Policy Document PD-FLA-001

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PD-FLA-001 v 1.00

Owner	Office of the FLA
Contact	cos@firstlord.trmn.org
Approved	02APR2020

PD-FLA-001 — Developing, Reviewing, Approving and Maintaining Policy Documents and Controlled Procedures (version 1.00) is a policy document of the Office of the First Lord of the Admiralty, approved 2 April 2020. It describes the process followed for the development, review, approval, implementation, training, and maintenance of TRMN's policy documents and controlled procedures.

Introduction/Purpose

The purpose of this procedure is to describe the process followed for the development, review, approval, implementation, training, and maintenance of The Royal Manticoran Navy: The Official Honor Harrington Fan Association, Inc.'s policy documents and controlled procedures.

Scope

This procedure applies to all policy documents and controlled procedures and associated documents.

Responsible Parties

The roles described in the Procedure section, underlined below, are accountable for their assigned steps. Delegation to a qualified resource is permissible, but the role named below remains accountable.

Prerequisites

N/A

Procedure

Electronic Document Control System Access Control

1. Access Control
   1. The Fourth Space Lord or their appropriate Designee requests appropriate access permissions in Electronic Document Management System (EDMS) for area personnel, per PD-FLA-003.
   2. The EDMS Administrator authorizes access requests to EDMS as process owner, per PD-FLA-003

Procedure Development

2. Procedure Development and Document Change Control Creation
   1. The Process Owner or Designee confirms need for new policy or procedure or revision to existing policy or procedure, assigns Author, and notifies FLA Chief of Staff.
   2. The Process Owner or Designee then initiates a Document Change Request (DCR), using FORM-FLA-002. The request will provide the details of the intended change(s) and the associated document.
   3. The Author of the Procedure then produces a draft using the current Policy Document Template TEMP-FLA-001, or modifies the existing document, updating the format to comply with the template, if applicable. There are three options for new document creation:
      1. Document from Template – New Documents from Available Templates
      2. Placeholder – Document number when associated content has not been added yet
      3. Upload – Content was developed outside using other source files
   4. The Author of the Procedure then facilitates review of draft document with FLA Chief of Staff and the Process Owner, and any additional heads of functional areas with active roles in the procedure.
   5. The Author of the Procedure then incorporates feedback and revises the document as applicable.
   6. The Author of the Procedure forwards the final document to the FLA Chief of Staff for approval.
   7. When revising an existing document, the Process Owner or Designee, Creates a draft version and coordinates with the FLA Chief of Staff.
   8. When creating a new procedure, the Process Owner or Designee:
      1. Assigns relevant document number,
      2. Coordinates with EDMS Administrator to create a document placeholder in EDMS if a draft does not exist, and
      3. Initiates a DCR, using FORM-FLA-002
   9. The Process Owner or Designee initiates a Document Change Control (DCC), using FORM-FLA-003, and Completes an impact assessment on the DCC.
   10. Finally, the Process Owner or Designee ensures DCC is linked to all relevant change requests and target documents.

Procedure Collaboration

3. 1. The Process Owner's Chief of Staff facilitates procedure collaboration through the use of following workflows:
      1. Send for Editing (Optional) – Editors can apply changes and comments directly to the document.
      2. Send for Review – Process Owner Chief of Staff renders a PDF and reviewers can apply annotations to the rendered PDF.
   2. The Process Owner's Chief of Staff verifies the following:
      1. Accuracy of content,
      2. Alignment to existing requirements and regulations, and
      3. Documentation of changes.
   3. The Process Owner's Chief of Staff verifies the following roles, or qualified designees, participate in final review and sign-off of the procedure:
      1. Process Owner,
      2. First Lord of the Admiralty, and
      3. Judge Advocate General when applicable

Document Change Control Plan Approval

4. 1. The Process Owner's Chief of Staff Distributes DCC Plan to the FLA's Chief of Staff, Head of Process Owning Department, and any additional functional approvers, as applicable, and Completes the Quality Control approval of the DCC Plan.
   2. The Process Owner or their Designee then completes functional or subject matter expert approval task of the DCC Plan.
   3. The First Lord of the Admiralty reviews and approves the DCC Plan

Procedure Finalization and Document Change Control Approval

5. 1. The FLA's Chief of Staff or Designee follows the procedure below for the finalization of Policy Documents and Change Controls:
      1. Reviews document for compliance with Policy Documents Template, TEMP-FLA-001,
      2. Ensures all release requirements have been met, including training and change control requirements,
      3. Changes DCC state to "Ready for Release, and
      4. Distributes DCC including all associated documents for approval to Head of Regulatory/Quality Assurance, Head of Owning Department, and any additional functional approvers, as necessary.
   2. The Process Owner then completes functional or subject matter expert approval task of the DCC and documents to be released or made obsolete.
   3. The FLA's Chief of Staff or Designee coordinates Release Approval of the DCC and associated documents.

Procedure Training and Implementation

6. 1. The Sixth Space Lord in collaboration with Functional Area Heads, determines which function(s)/role(s) need to train on the document, training type, and duration of training period (if applicable).
   2. The Sixth Space Lord or Designee manages curricula structure in collaboration with Functional Area Head to ensure accuracy and ensures that personnel are informed of new training assignments.
   3. The General Members of TRMN, upon notification of a training requirement, completes required training prior to executing new or revised procedure, per SOP-FLA-002.

Review of Procedures

7. Procedure Periodic Review
   1. The Process Owner's Chief of Staff Initiates the periodic review workflow Annually on October 1, and routes it to the following required reviewers:
      1. Subject Matter Expert (SME) within Process Owner's Department, and
      2. FLA's Chief of Staff
   2. Next, the Process Owner's Chief of Staff Routes each procedure to the Process Owner for review annually:
      1. If the Process Owner determines that revisions are necessary, follows this procedure beginning at 2. Procedure Development and Document Change Control Creation to revise, approve, maintain, and train on the document,
      2. If the Process Owner determines that revisions are not necessary, extends the effective date for one more year by informing Process Owner's Chief of Staff and FLA's Chief of Staff, and
      3. If the Process Owner determines the document is obsolete, follows the steps below to retire the document.
   3. The Process Owner's Chief of Staff then facilitates the approval or retirement by the Author and the FLA Chief of Staff for all procedures that are superseded or obsoleted within or outside of the annual review cycle, and ensures that superseded or obsoleted documents are reported to Wiki and Forum Administrators, so that proper documentation can be added to the Wiki or Forum Page for that document.
   4. The Process Owner of their Designee then follows this procedure, beginning at 2. Procedure Development and Document Change Control Creation, to revise, review, approve, and/or retire document, if a procedure requires revision or retirement outside of the biennial review cycle

Record Retention

8. The EDMS Administrator or their Designee ensures documents in the EDMS are maintained according to standard Aileron Therapeutics, Inc. Records Retention Policy PD-FLA-004

Resources

Forms & Templates

• FORM-FLA-001 – Document Change Request
• FORM-FLA-002 – Document Change Control
• TEMP-FLA-001 – Policy Document Template

References

AOs

Policy Documents, Orders:Admiralty Order 1909-03

Directives

N/A

PDs

PD-FLA-002 – Personnel Qualification and Training Program

PD-FLA-003 – Physical Security and Logical Access

PD-FLA-004 – Records Retention Policy

Definitions

• The Quality System - The organizational structure, responsibilities, procedures, processes, and resources for implementing quality management. For The Royal Manticoran Navy: The Official Honor Harrington Fan Association, Inc (TRMN) this includes the set of controlled procedures described within this document which govern activities performed in compliance TRMN Policies.
• Electronic Document Management System (EDMS) - Information technology solution for management of controlled documents. TRMN uses a wikia as its EDMS for controlled documents, as well as for policy and procedural documents.
• Controlled Procedure - Policy, Procedure, Work Instruction, or any associated form or template controlled within the Quality System.
• Admiralty Order or Royal Council Equivalent (AO, ND, CD, AD, PO, EO, FRN, AND, TS) - A high-level statement describing how specific activities will be implemented and executed within the TRMN and/or TRMN Quality System.
• Policy Document (PD) - A controlled procedure that describes the major steps and accountabilities for a cross-functional or functional process in support of one or more Admiralty Orders within the TRMN and/or TRMN Quality System. All Bureau Directives will be Policy Documents.
• Work Instruction (WI) - A controlled procedure that describes, at a detailed level, how to perform the steps and accountabilities for a functional activity, or policy, within the TRMN and/or TRMN Quality System.
• Announcement (ANN) - A document which provides information not deemed to require an Admiralty Order or Royal Council equivalent, and which does not need to be added to the TRMN Quality System.
• Form - A controlled document, associated with a specific PD or WI within the TRMN and/or TRMN Quality System, for which only certain fields can be modified in the capture of information associated with one or more procedural steps.
• Template - A controlled document, associated with a specific PD or WI within the TRMN and/or TRMN Quality System, which is mostly modifiable and typically used as a starting point for the capture and organization of information associated with one or more procedural steps.
• Document Change Management - Process of controlling changes to documents, in a controlled manner, and enabling approved changes with minimal disruption.
• Document Change Control (DCC) - A feature that allows the use of Document Change Request and Document Change Control functionalities to execute document release and obsolescence in a programmatic, controlled manner.
• Document Change Control (DCC) Plan - A comprehensive action plan of changes, affected documents and Change Requests.
• Document Change Requests (DCR) - A form used to record details of a request for change(s) to any procedures within the Quality System.
• Process Owner - This can be either a member of the Royal Council, a Space Lord, or any member designated by the Royal Council or Space Lord as a process owner. They are responsible for the information detailed in RESPONSIBILITIES. In some cases, the Process Owner, Author, and First Lord of the Admiralty may all be the same individual.

Version History

Version	Date Submitted	FLA Approval (initials & date)	JAG Approval (initials & date)	1SL Approval (initials & date)	Change
0.01	09.26.19				NEW – Created new PD for TRMN effecting All PDs in All Departments
0.02	02.28.20				Updated format
0.03	03.03.20				Fixed a typo and updated version number
1.00	04.02.20	MAL 02APR2020	N/A	N/A	Approved Document

External Links

• PD-FLA-001 v1.00 — Developing, Reviewing, Approving and Maintaining Policy Documents and Controlled Procedures as published in the TRMN Policies board at the TRMN Forums. The authoritative document is the original PDF attachment (with the Policy Document Template, TEMP-FLA-001). (login required)