Management: Document Management Workflow

SAMPLE WORKFLOW – DOCUMENT MANAGEMENT
NODE A2-1 DOCUMENT IDENTIFICATION
A2-1-1: Select Types of Document
The contract (project execution plan) will provide information about the project. Based on this input information a list will be made, at the start of the project, with the necessary types of documents. This will be done by the various responsible persons (lead engineers), within each applicable department. This list will be made by picking the relevant document types from a default list. This default list will be available with all the standard COMPANY types of documents within the company (including their standard forms and backgrounds). It will be possible to get a subset per department/discipline of all default documents.

The output of node A2-1-1 will therefore be the ‘project COMPANY document type list’.
A2-1-2: Make List Project Specific
The purpose of this activity is to develop the COMPANY document type
list into a project specific document list (deliverables) based on:
– Client requirements as laid down in the contract
– Additional COMPANY requirements
– Third party documents
– Existing documents to be re-used
Since at the start of the project not all the information is available to determine the exact amount of documents to be produced and the expected amount of seller documents, it will be possible to add documents even when the project has already started. However the listing should be made as complete as possible at the very start, given the scope knowledge of the project.
During this process a COMPANY document number will (if possible automatically) be assigned to the document based on the document numbering system in accordance with the Project Quality Plan.
The output of node A2-1-2 will be the ‘documents list with COMPANY document number’. The revision will be marked and status is ‘identified’.
Lead engineers allocate the documents to be created to groups of persons or individuals within their discipline. In doing so a worklist is created for each group or individual.
Remarks: The activity ‘Make List Project Specific’ is applicable for all documents and therefore the Practice for document numbering has to be reviewed and revised or even completely renewed when implementing a new document numbering system.
A2-1-3: Give Client Document Number
If required, the document list will be extended by assigning a Client document number to all or part of the documents.
The output of node A2-1-3 will then be the “document list with COMPANY- and Client document number”.
NODE A2-2 DOCUMENT CREATION / UPDATE AND RELEASE
A2-2-1: Update revision/select document
Before an engineer starts to work on a document, either new or in progress, he will have to select the document from the ‘Project Document List’ (worklist) to ensure that the latest status/revision document will be used. The revision (only internal or both in- and external) is updated at the moment the document is selected to be worked on, depending on its status. Update of a revision will only occur after a release of documents (see also node A2-2-5). A distinction will be made between internal revision (bulls eye) and issue revision (external revision). This distinction will be considered for all documents.
This process also covers the first use of the document, when it is not a real update, but a first ‘revision’ identification (0.A) and status will change to ‘in progress’.
Based on the selected document the tool will be selected to create or update the document. The tool may be:
– Word
– AutoCAD
– Open Office

etc.
The output of node A2-2-1 will be the ‘Selected document and tool’.
Seller documents will also be revised in this process in a similar manner.
The project document list (‘document control index’) with the latest status and revision will therefore always be available.
A2-2-2: Create/Update/Check Document
The selected document will be created/updated/checked with the selected tool. During this action the document has the status ‘in progress’ with the applicable revision number. The previous revision of a document will be maintained (in file) for history references.
Before a document will be released, it will be checked wit-hin the originating discipline in accordance with the procedure for document verification. All comments after document checking have to be resolved and incorporated on the document before release.
For the output of this activity a distinction is made between:
a) Documents for ‘in progress’ filing.
b) Documents ready for issuing (issue status confirmation).
c) Documents progress updating (for milestone status confirmation).
ad a) During normal development a document can be filed (check-in) at any time and retrieved (check-out) without an update of the revision.
The status of this document will remain ‘in progress’ until a document is ready for issuing.
ad b) A document will be ready for issuing when a defined status has been achieved or whenever there is a request for (in-termediate) issuing e.g. ‘for information’. After issuing of the document the revision will automatically increase when this document will be further developed or updated.
ad c) The document milestone status can be updated at any time, but in some cases the milestone status is the same as the issue status and therefore should be kept parallel. A default value for the related progress of the document will be available from the system, but can be overruled, to show any progress change between two milestones. The revision and status will not change.
A2-2-3: Confirm Document Milestone Status
The document milestone status gives information whether a document has reached a certain milestone and has reached certain physical progress: the document is ready for checking approved for design , or etcetera.
A2-2-4: Confirm Document Issue Status
A document which is ready for issuing must be given the appropriate issue status and has to be signed-off by the originator (e.g. for a drawing in the drawing block as well as electronically).
The document issue status gives information on the phase of the document: the document is issued For Approval (FA), issued for Approved for Design (AFD), issued for Approved for Construction (AFC) or issued for As Built (AB), for example in the industrial sector.
A2-2-5: Release Document
Upon completion of a document in a defined status or on request, the document will be released.
A distinction will be made between:
a) release for internal review/approval.
b) release for external review/approval.
c) release for immediate use.
ad a) and b)
Approval by at least the lead engineer of the origina-ting discipli-ne is required to release a document for internal or external re-view/approval. In most cases the project (engineering) manager has to approve the release for external review.
ad c)
A document will be released for immediate use when:
– a document is released or approved by COMPANY only, without internal or external review of that document.
– a document is approved after internal and/or external review of that document and all comments to achieve a defined status are resolved and incorpo-rated in accordance with the quality procedures and signed off by the persons as defined in the Responsibility Matrix
– requested by any party to receive a document ‘for information’.
The output of this activity will be a ‘released document’.
NODE A2-3 INTERNAL REVIEW
A2-3-1: Prepare Routing “Slip” (DRR)
The document(s) shall be routed along the disciplines to review and confirm or reject the content of the document(s).
The responsible persons and disciplines to review the document(s) are indicated on the Document Responsibility Matrix which will be made project specific to meet the project requirements.
Based on this Document Responsibility Matrix the Document Review Record (DRR) will be prepared. A DRR per (group of) document(s) shall be prepared.
Depending on the number of disciplines involved, or the time available to review, the originating lead engineer may decide to have parallel reviews per document rather than a sequential review, or even have a review meeting.
The sequence of the routing will be determined on the DRR and the DRR will be numbered and filed.
The printing of the copies for Internal Review will be done in process A2-6-2 (print copies for distribution). For sequential routing the number of copies per document is 2 (two), 1 (one) for routing and 1 (one) for the originator. For parallel reviews the number of copies is the number of DRR’s + 1 (one) for the originator.
A2-3-2: Route Document(s) Internal
After receiving the requested number of prints one or more packages (documents and DRR) will be routed to the first person mentioned on the DRR for review.
The reviewer shall acknowledge the receipt of the documents by electronic acceptance of the DRR (sign-off).
Further sequence of routing shall be in accordance with the routing on the DRR.
A2-3-3: Review Documents Internal
Each discipline (person) shall, after receipt of the routing package, review the documents in accordance with COMPANY practice. After review the reviewer shall sign-off the DRR (copy) and submit the routing package to the next person mentioned on the DRR.
The last reviewer shall return the complete routing package to the originator.
When it is decided to arrange a review meeting instead of a review through routing, the DRR will also be used and the disciplines involved in the review meeting will sign-off the DRR during this meeting.
Remarks: After electronic sign-off of the DRR by the reviewer the electronic saved DRR will automatically be sent to the next reviewer.
A2-3-4: Trace Documents
It is for schedule reasons important to be able to trace docu-ments during the review cycle.
Tracing of documents is possible on-line through the (electronic) DRR, since each reviewer has to sign-off (review completed) the DRR. Also a reviewer has to acknowledge that he has received the DRR.
NODE A-2-4 EXTERNAL REVIEW
A2-4-1: External Review
The external reviewer will acknowledge the receipt of the review package by returning 1 (one) signed off print of the external transmittal letter. This acknowledgement will be registered in the system by the project administration function.
Documents shall be reviewed by all external reviewers and comments or approval shall be returned to COMPANY within the time-limit as mentioned on the transmittal letter.
If no comments or approval has been received after the time-limit has expired, it is assumed that the external reviewer has approved the review package.
NODE A2-5 FILING & RETRIEVAL
A2-5-1: Check-in document
This process covers the actual receiving of the document and the checking whether the received document complies to all conditions for filing (complete-ness, authorizations, medium etc.). All actions prior to filing (check-in) are executed during this process, e.g. paper documents can be stamped, scanned etc.
Documents received can be:
– Documents in progress (either electronic or paper).
Filing can be requested by the originator or any other person authorized for this request at any point in time.
– Documents for immediate use. For definition see node A2-2-5.
– Documents reviewed internal and/or external. Related annotations are filed on request.
– Seller documents.
– As-built documents (comment prints from site).
– Transmittals, DRR’s etc.
– Transmittal acknowledgements.
The receiving process covers:
a) Electronic documents. This process will be executed automatically whenever possible.
b) Paper (or other) documents. This process must be executed manually. Metadata of these documents is stored electronically.
A2-5-2: File Document
This process covers the actual filing of documents in accordance with the filing index in discipline vaults and/or in the central project vault and the update of all document metadata necessary for filing (e.g. update location data).
Vaults can be:
a) An electronic vault. This process can be executed automatically.
b) A physical file cabinet. All documents are manually filed in this file and metadata of these documents is stored electronically.
A2-5-3: Retrieve Document
This process covers the search and retrieval (check-out) of the document and/or its metadata, history etc. from discipline or project document vaults. The documents can be retrieved (check-out) by authorized users for:
– Update after ‘in progress’ filing.
– For internal reviewing.
– For external reviewing.
– Update after being reviewed.
– For immediate use (issued for distribution).
– Archiving: originals and copies can be retrieved for archiving.
– Seller documents for initial identification and review or release.
– As-built documents with comments (prints).
Documents can be retrieved (check-out) from:
a) An electronic vault. In this case retrieval is executed automatical-ly upon request.
b) A physical file cabinet. All documents must be manually retrieved from this file.
Metadata of these documents has to be updated in the system manually.
A2-5-4: View Document
It should be possible to allow certain persons to have access to all or part of the documents for ‘view’ only. Of course the documents need an electronical-ly representation that is viewable.
Viewing should be possible not only for released documents but also for ‘in progress’ filed documents.
Remarks: The possibility to make a copy of a ‘viewed’ document for personal references only should be considered. This copy should then automati-cally be marked as ‘for personal review only’. If a print is made of this copy this remark has to be visible on the print as well.
NODE A2-6 PRINTING AND DISTRIBUTION
The total process covers the printing and distribution (both internal and external) of documents for all purposes (for information, for reviewing, for immediate use and for archiving).
A2-6-1: Prepare Transmittal for Distribution
This process covers transmittal preparation for the following documents:
– documents for immediate use.
– documents for external review (internal review is covered in A2-3-1).
– documents (copy and/or originals) for archiving.
For internal submission an Internal Document Transmittal (SFOR 1900.02.001) shall be prepared (for internal distribution of correspon-dence the distribution is allowed to be printed on the document itself). More than one recipient can be indicated on the internal transmittal.
For external submission a Transmittal Letter shall be prepared. For each addressee (party, group or person) a transmittal letter will be prepared. Transmittal number (and if applicable) recipients address will be generated automatically.
The Document Distribution Schedule shall, where possible, be used to prepare both transmittal letters. In other cases (IOC’s, let-ters, faxes, etc.) the distribution shall be clearly indicated by the originator.
See practice and departmental guide for distribution and submission of documents.
Remarks: Project specific transmittals and distribution schedule will be developed to meet the specific project require-ments based on the above mentioned SFOR’s.
Transmittals will be electronically filed as well.
A2-6-2: Print copies for distribution
This process covers the printing of documents for submission by using the print request form.
Number of copies and type of print material will be determined by the number of recipients, number of copies per recipient and the type of material as laid down in the Project Execution Plan or Project Coordination Plan.
Documents and completed print request will be submitted to the printroom for printing by the requester.
The printed copies are then send back to the requester for either internal review (using the DRR) or for further distribution (using the internal or external transmittal).
A2-6-3: Prepare originals for Distribution
It may be required to prepare original documents e.g. for handover to the client or for archiving after project close out. The originals will be collected by the originator.
Originals are:
– drawings
– discs with electronically filed documents
– …
etc.
A2-6-4: Distribute copies/originals
After receipt of the copies for distribution or the preparation of the original documents by the originator, the documents will be distributed to its addressees together with the signed transmittal letter.
Copies of the transmittal letter will be distributed in accordance with the Document Distribution Schedule.
For documents distributed to the construction site, the relevant metadata will be imported into the FDCS.
Original documents or copies that should be archived are send to the originator (or his replacement), in order to prepare them for archiving (see node A2-7).
NODE A2-7 ARCHIVE AND RETENTION
A2-7-1: Close-out Document
At project close-out a document (original or copy) needs to be archived. A Records Transmittal for archiving is made to transfer vital project documents to the Central Archive. This transmittal is written by the originator and has to be approved by the project manager (or delegated project-/lead engineer). The transmittal is submitted to Central Archive, together with the documents to be archived.
A2-7-2: Prepare Document for Archiving
At Central Archive a custodian checks and if necessary adds classification and/or archive information in accordance with the retention procedure and practice. The (physical) location, where the documents will be stored, is also added. If required or requested other actions will take place e.g. microfilm production, discs, optical disk, other representations (like images). A copy of the completed transmittal is returned to the originator.
A2-7-3: Archive Document
The documents to be archived will be transferred to the Central Archive (be it electronically, paper or any other material/medium) along with other representations. After completion of the archive activity, the custodian sends a records inventory & retention notice to the originator, in which the records (documents) stored in the Central Archive are listed, also giving detailed information on retention.
Upon request a read-only copy of the archived document will be made available for distribution purposes. If the copy is used for printing only (no distribution of the copy itself), then this copy will be removed (deleted) after the requested printing has been completed successfully.
Upon request a copy of the archived document will be made available for re-use on an other project. This copy will be re-numbered according the requirements of this new project and as such become a new original document. The archived document will remain in place.
A2-7-4: Destroy Document after Retention
After the retention period is expired, an archived document will be removed from the archive and made available for destruction. The metadata will remain available (electronically).
The originating discipline will be notified and destruction will not be effected without its approval.
The archived document and all is representations will be destroyed/removed and will no longer exist.
Remarks: An image of the old document might be kept to have viewing capabilities for history purposes.