Compliance Module - Key Concepts

The Supplios Compliance Module is used to collect, manage, and track key documents with your suppliers such as contracts, certificates, ESG forms, and other similar information.

This article provides definitions and explanations of the key concepts and terminology used throughout the module, specifically the key important concepts of Documents, Document Versions, and Document Types.

Document Type

A Document Type is a specific type of named document that you collect and track across a subset (or all) of your suppliers.

For certificates, examples of Document Types are things like:

ISO 9001 Certificate
ISO 14001 Certificate
IATF 16949 Certificate

For contracts, examples of Document Types are things like:

NDA (Non-Disclosure Agreements)
Supply Agreements
Long-Term Buy Agreements

In the Supplios Compliance module, most of the automation rules related to expiration notifications, submission approval flows, visibility controls, and other similar settings are configured at the Document Type level.

Typically, a single supplier will have one Document on file per Document Type, or zero, if the Document Type is not applicable for them. (one NDA, one Supply Agreement, one ISO9001 Certificate)

However, in some cases, a single supplier may have multiple Documents per Document Type on file. This could be in the case of multiple ISO 9001 Certificates on file for a supplier with multiple plants (one ISO 9001 Certificate per plant) or similar.

Document Types are not specific to a single supplier, but instead apply to multiple suppliers and supplier Documents.

Document

A Document is a single document for a single supplier, consisting of at least one Document Version.

A Document is always connected to a SINGLE supplier, and is always of a single Document Type. But it may encompass multiple Document Versions, as the Document is updated, revised, and renewed.

For certificates, examples of a single Document are things like:

ISO 9001 Certificate for Company ABC Michigan Plant
ISO 9001 Certificate for Company ABC Alabama Plant
IATF 16949 Certificate for Super Duper Plastics, Inc.

For contracts, examples of a single Document are things like:

NDA Agreement with Company XYZ
Supply Agreement with Super Duper Plastics, Inc.

A single Document will always have at least one Document Version (the initial one). It may have more than one Document Version if the Document is revised, renewed, or updated.

The status of a Document (pending approval, valid, expired, etc.) is not set directly, nor are the validity or expiration dates associated with the Document. Instead, the status and expiration dates of a Document are derived from the status of it's individual Document Versions. If a Document has a currently valid version, then the Document is considered valid.

Document Version

A Document Version is the lowest level concept in the related hierarchy of Document Types and Documents. They are essentially the "children" of a single Document for a single supplier.

Document Versions contain the actual files and/or forms that are being tracked and stored. Document Versions also have specific status (pending approval, valid, expired, etc.) based on their submission and approval status. And any validity/expiration dates are also set at the Document Version level.

The status and validity/expiration dates of a parent Document are derived based on the collective status and validity/expiration dates of all of its Document Versions.

Generally speaking, a single Document has one active and valid Document Version at a time (or zero, if the Document Version / Document is expired). Exceptions to this will occur if/when multiple versions have overlapping validity dates, and in other similar "transition" situations. But these should only be temporary situations. If you think a Document should have multiple active/valid Document Versions at a time, you should likely be managing those as separate Documents, each with a single active/valid Document Version.

Document Category

A Document Category is simply a logical way of grouping your Document Types in a flexible way.

You can think of Document Categories as "folders" for the different Documents and Document Types, and these Document Categories can be created and managed on the account-level. (shared for all Documents and users in your account)

Each Document Type must be contained within one Document Category. The Documents in that Document Type are then also associated with that Document Category. A single Document Category can contain Document Types that have mixed Kinds of Documents. (contracts, certificates, acknowledgements, etc.)

How you use Document Categories is up to you and your company. You may decide to categorize things by department (Purchasing, Quality, Legal, etc.) or by Kind of Document (see below). You can create only a few Document Categories, or get very fine-grained with how you use them.

Examples of Document Categories are:

Purchasing Contracts
Legal Contracts
Quality Certifications
Quality Agreements
Sustainability Documents

Settings on Document Categories also control who is allowed to see Documents and Document Types in that category, as well as create new Documents and Document Types in that category.

All Supplios customers using the Compliance module will start with at least 2 Document Categories (typically "Vendor Contracts" and "Vendor Certifications") but additional ones can be added and modified by the Supplios Support team quite easily.

Kinds of Documents

A Kind of Document is based on the format of the Document.

When you create a Document Type, you must select the Kind of Document that it is.

The Kind of Document that you select will control some things about how suppliers provide the Documents, the approval workflow settings, and how the data is stored.

Supplios has a specific list of built-in Kinds of Documents, listed below:

Contracts
Certificates
Policies (supplier-provided)
Acknowledgements (internal documents acknowledged by suppliers)
Forms (native forms for suppliers to fill out OR things like Excel files that suppliers fill out and upload)

Supplios can also create custom Kinds of Documents for Enterprise customers, based on one of the existing kinds, but with custom behaviors and settings.