- Creating a New Draft Controlled Document

Creating a New Draft Controlled Document


This guide describes the process of adding new controlled documents to iPassport. In this example, a document of the type, SOP will be created. Other types of controlled documents like, Policies, Health and Safety Documents or ‘plain’ Documents, follow very similar processes but mostly include fewer parameters and steps.

From within iPassport, the user can access the Controlled Documents menu by hovering over the Laboratory Records main menu option. This then displays the sub-menus within the Laboratory Records main menu. Once the item has been highlighted, simply click once and the system will load the Controlled Documents > Search tab. The sub-menu list remains visible until the cursor is moved away from it.
The plus [+] sign next to any sub-menu item is a shortcut to create a new record; in this case, it opens the Controlled Documents > New Document tab.


Access to the sub-menu item (and the main menu item, along with it) is controlled by the permission, Desktop:Show Controlled Documents Menu Item.
There are sets of permissions for every type of document so for example, to create an SOP you will need the corresponding permission, SOPs:Create SOPs. Other basic permissions for this process are, SOPs:Edit SOPs, SOPs:View Draft SOPs, SOPs:View Authorised SOPs.
There are many more permissions which can be viewed (with a description of their function) by interrogating Administration > Roles. The system roles designed for users who create new SOPs are, Global Editor (excluding admin and personnel records), Global Editor (excluding admin) and SOP Editor. The global editor roles include permissions to create all types of records within iPassport; there are also separate editor roles for every type of document, like Policies Editor, COSHH Editor, H&S Editor, etc.

Controlled Documents Area

The Search tab opens by default when the Controlled Document sub-menu option is clicked. To start creating a new controlled document, click the New Document tab or, as indicated above, click the corresponding plus [+] sign in the sub-menu.

New Controlled Document Creation Wizard- Step 1

Before anything, an OU has to be specified for the new document - no type can be defined yet. To select an OU, click in the field under Organisational Unit and choose one from the dropdown menu. Only those OUs the user has access to, will be displayed here.

Following on from OU selection, it is required to select a type of controlled document, using the Please choose a document type dropdown menu. The options available are:

  • COSHH Document
  • Document
  • External Document
  • Health and Safety Document
  • Job Description
  • Policy
  • SOP

Each of these controlled document options leads to a different creation process so it is important to choose the correct one. The following steps assume the choice, SOP was made.

Adding a New SOP- Step 2 of 6

This step will form the details of what will be the ‘General’ tab once the SOP has been created. There are three required fields within the second step, these are: Document Title, Index and Author(s). Therefore, before the user can proceed to the Next Step, these fields need to be completed.

  • Document Title

The ‘Document Title’ length is limited to 255 characters. This also includes spaces and punctuation. The details can be copied out of a Word document and pasted into the ‘Document Title’ field, which can save time on longer titles.

When the document title has been added and the user tries and progress to the next step (step 3 of 6), iPassport undertakes a validation check to ensure that the name is not already in use. This check is conducted across all of the document’s OU, based on the controlled document type (i.e., SOP, Policy, etc.) to ensure there is no ambiguity.

  • Index

The ‘Index’ field allows the user to either add their own index, or let iPassport auto-generate it. The index may also be known as a ‘code’ in some institutions and is used along with the ‘Document Title’ to make the document’s identification unique. The “gear” icon to the right of the field toggles the auto-generate function on and off. When the field displays the ‘Auto Generate’ text, the system will add the index automatically, prepared from a ‘recipe’ defined in the Organisational Unit Preferences section of the Settings area. When toggled, the field will appear blank and an index can be manually entered.

An auto-generated index ‘recipe’ can be set for each type of document in each OU by navigating to Administration > Settings > Organisational Unit Preferences (select the OU first) > Index Generation. For details about this, please refer to the user guide, Organisational Unit Preferences.
When the index has been added and the user tries and progress to the next step (step 3 of 6) iPassport undertakes a validation check to ensure that the index is not already in use. This check is conducted across all of iPassport (all OUs within the account) to ensure two documents don’t share the same code. Indices can include a sequential number, as in VIRO-56, VIRO-57, etc. This number can be repeated across OUs as long as the index as a whole is unique (e.g., VIRO-56 and BIOCHEM-56).

  • Document Owner(s)

This option allows the user to specify a user or users who are responsible for managing this document within iPassport.

Document owners will receive notifications and tasks about all events relating to the document (e.g. change request submitted, document review due etc.). By default, they are able to perform any functions on the document (edit draft version, request feedback reviews, mark the document’s compulsory review as complete, authorise) even if they only have permission to view documents in that particular OU. The setting, “Allow Document Owners to perform any action on their documents, regardless of permissions” under, Administration > Settings > Organisational Unit Preferences (select the OU first) > Document Control can be disabled to prevent document owners from for example, authorising their own documents.

  • Author(s)

The Author(s) field allows the user to add author, or authors to the document. The author needs to be a user within the iPassport account to appear in the Author(s) list. It is possible to have one or many authors for the document with each author being set by clicking in the field to the left of the authors’ name. A tick icon will appear when they have been selected.

The Author(s) field displays all of the users on the system that have the capability to author a document. It is possible to filter the list down by using the filter option. To activate this filter / search option simply enter the cursor into the filter field and type the characters to be searched, for example the first name of the desired author.

This option allows the user to link the SOP to a section or a location (a section is a location within iPassport, they are added from the location menu option under Administration). The section itself comes from the OU and location lists. Therefore, the section list displays the OU that the user have assigned, and any locations (that have been given the general tag) that are linked to this OU.

The list itself only displays the short name that has been assigned. If there is a need to see the long name then it is possible to hover the cursor over the short name and the long name will be displayed.

Locations are added within Administration -> Locations -> New Location. When adding a new location it needs to be associated with an OU (OU’s & Tags tab) and have the tag of ‘General’ to be a Section.

  • Subject

This allows a user to record a more detailed example of the name / title of the document.

  • Introduction and Scope

The introduction and scope allows the user to add a basic outline of what the procedure is for. This is not a required field and as such can be left empty. The advantage of moving the introduction from the source Word document is when the SOP is authorised and an official print is performed, iPassport allows the user to choose to print the introduction as a separate page or simply print the procedure.

Adding a New Category to a Controlled Document: 1

Unlike the other fields within step 2 the ‘Category’ field has a spanner/ edit icon available (assuming the user has the correct permissions). This means it is possible to add a new ‘Category’ at this stage directly from the step 2 screen. To add a new category simply click the spanner icon. This then opens the category lightbox allowing the user to add a new category using the ‘Add Document Category’ option in the top right of the lightbox. This opens an edit window allowing the new category to be added.

Adding a New Category to a Controlled Document: 2

shows step 2 of 6 and refers to the Category field when the Spanner Icon has been clicked and the Add Document Category has been selected

The ‘Category’ lightbox allows the user to add the new Document Category. If the spanner icon has been clicked by accident then the user can exit the lightbox by clicking the cross (X) in the top right corner of the lightbox.

To add a new ‘Category’ click the ‘Add Document Category’ option in the top right corner and this will open the ‘Name’ field (shown above). Enter the ‘Name’ and then click the ‘Create Document Category’ button to the bottom right of the ‘Name’ field.

Under the ‘Actions’ column the user may notice some categories have one icon, while others have two icons. The pencil edit icon is found in all of them while the trashcan/ delete icon is only found in some. The reason the delete icon is available is that the category is not used in a record and as such can be deleted. The ones without this delete icon are in use within a record.

Proceeding to Step 3

Shows step 3 of 6, scheduling a review before authorising the document.

Once all the information has been completed in step two, the user can proceed to step three using the ‘Next Step’ button in the bottom right corner.

Adding a New SOP: Step 3 of 6

Step three allows a peer review to be scheduled for the document, allowing the user to solicit feedback from other users. This step is optional and provides a means to review the content of the document prior to authorisation. Some users simply import the document into iPassport and authorise the document immediately. This is perfectly acceptable. The next review date can be set during document authorisation. If this is the case then click the ‘Next Step’ button in the bottom right of the screen.

  • Review to be Completed

Should a peer review be needed then the user needs to set ‘Review to be completed by’ (date) which is displayed in the peer review task and informs the recipient when feedback is needed by. To use this field, click in the empty box and a calendar function should appear and the user can select a date (present or future date).

  • Tasks active on

The review will not be active if the ‘Tasks active on’ has a date in the future. This can be set by clicking in the empty box and a calendar function will appear. If no date is set then the task will become active immediately.

  • Reviewers (Distribution Lists)

Following on from this, the user has the option of including one or multiple ‘Reviewers (Distribution Lists)’ and/or one or multiple ‘Reviewers (Users)’.

Distribution lists can not be created from this step, so if one is needed it is best to complete the creation process. Add the new distribution lists from Laboratory Management -> Distribution Lists and then assign it as a peer review to the SOP.

To see which users are members of a distribution list hover over the list name and the members are displayed. To select the list, and thus all the displayed members, check the box to the left of the ‘Reviewers (Distribution Lists)’ name.

  • Reviewers (Users)

To assign the peer review to a user, or add a stand-alone user as well as a distribution list the user in question needs to be selected using the box to the left of their name. The filter area can be used to search for a user. For an email to be sent the recipient(s) must have the correct personal preference activated.

  • Priority for review tasks

The priority of the peer review can be set using the ‘Priority for review tasks’ field, this is a fixed drop down list, which allows the task recipient to see how urgent the review is.

  • ‘Task Description’

The ‘Task Description’ field allows annotation of the task.

It is important to note that this is not a compulsory review for the document, this allows the user to seek other users’ advice on the document.

Adding a New SOP: Step 4 of 6 - 1

shows step 4 of 6 where a source document can be uploaded.

Step four in creating a new SOP is the key step. This is actually loading the source document to iPassport. An empty document or a template can be uploaded and then iPassport’s in-browser editor can be used to write the document directly within the system.

To add the Word document to iPassport simply click the ‘Choose File’ option (this may be displayed as browse depending on Internet Browser used).

At this stage it is not possible to click the ‘Upload’ button or to proceed to the ‘Next Step’ without a document being loaded.

It is possible to upload any file type at this stage although only Word, rtf and PDF will be converted to an iPassport PDF.

Adding a New SOP: Step 4 of 6 – 2

shows step 4 of 6, selecting a document from file.

Clicking the ‘Choose File’ button opens the browse window, this is used to select the document to be loaded as the SOP.

Adding a New SOP: Step 4 of 6 - 3

A document has been chosen.

Once the document has been selected the file name is displayed in the ‘Choose File’ field. This is the document that will be loaded into iPassport. Should this be the incorrect document then it is possible to replace by clicking the ‘Choose File’ button again and choosing the correct document.

Adding a New SOP: Step 4 of 6 - 4

A document has successfully been uploaded into iPassport.

Once the correct document has been chosen the user needs to click the ‘Upload’ button. When this ‘Upload Progress’ field reaches 100% AND the ‘Document uploaded successfully’ is displayed then it is possible to click on the ‘Next Step’ button in the lower right corner.

Adding a New SOP: Step 5 of 6

shows step 5 of 6. There are no required fields. Allows the user to record a risk assessment.

Step five is not a compulsory step. This step allows the user to record a procedural risk assessment. So, should a risk assessment be required for the procedure and there is not one within the source Word document then the risk matrix within iPassport can be used. The matrix works on a combination of the following:

  • Biological Hazard x Biological Risk = Biological Assessment
  • Chemical Hazard x Chemical Risk = Chemical Assessment
  • Mechanical Hazard x Mechanical Risk = Mechanical Hazard
  • Physical Hazard x Physical Risk = Physical Assessment

These are combined to provide an overall ‘Risk Assessment’.

The options available within the hazard and risk dropdowns can be changed or added to from Administration -> Settings -> System Preferences -> Risk Settings or Hazard Settings. It is however not possible to add additional rows. The options are a limited risk assessment so should further information be needed then the Additional Risk Details HTML editor can be used.

Should the risk assessments exist as separate controlled documents then this step can be ignored and the separate risk assessments added to the controlled documents as a document with the category of risk assessment and linked to all the SOPs it applies to.

Once the required details have been added then it is possible to move to the next step using the ‘Next Step’ button in the lower right corner.

Adding a New SOP: Step 6 of 6

shows step 6 of 6, the user can record the Grade(s) of staff capability of performing this procedure and select personal protection required.

  • Grade(s)

This is the final step in the creation process of a new SOP. It allows the user to record the Grades of staff capable of performing the procedure (or the minimum grade required to perform the procedure). Those shown above have already been added on a previous SOP and are available for selection. To add a new Grade, the user needs to click the spanner icon beneath the ‘Grade(s)’ field. This then opens the new ‘Grades’ lightbox and allow the addition of another grade.

  • Personal Protection

The ‘Personal Protection’ allows the user to record what personal protection is required when performing the procedure. These personal protections have been added on a previous SOP. To add a new personal protection, click on the spanner icon underneath the ‘Personal Protection’ field. This then opens up the lightbox to add another Personal Protection.

These two fields are optional.

Both ‘Grade(s)’ and ‘Personal Protection’ are displayed on screen under the ‘PPE’ tab and in the appendix of an officially printed document.

Once this step has been completed it is possible to create the new SOP and enter into the draft SOP status.

It is important to note that until this point the information has not been saved. This only happens when the user clicks the ‘Create’ button in the lower right corner.

The Newly Created Draft SOP

shows the draft version of the SOP. Most fields can be edited and the OU can be changed using the option in the dropdown list.

Once the ‘Create’ button has been clicked on step 6 of 6 the creation process ends and the SOP record is created.

The new draft document is displayed above. At this stage, the document is not released to the general users as it is a draft document and access to draft documents is restricted by permissions. It is possible for the user to edit any of the information within the draft document using the edit pencil icons.

From the above screen it is possible to see that the tabs within the record generally follow the creation process.

Step two being the ‘General’ tab. Step three being the ‘Reviews’ tab. Step four being the ‘Procedure’ tab (this is where the source document is held). The ‘Bench’ tab was not part of the document creation process, this tab is also unique to SOPs. The ‘Risks’ tab and the ‘PPE’ tab are steps five and six of the creation process respectively. The ‘History’ tab is only available once the document has been created, this stays with the record throughout its lifespan and is updated with each change to the document (it does not record minute detail) and this is recorded within the ‘Log’ tab.

The Newly Created Draft SOP - Non-Word

shows the screen of a non-Word document in draft version

Should a non-Word (or non-rtf/ non-PDF) document have been used as the source document then the above screen would be seen.

Note this does not have a PDF preview icon, a download document option appear in the header when the document is authorised.

Adding a New Policy or Document

The ‘Policy’ and ‘Document’ controlled document types are nearly identical in terms of creation process; these differ slightly from the SOP creation process. There are only four steps in the process, however the first four steps are the same as for a SOP.

The ‘Policy’ and ‘Document’ controlled document types do not have the fifth and sixth steps, so there is no risk assessment or PPE step.