GDF 002(I) – PMC AMP – Document Management

(refer to GDD 002 – section 6.1.4)

[CLIENT NAME & PROJECT NAME]

DOCUMENT MANAGEMENT PROCEDURE

Procedure No. X-XX-XX-X-023
Version [v0]

Reviewed by:

Program / Project Director: Date

Approved by:

General Manager: Date

Rev. Description Author Date

V0 First draft to be approved Anne-Sophie RODDE 09/03/2015
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V2
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1. This policy and procedure is controlled and centralized by the Quality Assurance Department.
2. Only the controlled electronic version is true and correct.
3. All printed or other copied versions are uncontrolled and should be destroyed when finished with.
4. The user is responsible for consulting the latest electronic version online.

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CONTROL OF MODIFICATIONS
Version Page Modifications

V0.1

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CONTENTS

1. Purpose..........................................................................................................................................4
2. SCOPE............................................................................................................................................4
3. DEFINITIONS AND ABBREVIATIONS...............................................................................................4
4. RESPONSIBILITIES AND AUTHORITIES............................................................................................4
5. POLICY AND PROCEDURE...............................................................................................................4
5.1 Documents Ready For Approval............................................................................................6
5.2 Controlling document............................................................................................................6
5.3 Project’s owner validation circuit..........................................................................................7
5.4 Collecting document..............................................................................................................8
5.5 Outgoing documents.............................................................................................................8
5.6 Storing and archiving document............................................................................................8
6. ATTACHMENTS..............................................................................................................................9
7. REFERENCES..................................................................................................................................9

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1. PURPOSE
The purpose of the procedure is to define and establish the requirements and responsibilities on
filing, controlling, and distributing the documents issued for the program.

2. SCOPE
This procedure covers any type of document issued during the program lifecycle by either the
contractor, the project team, the project’s owner, or any other stakeholder.

3. DEFINITIONS AND ABBREVIATIONS

ASY: Assystem who is the program management consultancy contracted to manage the program
under the name of the project’s owner.
PMC: Project Management Consultancy
PROGRAM: All works to be performed as part of the [name of the project] under the supervision of
the project’s owner and the supervision and administration of Assystem.
NOK: Not ok

4. RESPONSIBILITIES AND AUTHORITIES

According to the size and scope of the program, management resources may be replaced by senior
engineers.
PROGRAM DIRECTOR: Reviews and approves any reports or requests that are delivered to the
project’s owner for his approval.
PROGRAM MANAGEMENT OFFICE MANAGER: Is an ASY principal representative overseeing the
department functions in the program by having a document engineer reporting directly to him. He
reports directly to the program director.
DOCUMENT ENGINEER: Implements the document procedure and checks that document is
produced, filled and collected accordingly to the rules defined in the contract.
CONTRACTOR: Includes design consultants, procurement, construction and commissioning
contractors.
PROJECT’S OWNER: Is the final decision-maker of any reports or requests reported by the Program
Director.
PROJECT TEAM: ASY representatives who are responsible for the management of the program
activities including design, procurement, construction and commissioning disciplines.
STAKEHOLDER: Every party that has an interest in the program.

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5. POLICY AND PROCEDURE

The Document Management Process is set up to track, manage and store all the documents of the
program. Through a Document Management System, various versions of the documents created and
modified by different users, either contractor, project team or project’s owner, may be kept and
archived for history tracking.

A document identification process should be set up with the document management system in order
to manage these versions gathering the following fields:
 Issuer: This field refers to the organization responsible for issuing a document.
 Document Management System Folder: This field identifies the folder where the document
is loaded in accordance with the different program phases and main document types.
 Document Type: This field identifies the type of document loaded in accordance with their
characteristics that will allow a more clear and easy traceability and searching.
 Document Family: This field serves to group documents into families and allows an easier
and faster searching and traceability of documents.
 Number: This number is a sequential number in a series that takes into account all preceding
fields and is unique for the different documents identified with all possible combinations of
these fields.
 Discipline: This file identifies the discipline originator, in accordance with the program
organization, of the document avoiding potential misinterpretations among documents.
The document management system should ensure that the most current revision of documents is
available to all authorized stakeholder at all designated program locations and necessary times, and
that changes to documents are processed in the same manner as earlier versions.
The system used may come from either the project’s owner organization, project team or even the
contractor according to the scope of the program and should be managed by the document engineer
who:
 Provides instructions and training as it should be used by all the stakeholders of the program
 Performs a continuous monitoring and control of the workflow and the data submitted and
recorded in the system
 Checks that the system is still aligned to the quality management system of the program as
the different phases of the program may have different requirements for their document
management
Improves the main functions of the document management system to ensure that the tool may be
easy used in every day work by the stakeholders Refer to the RACI procedure X-XX-XX-X-006 for the
scope of the matrix of approval authority.
The document lifecycle should follow a workflow both manual i.e. managed by the users and
automatic i.e. implemented in the system. Six steps are identified and described below:

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In the case of a document revision, the revision process should follow the same steps as described
above.

5.1 Documents Ready For Approval

The contractor creates a document. Once it has been checked and approved by his internal
management, he submits the document to the document engineer by publishing it on the official
document management system and requiring a document control.
This is the first step of the workflow. The document should be on a status “on going” in the system
and the date and hour of submission should be recorded to allow tracking certain deadlines of
document deliveries required in the contract. Please refer to Contract Execution procedure when
deadlines are not respected.
A reference is created, either automatically by the system or manually by the contractor while
respecting an approved document identification procedure.
If the document is internal, i.e. for contractor and project team review only, the document engineer
is responsible for checking that it includes information required, the document should be uploaded
as a source in the system and skip step three of the workflow.
If the document is external, i.e. for project’s owner review, the document engineer is responsible for
checking that it includes information required before issuing it to the project’s owner for approval.

5.2 Controlling document

The document engineer reviews the uploaded document monitoring that it includes the following
and non-exhaustive basic information:
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 The right template

 A clear title including the phase and/or discipline of the program
 A document reference
 A document index specifying the version on the cover page
 The purpose of issue
 A date formatted
 The signature by the author, the reviewer, and the approver
 Pagination and appendices
 Any specific requirement agreed in the contract
Next, a quality control is performed by the project team and a record should be sent to the program
direction according to the importance of the document. All quality records should be identified and
uploaded for storage in the document management system and hard copies should be kept
systematically in an archive room.
 If the document issued is not compliant with the procedure and expectations, the document
engineer can reject the document (NOK) and ask the author to correct it and reissue it on
the document management system. Changes to documents, other than as minor changes,
should be reviewed and approved by the same project team that performed the original
review and approval, unless another project team is specifically designated by the program
management office manager. Minor changes to documents, such as inconsequential
editorial corrections, should not require that the revised documents receive the same review
and approval as the original documents.
 If the document issued is compliant with the procedure, the document engineer can:
o Either transmit the document to the project’s owner in case of external document
o Or collect and then store the document in case of internal document
The duration of this step should be specified in the contract and should not be over a defined
working days since the upload by the contractor and the control demand in the system. The date
and hour of review should be recorded in the system.
This is the second step of the workflow. The document should be either on a status “compliant” for
an internal document or “to be released” for an external document in the system.

5.3 Project’s owner validation circuit

Official issues to the project’s owner should be done only by the document engineer.
Once the external document has been reviewed, it is transferred for approval to the project’s owner.
The project’s owner reviews the document and approves it through a validation circuit, either
manual or automatic if the system is configured for:
 Approving with no comments and sending it back to the document engineer with his
approval.
 Approving with comments and sending it back to the document engineer. The comments
should be considered and integrated and the document should be sent again to the project’s
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owner for final approval. Changes to documents, other than as minor changes, should be
reviewed and approved by the same people that performed the original review and
approval, unless another person is specifically designated by the project’s owner. Minor
changes to documents should not require that the revised documents receive the same
review and approval as the original documents.
 Refusing. The document should get back to the initial phase and either be changed or be
cancelled by the contractor according to the reasons of the rejection. An action plan should
be drafted by the contractors and approved by the project team in case of a new submittal.

 Is not considering as relevant. The document should get back to the initial phase and either
be changed or be cancelled by the contractor according to the reasons of the rejection. An
action plan should be drafted by the contractors and approved by the project team in case of
a new submittal.
This is the third step of the workflow. The document should be on a status “compliant” in the
system. The duration of this step should be specified in the contract and should not be over a
defined working day since the upload by the project team and the control demand in the system.
The date and hour of review should be recorded in the system.
This step is non-obligatory and documents may go through fourth step directly i.e. the collecting
document step when they are internal documents.

5.4 Collecting document

Once the document has been approved, either by the document engineer in step two or the
project’s owner in step three, the document engineer should add it to the transmittal sheet that lists
all the documents received from the contractor that are controlled and approved.
This is the fourth step of the workflow. The document should be on a status “approved” in the
system. The duration of this step should be specified in the contract and should not be over one
working day. The date and hour of approval should be recorded in the system.
The document is ready to be distributed by the contractor to all relevant stakeholders and stored
and archived by the document engineer for history tracking.

5.5 Outgoing documents

The approved version of the document is transmitted to the relevant stakeholders by the contractor.
It can be retrieved by any other stakeholder according to his level of accreditation using filters in the
document management system and can be extracting in a read-only format.
Accreditation on the document management system are given through the Information Technology
Plan as security and confidentiality should be guaranteed by certificates, use of passwords and
identification codes.
This is the fifth step of the workflow. The document should stay on a status “approved” in the
system and the list of the stakeholders to who it has been electronically transferred should be
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attached and specified through an asterisk on its side.

5.6 Storing and archiving document

The documents should be stored until the completion date of the contract and managed by the
document engineer.
Before closing the contract, while the established retention periods have elapsed, the document
engineer should check the availability of pertinent documents that appear as having been registered
and issued in the document management system.
Next the documents should be archived and the document engineer should give appropriate
instructions to the project’s owner for its management: Official issues of documents packages should
be stored in an archive room, ordered according to the program breakdown structure identified at
the preparation phase. All project quality records should be archived in duplicate, in two
independent and segregated places: archive room and a server.
This is the sixth step of the workflow. The document should be on a status “archived” in the system
and the project’s owner takes the entire responsibility of all the documentation of the program.

6. ATTACHMENTS

7. REFERENCES
 Information Technology Plan procedure
 Document Identification procedure
 Contract Execution procedure
 RACI procedure X-XX-XX-X-006

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