2003 AACE International Transactions
IT.06
Document Management and Project Controls
Paul D. Kuhlken, CCC
hat is project controls? Simply defined, it would
W be all the tools necessary to help execute a proj-
ect in the most efficient, cost effective, and time-
ly manner possible. The common components
of project controls are cost control, planning, scheduling, estimat-
ing, quantity tracking, change order control, purchasing, and
accounting. In order for any one of these components to function
properly, information must seamlessly flow without any unneces-
sary delay. Now just what kind of information are we talking
about? What is needed to ensure the uninterrupted and timely
flow of that information?
There are three main types of information that need to be
dealt with on any given project. They are technical documents,
transmittal documents, and correspondence [5]. Technical docu-
ments are produced to define an entity or project and to convey
information about that entity or project to others, such as clients
and managers. Transmittal documents are used to manage the
flow of technical documents from one party to another. They
report actions that have been taken. Correspondence documents
are used to pass or record certain information that may require
action or a response.
These types can be further split into three groups. They are
corporate, working, and personal documents [1]. Corporate doc-
uments are all documents used by an entity to conduct its day-to-
day business and are considered to be valuable for legal and audit
purposes. This would also include those documents that are cre-
ated outside of the organization until they have reached a level of
completion, which enables them to become a part of the corpo-
rate record. Working documents are those that are either a work in
progress or documents relative to policy, procedural, program, or
management issues. These documents, in progress, will also
become a part of the corporate record upon reaching a certain
level of completion. Personal documents are the documents gen-
erated by an individual and may include notes, lists, memos, and
copies of documents, which are not intended to become a part of
the corporate record.
So how are contracts, scopes of work, project estimates, proj-
ect correspondence, schedules, cost reports, payroll reports,
invoices, commodity/equipment lists, purchase orders, specifica-
tions, process/scope documents, construction drawings and sup-
plier drawings, just to name a few, controlled, stored, and moni-
tored? Call it document control, information management, com-
munication management, enterprise document management
(EDM) or simply, document management [4]. It is the organized
IT.06.1
or engineered dissemination, disposition, and retention of record-
ed information [2, 3].
Document management can be performed utilizing anything
from a simple manual process to a massive Internet based process
as long as the same basic fundamentals are applied. One of the
keys to the entire process is to specifically identify what the final
disposition of the various forms of information is going to be.
DOCUMENT MANAGEMENT
PROJECT REQUIREMENTS
Every company should have its own standard filing system
structure. It is important that all projects follow the system proce-
dures very closely to provide consistency within the entire docu-
ment management approach. The main requirements are as fol-
lows.
• All documents will have their own standard format and
nomenclature respective to their type and usefulness.
• All documents must be registered with a unique identifier,
description, status, and records disposal information catalog.
• All documents need to be adequately managed over time,
knowing where the originals and copies of the documents,
including those in progress or under revision, are at all times.
• All documents must have their passage to all persons or enti-
ties monitored and documented with the appropriate trans-
mittal forms.
• Logs on various types of documents must be created and
maintained.
• All documents and other information must be expedited, with
special care given to their time critical nature and done so
efficiently.
• A reporting system must be maintained throughout the life of
the project so as to convey a full life cycle of individual or
grouped documents and provide exception reports to assist in
expediting critical information.
• Provide for a repository or repositories where files and docu-
ments or drawings can be easily accessed during and after the
project.
 2003 AACE International Transactions
INFORMATION AND COMMUNICATION
FLOW CONTROL
At the very onset of any project, there is usually a kick-off
meeting. At some point in the meeting, a discussion will ensue on
how and what information will be provided to the team members
so that they can do their work. A project communication and doc-
ument distribution matrix must be developed either during this
meeting or shortly afterward in another forum.
Here is a sample list of the various forms of information and
communications that need to be included in this matrix:
The following is a breakdown of some various project deliv-
erables with their respective relation to document management
and project controls.
Studies
Generally characterized as a feasibility study with a Class 4
estimate and single page summary schedule. It is considered as a
technical corporate document. It is kept in the project files for ref-
erence.

• Project management: this includes contracts, written scopes, Project Schedules

estimates, status reports, cost reports, change orders, etc. Necessary for the completion of indirect estimating.
• Correspondence Developed, maintained, and issued periodically and considered
• Schedules as a technical working document. Used throughout the life of the
• Lists project, and both current and previous issue copies are kept in the
• Material management project files.
• Specifications
• Process/scope documents
• Construction drawings Project Estimates and Scope
• Vendor/supplier drawings Generally characterized as a Class 4 or 5 definitive estimate.
Schedulers use this to help develop the project schedule. It is con-
See Figures 1 and 2. sidered as a technical corporate document. It is kept in the proj-
The matrix should also include a corresponding list of team ect files for reference.
members either by name or department. The matrix needs to have
a legend that describes the designator identifying it as a routed
copy, original document, copy/number of the document, reduced Piping and Instrument Diagrams
copy, document transmittal only or applicable copy. There should These drawings are considered to be technical working docu-
also be a status legend to show release types. ments. Schedulers use these to help develop the project schedule.
Both current and previous issue copies are kept in the project files.

PROCESSING PROJECT DELIVERABLES

The typical life cycle of a document such as a construction draw-
ing has many stages. First, it is created and registered using dimen-
sional information, material specification data, and drawing stan-
dard format in a drawing control program. Next, it will go through
a series of internal checks as it progresses until it reaches release
for approval stage. A transmittal is created, and the drawing is sent
to the client. The transmittal will have the date transmitted, pur-
pose, and a distribution listing. After client approval, it may go
through another series of redesign and internal checks until it is
released for construction, bidding, or purchase. Again, a transmit-
tal is created, and the drawing control program will track each
release and document when each happened. It should include
construction need date information to compare its actual issuance
progress. Of course, this is all related to the project schedule that
should dictate constructions requirements for design information.
It is very important that drawing control programs provide this
information on a timely basis in order to expedite documents to
help meet project milestones. The drawing in the long run, may
be used to convey and document as-built information to the
designer or client. At the end of the project, completed and as-
built drawings are usually turned over to the client for their use or
archives.
It is important to understand that the expediting of certain
key documents is essential to preserving the integrity of the proj-
ect schedule. These documents are known as project deliverables.
Equipment List
This list is considered as a technical working document.
Schedulers use these to help develop the project schedule. Cost
engineers find this useful for project cost set-up. Both current and
previous issue copies are kept in the project files.
Drawing List
This list is considered as a technical working document.
Schedulers use these to help develop the project schedule. Cost
engineers find this useful for project cost set-up. Both current and
previous issue copies are kept in the project files.
Tie-In List
This list is considered as a technical working document.
Schedulers use these to help develop the project schedule. Both
current and previous issue copies are kept in the project files.
Instrument Index
This list is considered as a technical working document.
Schedulers use these to help develop the project schedule. Both
current and previous issue copies are kept in the project files.

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 2003 AACE International Transactions

Figure 1

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Figure 2

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 2003 AACE International Transactions
Specifications of these documents be monitored and recorded in the project
Considered a technical corporate document. Important to schedule throughout their life cycle. A good document manage-
design development, purchasing, and fabrication. Copies are kept ment system will provide the necessary means to report status.
in the project files.

PROJECT CLOSEOUT
General Arrangements
These drawings are considered to be technical working docu- Project closeout is a two-step process that includes creation of
ments. Schedulers use these to help develop the project schedule. a project completion report and the disposition of the project doc-
Cost engineers find this useful for project cost set-up. Both cur- uments. The responsible parties should include the project man-
rent and previous issue copies are kept in the project files. ager, discipline project leaders, document control clerk, project
secretary, and storage facility coordinator.
The project completion report is the project manager’s
Piping Isometrics responsibility and will include project general information such
These drawings are considered to be technical working docu- as contract number, project title, location, client name, etc. It
ments. Schedulers use these to help develop the project schedule. includes process description, listing of key personnel, contract his-
Used for purchasing fabricated pipe. Both current and previous tory, scope of work, important schedule dates and milestones,
issue copies are kept in the project files. project costs and a critique highlighting problems, workforce
availability, timeliness of client reviews and approvals, expediting,
etc.
Civil Plans, Sections, and Details The document disposition process will be spearheaded by the
These drawings are considered to be technical working docu- project manager. The disposition will be done as outlined by the
ments. Schedulers use these and their issuance information to project file storage procedures. It is common for a project manag-
help develop and maintain the project schedule. Both current er to want to keep everything in storage, but it is imperative from
and previous issue copies are kept in the project files. a space capacity and cost standpoint to follow the procedures
unless the project’s outcome dictates otherwise.
The following is a sample document index with associated
Structural Steel Plans project closeout disposition codes using the list of project deliver-
These drawings are considered to be technical working docu- ables above.
ments. Schedulers use these and their issuance information to Project disposition codes:
help develop and maintain the project schedule. Used for pur-
chasing and fabricating steel. Both current and previous issue • A: Archived using electronic media.
copies are kept in the project files. • AH: Archived using hard copies.
• D: Discard at project closeout.
• O: Original sent to client.
HVAC Plans, Sections, and Details • OX: Original retained in secured area, copy to client.
These drawings are considered to be technical working docu- • P: Discard unless specifically directed by project manager
ments. Schedulers use these and their issuance information to based upon project status.
help develop and maintain the project schedule. Both current • Studies: P
and previous issue copies are kept in the project files. • Project schedules: P
• Project estimates and scope: P
• Piping and instrument diagrams: A,O
Single Line Diagrams • Equipment list: D, AH, B
These drawings are considered to be technical working docu- • Drawing list: D
ments. Schedulers use these and their issuance information to • Tie-in list: D
help develop and maintain the project schedule. Both current • Instrument list: D
and previous issue copies are kept in the project files. • Specifications: D, A
• General arrangements: A,O
• Piping isometrics: A,O
Power Plans • Civil plans, sections, and details: A,O
These drawings are considered to be technical working docu- • Structural steel plans: A,O
ments. Schedulers use these and their issuance information to • HVAC plans, sections, and details: A,O
help develop and maintain the project schedule. Both current • Single line diagrams: A,O
and previous issue copies are kept in the project files. • Power plans: A,O
See Figures 3, 4, 5, and 6.
All of these documents are obviously required for providing Note that combinations of the disposition code can be uti-
effective project controls. They are required to be issued for lized.
approval, design, and/or construction on a timely basis, so as not Realizing that the majority of the above will be represented in
to jeopardize the project schedule. It is imperative that the status both hard and electronic file versions, the ease of retrieval of this

IT.06.5
 2003 AACE International Transactions

Specification Approval

Specification Originator Project Engineer

Comment
(Retu Resolution
rn
Intra-Discipline Document Control
Cycl
Peer Review Login/Distribution
e)

Design Leaders Q & A’s Design Leader/

(Review as appropriate) Specification Originator

Section Manager Review Project Engineer Review

Project Engineer Review Q& Document Control

A’s
Distribution

Document Control Release

Internally Client Others

As Appropriate
Client (Bidders,
Review Contractors,
etc.)

Figure 3

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 2003 AACE International Transactions

D r a wi n g A p p r o v a l

Project Engineer
CAD
Operator
Comment
Resolution
Document
Control
Design Originator
Review
Q & A’s

Design Leader
Q & A’s
Design Leader
Review

CAD
Operator
Inter-discipline (Ret
Review urn
Cycl Design Leader
e)
Checker

Section Manager

Section Manager
Review
Project Engineer

Project Engineer
Review
Document Control
Distribution

Document Control
Release

Internally Client Others

As
Client
Appropriate
Review

Figure 4

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 2003 AACE International Transactions

Ve n d o r D o c u m e n t A p p r o v a l

Vendor

PE Client PE

Document Control Client

Technical Resources

(Return Cycle)

Primary Approver Process Engineer

Q & A’s Client PE

Q & A’s Design Leaders

PE
(Return Cycle)

Primary Approver

Comment
Resolution

Project Engineer

Document Control

Distribution Vendor Client

PE

Figure 5

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 2003 AACE International Transactions

Technical Package
(includes as required)
• Specifications
• Drawings

Inquiry Requisition
Engineering

Request for Quotation

Purchasing

Bidders
Q & A’s (Equip. Vendors,
Purchasing
Fabricators,
Subcontractors)

Shop
Simultaneous Copies Inspection
Q & A’s
Purchasing Client
Purchasing
Vendor
Ship
Q & A’s Order
Project Client
(Distribute
Manager Project
d
Commercial Manager Vendor
According Receiving
Evaluation to Invoice Report
Purchasing Document
Technical Distributio Purchase
Evaluation n Matrix - Order
Q & A’s Typically
As Shown) Accounts
Rec./Pay.

Purchasing Project Vendor

Manager Manager Approval
Drawings
Client Project Manager
Resolve all bid Approval Approval
responses to meet
RFQ Requirements
Reference Vendor Drawing Approval
Payment
(According to P.O./
Approved Contractual
Recommendation
Drawings Terms)
Purchasing/Project Manager

Vendor
Fabrication

Figure 6

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 2003 AACE International Transactions
data can be realized. If physical storage space is lacking in the
retention area, the hard copies may be discarded. Of course, you
do not want to discard documents such as signed agreements and
the like.
If a project’s status at the end is not desirable and the project
cost and schedule information is retained accordingly, it is easy to
access and rebuild the project if necessary for claims or other liti-
gation.

s you can see, the project control effort is reliant

A upon a well engineered document management sys-

tem. Without organized and well reported informa-
tion, there cannot be an efficient and cost/time sav-
ing project controls endeavor.

REFERENCES

1. Commonwealth of Australia. 1996. Improving Electronic

Document Management—Guidelines for Australian
Government Agencies. Commonwealth of Australia.
2. Craine, K. 2000 Designing A Document Strategy. MC2
Publishing.
3. Robek, M. Stephens, and D. Brown J. 1995. Information and
Records Management—Document-Based Information
Systems. GLENCO/McGraw Hill
4. Sutton, M.J.D. 1996. Document Management for the
Enterprise. John Wiley & Sons, Inc.
5. Townsend-Rose, Eur Ing Richard G. 1997. Construction
Engineering Management Document Control Specification
Requirements.

Paul D. Kuhlken, CCC

BE&K Engineering
1020 Downtowner Boulevard
Mobile, AL 36609
E-mail: kuhlkenp@bek.com

IT.06.10