How to Control Documents and Records In Construction Projects

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The aim of this article is to provide guidelines and procedures for establishing appropriate document control system for construction projects. Documents and records required by the quality management system needs to be controlled; records are a special type of documents. Document control creates a focal point where all project related communication and documents are logged and tracked; the intention of document control is to ensure that all project related documents and correspondence are handled when necessary and promptly. As we know, any delay in processing the essential documents and correspondence (in a construction project/contract) could cause a tremendous impact on the overall completion of the project in terms of time, cost over-runs and quality. Hence, document control is an essential part of construction management and project delivery and should not be taken lightly.

Who is Responsible for Document Control? Depending on the size and complexity of the project a document controller may be designated; but it is preferred that this role is performed for a person attached to the project. In small projects the Site manager would play this role and in major projects the documenter controller is normally assigned to the Project Quality Representative. The Site Manager should ensure that all project related correspondence and documents are transmitted through the designated Document Controller for processing. Similarly, staff responsible for document control including the designated support staff should be made responsible for entering (or recording) or logging in all incoming and outgoing project related correspondence and documents into the document tracking system. The records controller is responsible for keeping accurate construction records right throughout the project period. Role of Document Controller A document controller may have control of a single document or a number of documents or a collection. Every controlled document must have a document controller. The role of document controller may have any of the following tasks: Keep all documents related to construction safe from tampering or corruption. Distribute documents relevant parties promptly using the document tracking system logs
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Maintain document registers. Logs and distribution lists Collect and maintain document distribution records. Manage document change by withdrawing superseded documents, archiving them and communicating any changes.

How to Manage Document Control? In a small construction projects, document control can be in the form of maintaining several hand written logs. In general, the essential documents to be tracked can be the following: General Correspondence (incoming and outgoing), Job Site Memos, Shop Drawings, Request for Information (RFI), Clarifications on Drawings/Plans, Change Orders, Progress Payments Site Safety Inspection Reports Inspection & Testing

For recording and easy reference or tracking purposes, each record or document should include - Document Identifier Number, Description, Date Received, Date Returned, Reviewers Name and Remarks.

For more complex project which comprised of substantial quantity of records, it is appropriate to use computer based document control log. It is common today to use spread sheets using Microsoft Excel. In larger projects which involve large number of documents, dedicated computerized online document tracking system may be more suitable. For example, there are customised or standard software packages available commercially for managing the document control process. Large projects which require a team member dedicated full time to manage and track thousands of documents, may require the use of a computerised systems. Besides above, it is essential to establish a good tracking system for proper document control before the commencement of the construction project; it is essential to establish a centralised location in the project where all incoming correspondence such as mail, deliveries and contractor correspondence are received.
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For good Document Control the following steps should be adhered to while adhering to the QMS requirements on Document Control: All incoming mail has to be registered on a register with proper date stamping. The incoming mail could be hand or messenger delivered correspondence, materials, plans, submittals, e-mail and faxes etc. Allocating a unique log number to all incoming and outgoing correspondence before registering it in the appropriate log of the document tracking system Coding of all incoming and outgoing correspondence using a File Numbering System to ensure documents are properly filed in the Master File. Copying and distributing all incoming correspondence to the Construction Management including the document control team members or the appropriate staff. Checking for obvious errors before despatching the outgoing correspondence. Archiving or filing of all original documents in a Master File until those can be properly boxed and sent for long term storage. All changes to documents related to (drawings, specifications, work practices, work instructions etc.) should be properly controlled while all concerned parties are notified such changes. The method of notification can be either through e-mail or bulletins Periodical review of controlled documents to ensure that only current documents are in use Control all drawings used for construction while ensuring the latest revised drawings Notify the contractor if nay discrepancies found in the documents and any remediation measures require. If any recurring problems encountered, it is advisable to issue non-conformance report to the contractor

Retention periods Retention periods for quality systems documentation for the projects would depend on the contract requirements. The record retention periods for a certain type of records depend on statutory requirements. When setting up the records register the project managers must establish whether there are statutory requirements for record retention and identify them and communicate to records controller.

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2012 Ensafe (www.ensafe.com.au)