cn-ib-document-control

CN IB Document Control

Create one auditable register that answers: what is required, what has been received, in what form, which version is current, who owns the gap, and what evidence closes it.

Principles

1. Never equate received with complete, valid, signed, original, or reviewed.
2. Track each independently controlled item as a separate row.
3. Preserve issuer/entity, document period, required form, and version.
4. Do not delete superseded records. Mark them superseded and link the replacement.
5. Close an item only with reviewable closure evidence.
6. Do not upload or commit confidential deal materials to a public repository.

Workflow

1. Define the register scope

Identify:

• transaction and workstream;
• entities and persons covered;
• applicable period;
• source of the requirement;
• expected document form;
• responsible party and reviewer;
• delivery deadline and critical-path dependency.

Read references/document-categories.md to choose categories. Do not force unrelated items into a generic other bucket without explanation.

2. Create the register

Start with assets/document-control-template.csv or reproduce the same fields in an XLSX workbook.

Use a stable document_id. Keep the ID after revisions. Create a new row only when the controlled requirement is distinct.

Minimum fields:

document_id, category, document_name, entity, period,
requirement_source, required_form, version, status,
original_status, signature_status, seal_status, scan_status,
owner, reviewer, due_date, source_path, closure_evidence, notes

3. Apply controlled statuses

Read references/status-taxonomy.md. Track independently:

• overall workflow status;
• original received;
• signatures complete;
• seal complete;
• scan quality;
• review status;
• superseded status.

Avoid free-text statuses such as 差不多, 应该齐了, or 最新.

4. Reconcile received materials

For each delivery:

1. match it to an existing requirement;
2. confirm entity, person, period, document type, and version;
3. inspect completeness, signatures, seals, pages, color, legibility, and validity period;
4. record the source location without moving the original unless instructed;
5. update the register and reviewer;
6. create a new gap when the file only partially satisfies the requirement.