Control of Forms - Do the blank forms need to be Password Protected?

V

ValleyGirl

#1
:confused:I am a little confused. What I understand is- A form is a blank record. We have many various forms and once filled out the form is a record and needs to be controlled.

One of our CRB auditors is a stickler for Control of documents and records. She would like everything password protected to show control. (along with numbered with a revision letter) Being in business for 26 years we have "forms" we were so used to seeing we didn't consider them RECORDS but anyway- that's another story.

All of our forms are available on our server so everyone can access them. Do the blank forms need to be Password Protected?? and if they do- how do we allow people to complete them??

I am sure this is an easy question but it confuses me because I am constanly hearing..."I can't access the form to complete it because it's password protected"..and if I give the password...why should it be password protected to begin with. :biglaugh:
 
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bobdoering

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#2
Re: Control of Forms

Forms are controlled, records are maintained.

Ideally, the form should be protected to keep from changing the form, prior, during or after completion. That control may or may not be performed by password protection. It is easy to control a form that is completed manually - it the forms you fill out in a file, such as Word, that gets difficult. You can do it readily as an Excel file - locking certain cells and turning on protection.

Bottom line, if you can show that: The person using the form knows they are using the current form, and it has not been changed without proper revision control, you should be meeting virtually any standard.
 
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P

Polly Pure Bread

#3
Re: Control of Forms

A Form whether a softcopy or hardcopy has a fixed format and sections designed for a particular purpose and user group. Regardless of the user accomplishing the form, the format and sections should be maintained/controlled and only the content changes. Users may print the form and write the contents manually or directly update from the softcopy of the form while

A record (a filled-up form/template, both electronic and hardcopy) is a collection of related information that serves as proof or evidence that a certain procedure is being followed and implemented.
 

SteelMaiden

Super Moderator
Super Moderator
#4
She would like everything password protected to show control. (along with numbered with a revision letter)
Is there anyplace in the standard that says forms must be password protected, and be numbered and have revision letters?

Passwording can be a method of control. So can the creation of pdf files with the "original" in a secure folder with limited access. So can putting the files in a "web" that nobody except those with access can actually change the documents.

How many times has someone changed a form in your business without following your procedures for document control? Maybe you have adequate control now? Oh, and we have lots of forms without numbers, and we don't use revision letters, we use revision numbers. I guess I better hope she doesn't work for my registrar.

In other words, if it makes sense to you, do it, but nothing she has stated is a "requirement" to be done as she said.
 

bobdoering

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#5
Oh, and we have lots of forms without numbers, and we don't use revision letters, we use revision numbers.
There is no problem with any approach, as long as you can answer the two audit questions confidently: "How do you know you are using the most current form?" and "Can you show me the evidence?" If an auditor finds someone has copied an old form and is still using it out of their desk stash, then you have a classic n/c. Fact is, that could happen with the most any system.
 
V

ValleyGirl

#7
"Can you show me the evidence?" If an auditor finds someone has copied an old form and is still using it out of their desk stash, then you have a classic n/c. Fact is, that could happen with the most any system.
What you said is exactally how the can of worms started. Even after POUNDING it in to everyones head that "Form's must be take from the Shared Drive." One of the employees said "Sure I can show you that form - and presented one that was 2 years old and had been through two revisions. GRRRRRR!
 

bobdoering

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#8
What you said is exactally how the can of worms started. Even after POUNDING it in to everyones head that "Form's must be take from the Shared Drive." One of the employees said "Sure I can show you that form - and presented one that was 2 years old and had been through two revisions. GRRRRRR!
See? Classic! :bonk:

BTW - a password would not be an effective corrective action for that specific root cause, would it?
 
P

Polly Pure Bread

#9
There is no problem with any approach, as long as you can answer the two audit questions confidently: "How do you know you are using the most current form?" and "Can you show me the evidence?"
Let say forms are password protected... What if the owner of the form is not around?
 

bobdoering

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#10
Let say forms are password protected... What if the owner of the form is not around?
The form is protected from change, not use (such as read only). The owner is not needed.

However, password maintenance (what happens if an owner leaves the company) is a global issue in a company.
 
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