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Document Control Procedure in Construction Project
Document Control Procedure in Construction Project
1.0 SCOPE
1.1 This document defines the system established for the control of the documentation
at the (Name of Contractor) Construction worksite and to instruct Document Control
Centre and the Department / Section Heads on the actions to be taken upon receipt of
Construction documents and their revisions.
1.2 All Project Documents requiring controlled distribution shall be listed in the
Document Distribution Matrix.
1.3 As part of (Name of Contractor here) Quality Management System, this procedure
addresses the Quality System Requirements of ISO 9001:2008.
2.0 PURPOSE
2.1 To ensure that approved, valid, and up-to-date copies of all necessary documents
are distributed to project staff concerned.
2.2 To ensure that changes and the current revision status of documents are identified
and that the relevant versions of appropriate documents are available at points of use.
2.3 To ensure that documents are securely filed and maintained are easily retrievable
and can be readily compiled into the handover package and archives at the end of the
project.
2.4 To prevent the unintended use of superseded documents.
3.0 REFERENCES
3.1 PQP – xxx-xxx-xxx-xxx: Project Quality Plan
3.2 – Master Development Document Numbering Procedure: (ref: xxx-xxx-xxx)
3.3 DCC Software Manual: ACONEX
3.4 ISO 9001:2008: Quality Management Systems-
3.5 – Master Project Aconex Project Instruction: Requirements (ref.: xxx-xxx-xxx)
4.0 DEFINITIONS
4.1 COMPANY: xxxxxxxxx
PROJECT MANAGER: xxxxxxxx
4.3 CONSULTANT: xxxxxxxxxx
4.4 CONTRACTOR: (Name of Contractor)
4.5 PQP: Project Quality Plan
4.6 DCC: Document Control Centre
4.7 Document: As used in this procedure, the word document means any instruction
in paper or electronic form, issued by (Name of Contractor) or their Subcontractors/
Sub consultants containing requirements or Specifications or Procedures or reports
concerning the execution or performance of the Project work. All documents covered
by this procedure are controlled by (Name of Contractor) DCC. All documents shall
be stored in Hard Copies and also in Electronic Media (ACONEX).
5. RESPONSIBILITIES
5.1 Document Control Manager
Reports to the Deputy Project Director and he is directly responsible for the
following:
5.1.1 Maintaining and updating this procedure.
5.1.2 Allocation of Document, Document Numbering and provide Document
Templates to other departments for preparing Construction Procedures, Method
Statements, etc., and also for Subcontractors / Sub Consultants through the concerned
departments.
5.1.3 Receipt, control, storage, and the issue of project documentation as Controlled
Copies as per the Document Distribution Matrix and also storing all the documents as
Hard Copies, Soft Copies and also feeding to the DCC system-ACONEX.
5.1.4 Preparation of Document Distribution Matrix in conjunction with Project
Management Team.
5.1.5 Responsible for maintaining all live Project Documents and also obsolete
Documents for records.
5.1.6 Supervising the establishment and maintenance of project central filing system.
5.1.7 Establishment and control of the project reference library.
5.1.8 Supervision and control of DCC printing facilities.
6.1 PROCEDURE
6.2 Receipt and Registration
6.2.1. The Project Director shall decide and state in writing who receives all incoming
documents pertaining to (Name of Contractor) Project.
6.2.2. The receiver of incoming documents – if not DCC – shall immediately hand
them over to DCC.
6.2.3. To the extent possible, DCC shall insist that documents from outside companies
be sent under transmittal note. This requirement shall be imposed on suppliers.
6.2.4. Receipt of transmittal will be acknowledged by DCC.
6.2.5. The contents of the package received will be checked against the transmittal
list, and any discrepancies noted shall be reported with the Transmittal
acknowledgment.
6.2.6. All Incoming transmittals shall be filed and easy to retrieve if required for
future reference.
6.2.7. Upon receipt of documents from outside or from within (Name of Contractor),
DCC shall:
• Stamp transmittal with received Stamp.
• Stamp the document ‘MASTER’ in blue and enter the date.
• Enter all necessary data into the database register.
• If the received document is a revised one, the previous document shall be stamped
‘SUPERSEDED’ in red and the latest document/ drawing becomes a live document.
Necessary updating shall be done in the Document Register.
• Make copies according to the Document Distribution Matrix.
• Stamp the copies ‘CONTROLLED COPY’ in red.
• Prepare distribution under an internal DCC transmittal.
6.2.8. A database register shall be set up and maintained by DCC. The following
information shall be recorded for incoming documents, both from outside and from
within (Name of Contractor) :
• Document number
• Document title
• Revision number
• Identification of the sender
• Date received
• Status of document (i.e. whether for information, for review, IFC, etc.)
6.2.9. The Document Register shall be maintained and distributed on a weekly basis
to Project Team.
6.3 Document Distribution Matrix
6.3.1 The issue of controlled copies is controlled by DCC as per the Document
Distribution Matrix prepared by DCC. The Document Distribution Matrix group
shows categories of documents along one axis and lists department managers,
outsiders, and other addressees down the other axis.
6.3.2 Document Control Manager shall distribute the first draft of the Document
Distribution Matrix to all Project Key Personnel for their comments and after getting
the comments DCC shall prepare the final version of the Document Distribution
Matrix and follow the same Matrix throughout the Project period. If any further
addition or deletion of names or Document list, same shall be incorporated by DCC
after getting such comments from the concerned personnel.
6.3.3 Revision status of the distribution matrix shall be controlled by a revision
number and date.
6.3.4 If the distribution matrix is revised and addresses are deleted, Document Control
Manager shall instruct the addressee or concerned manager to destroy or withdraw
documents that have been sent up to that point to avoid their continuing in circulation
after new revisions have been issued.
6.3.5 All controlled copies shall be numbered and the number allocated to each
addressee shall be marked on the Document Distribution Matrix.6.3.6 Only
distribution of controlled documents shall be applied where all copies are directly
distributed by DCC to all addresses.
6.3.7 The type of primary distribution shall be used where all copies are directly
distributed to all addresses. At the (Name of Contractor), each department may
establish their own sub-distribution matrix within their own department. Each
departmental head should have control of such documents and such department shall
be responsible and shall be audited to ensure that only Controlled Documents are
distributed among their staff.
6.3 Issue and Distribution
6.3.1 There are two categories of document issue:
a) Documents generated within (Name of Contractor) and circulated for internal
review. Normally this is undertaken by the originator using an interdisciplinary check
(IDC) system and is not a DCC function.
b) Only approved documents/drawings shall be issued unless Document Control
Manager has instructions to do so from the Management
6.3.2 Subsequent revisions of all controlled distribution documents shall be sent to the
same addresses as the previous revision.
6.3.3 All documents shall be issued under a DCC internal transmittal and receipt
acknowledgment by the project team.
6.3.4 Upon receipt of controlled copies of documents the recipient will:
a) Check that the transmittal is complete and correct as listed on the transmittal and
refer all anomalies back to the DCC.
b) Return transmittal signed.
c) Destroy previous revision.
6.3.5 DCC shall report to Deputy Project Director for appropriate corrective action in
case of recipient consistently or willfully failing to return the signed transmittal.
6.3.6 All requests for additional copies of controlled distribution documents must be
made in writing to DCC. Requests should be limited to exceptional circumstances
because of the difficulty of tracing and keeping up-to-date copies that are additional to
the distribution matrix.
6.3.7 Any print showing ‘CONTROLLED COPY’ in black is to be assumed as
uncontrolled and not valid.
6.4 Filing
6.4.1 Document Control Manager shall define and document a filing system to enable
rapid accessing of all documents under his responsibility. The filing system shall be
based on the document categories listed in the Document Distribution Matrix.
6.4.2 Master documents shall be kept in the DCC office, shall only be copied by DCC
personnel, and shall not be removed from DCC.
6.4.3 Superseded copies of all documents will be stamped ‘SUPERSEDED’ in red.
6.4.4 One copy of each superseded revision of each document will be retained in the
DCC offices.
6.4.5 All cupboards, drawers files, stick files, box files, etc., will be clearly marked to
show their contents.
6.4.6 Access to files shall be strictly controlled by DCC. The loan of master
documents to project staff is prohibited. The loan of any other document shall be
limited to a strict minimum and controlled by a sign-out register.
6.5 Maintenance of Copying and Reproducing Equipment
6.5.1 IT Department shall be responsible for the good operation of all equipment in
DCC and for ensuring that maintenance schedules are drawn up and implemented for
each item of equipment.
6.6 As-Built Drawings
6.6.1 Draft red-lined “As-built” drawings shall be prepared by (Name of Contractor)
Engineering as applicable. The completion, as well as revision status of such
drawings, shall be controlled by (Name of Contractor) Engineering. Handover of the
red-lined “as-built” drawings to Consultant/Client shall be done via DCC per
contractual arrangements.
6.7 Storage and Security
6.7.1 DCC shall be under surveillance at all times during the normal working day and
kept locked outside working hours.
6.7.2 Unauthorized entry by non-DCC personnel into the DCC office area is
prohibited. A stable door or similar shall be provided to give messengers and other
project staff access to documents without having to go into the office area.
6.7.3 Filing cabinets and drawing sticks shall be lockable. Steel Cabinets shall be used
to store documents and drawings.
6.7.4 The DCC office shall be generously equipped with fire extinguishers and a fire
alarm system. Staff shall attend the required safety training provided by HSE
Department.
6.8 Control of Computerized Data
6.8.1 Document Management System is ACONEX. The system shall also provide up-
to-date approval status/tracking of documents, revision control, and controlled issue to
all parties involved.
6.9 Handover
6.9.1 Contract documents shall be reviewed during the mobilization stage to identify
Consultant/Client Document handover requirements.
6.9.2 DCC shall be responsible for storing the documents/drawings during the life of
the project including collating and handing over the documents/drawings as defined.
6.10 Archiving
6.10.1 Before project completion, Project Management shall contact the (Name of
Contractor) Project Managing Office to ascertain which documents are to be archived
in each center and in what form – e.g. microfilm. Project Management shall also
establish where the Managing Office wishes the consignments to be sent.
6.10.2 DCC shall arrange for all necessary copying.
6.10.3 Documents shall be packed in robust and secure boxes clearly marked with the
contract number and contents.
6.10.4 Each box will be individually numbered consecutively and an index compiled
by the DCC.
7. List of Appendices
Appendix – A: Document Numbering Procedure
Appendix – B: Aconex Project Instruction
Appendix – C: Sample for Stamps
Appendix – D: Flow Chart
Appendix – E: Document Distribution Matrix
Appendix – F: Letter Template
Appendix – G: Shop Drawing Template
Appendix – H: Transmittal Template
Appendix – I: Document Request Form
Document Control Procedure | Appendix – A: Document Numbering Procedure
(Ref.: xxx-xxxx-xxxx-xxx)
CONTENTS
1. Purpose and Scope
2. Project Documents & Drawings
2.1 Program
2.2 CP (Contract Package) Identifier (ID)
2.3 Organization Code
2.4 Document Type Code
2.5 Discipline Code
2.6 Sequential Number ID
2.7 Drawing Sheet Number ID (If Required)
3. Sequential Number Revision Numbering
AD Administration
AR Architectural
CV Civil
CA Contract Administration
EL Electrical
FM Facility Management
FC Cost / Finance / Commercial
FF Fire Fighting
GG Geotechnical & Geophysical
HSE Health / Safety / Environment
ITS Intelligent Transport System
LN Landscaping
LG Legal
LO Logistics
MC Mechanical
PL Planning
PC Procurement
PM Project Management
QL Quality
ST Structural
TL Telecommunication
UT Utilities
All Documents
Drawings
Numeric All Stages The first revision is “0” and then increments
Other Documents
We have been using these templates in most of the projects that I am involved with.
Revision
If employees need to know which document is the most recent, you must have a
method to classify updated documents. On each document, a revision table is used to
enter a brief note about what was modified as well as a revision number with a date. If
you don’t need to log changes, you can mark the revision number by using a running
number series at the end of the document number, or by writing the date of the most
recent revision in a prominent place. The key is for employees to be able to say which
of two versions of a document is the most recent.
Approval
A document or modification must be accepted before it can be released. A signature
or initials near the document identification number are typically required for approval.
If the approval is carried out as an activity separate from the document preparation,
the person who prepared the document or carried out the revision will sign for it. A
supervisor or manager, on the other hand, usually approves and signs the document or
revision.
Distribution
The main purpose of ISO document control is to keep track of the documents that
have been issued. Employees or offices may receive records, and you can make them
accessible at various locations. You must keep track of where the paper went and the
revision you made in each case. This record means that when a new revision is
available, you can distribute it to all locations that have the previous edition. This
procedure ensures that any copy of the previous version is replaced with the most
recent revision.
Organization
An organizational chart with job descriptions is the foundation of efficient internal
control. Job descriptions must clearly detail the roles and duties of each position in the
organization, according to documentation procedures. The reporting procedures
designate who is responsible for preparing and reviewing the organizational chart, as
well as how the company uses it. When workers begin work, they usually receive a
copy with information about their role and job description.
Supporting Documentation
To detail the basis for decisions, strong internal control structures depend on
supporting documents. Documentation procedures specify which decisions require
details and what form of documentation is required. A purchase order approval, for
example, can necessitate a requisition. The documentation protocol states that before
requesting approval of a purchase order, an employee must prepare a requisition, as
well as the details that the requisition must contain.
Reporting
The reporting of important organizational information is the key aspect of internal
control. Internal control is strengthened by documentation processes that determine
what details must be included in such reports, who is responsible for their preparation,
and who will obtain the reports. Since certain reports contain sensitive information,
the reporting protocol must identify which reports are confidential and detail the
security measures that go with them.
Reconciliation
Documentation processes, even in small companies, result in a variety of documents
from several sources. Implementing reconciliation between comparable data from
different authors is an efficient method of checking their accuracy. The
documentation procedure must determine what kind of reconciliation is required and
who is responsible for it. It must clarify how discrepancies will be treated and who
will be responsible for fixing them.