions could enter the process, not to mention the difficulties trying to backtrack through the evidence when an issue is discovered.  It is also obvious how dealing with physical media leads to a dramatically extended time between each step. Not to mention the real cost of materials used and space to store.

Even by improving the process by going digital - using a simple disk storage solution, whether local NAS or cloud based. Without full version controls, security, auditing, duplicate control, dedicated collaboration tools and lifecycle management there will still be significant time lost over a document management system during the whole lifecycle.

Furthermore, both paper and simple storage solutions are open to incomplete reporting for compliance reviews, with a significant increase in time spent trying to meet that compliance review. Not forgetting the disadvantage of no cohesive version and security audit.

There is then the matter of scale. A small organisation with few documents to track may get by sufficiently with simple storage solutions, spreadsheet tracking and email, however, as the number of documents and related transactions increase, that process cannot scale efficiently and becomes a burden to the organisation - sometimes extremely costly.

A simple document it may be but the wider processes governing its lifecycle are anything but. If one solution can combine ease of use with security, compliance, audit and process efficiencies across the entire organisation whilst preventing financial and reputational loss, what would it be worth to your business?

Toby Gilbertson. Director of Operations at PacSol. October 2023

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