FEMC Document Control

Transcription

1 FEMC Document Control Document Number Revision 7 Approved by Wayne L. Cornell, PE Posting Date- April 10, 2006 Active Divisions/Departments FEMC Raytheon Polar Services Company Owning Division or organizational component Hard Copy Not Controlled Controlled Copy Available On-line

2 Table of Contents Purpose... 1 Scope/Applicability... 1 Terms and Definitions... 1 Responsibilities... 2 Discussion... 2 Document Submission... 2 Document Control (DC)... 3 Filing... 3 Logging / Tracking... 3 Internal and External Document Distribution... 5 Reprographics... 7 Mailing... 8 FEMC Records... 8 Storage Protection and Retrieval... 8 Retention... 9 Disposition... 9 References Records Owning Division or organizational component i

3 Purpose This document defines the procedural process for document management and control within Facilities Engineering, Maintenance and Construction (FEMC) Division of Raytheon Polar Services Company (RPSC). Scope/Applicability This procedure applies to FEMC document management and control of Division project files, design drawings, shop drawings, specifications and historical documents. This procedure also addresses Division records storage, archival, protection, retrieval, retention, and disposition. Terms and Definitions Records Records are actual recorded data, or information, that sufficiently demonstrate and ensure that a process or activity required by the procedure has been completed effectively. Records can be maintained in any medium, (i.e., hardcopy, electronically, magnetically, optical disk, etc.). FEMC records consist of design drawings, shop drawings, project files, and may include, but are not limited to; specifications, calculations, design packages, correspondence, construction documentation, supplier submittals, contracts, etc. Active Records Active Records are necessary to conduct the current Division business and therefore generally are maintained within the Division Document Control spaces. These records are also referred to as current records. Inactive Records Inactive Records are records no longer required to conduct current Division business, and as a result are ready for disposition. These records are also referred to as non-current records and include records that may be removed from the work area to a local archive storage location, or to the Federal Records Center (FRC), or until disposal, as appropriate. Federal Records Center The Federal Records Center is a facility for the low-cost storage and servicing of inactive Federal records pending their disposal, or transfer to the National Archives. Archives The records of an organization preserved because of their continuing or enduring value. National Archives of the United States means those records that have been determined by the Archivist of the United States to have sufficient historical or other value, to warrant their continued preservation by the Federal Government, and that have been accepted for deposit in the Archivist s legal custody. Owning Division or organizational component Page 1 of 10

4 Responsibilities Director, FEMC Ensures this procedure is followed for all Facilities, Engineering, Maintenance and Construction projects. Manages Division policies and procedures. Ensures all FEMC personnel are provided copies of this procedure. Manager, Engineering Ensures this procedure is followed by all engineering personnel. Manages/Administrates these policies and procedures. Revises or changes these policies and procedures as required. Engineers, Designers, and Draft-persons The engineers, designers, and draft-persons shall follow design procedures outlined in the CADD Manual procedure (EN-DMPS-101). Engineering, Maintenance and Construction Personnel Engineering, Maintenance, and Construction Personnel shall follow document control process as outlined within this procedure. Document Control (DC) Document Control shall maintain the master project/drawing files for the repository of design documents, and coordinate reproduction and distribution of design documents. Discussion Document Submission 1. Submission of documents by Engineering / Maintenance / Construction personnel A. Electronic Documents: Submit all electronic project-related documents to DEN- FEMC-Document Control distribution group. This group may be found within Outlook when selecting To..: in the Show Names From the: dropdown, select All Groups and scroll to DEN-FEMC-Document Control. Owning Division or organizational component Page 2 of 10

5 Electronic documents shall include: Project #, Project Title, Document Type (if applicable), and the Project File Index # (Refer to Engineering Project File Index (a) on the Master List for a listing of project file index reference numbers). B. Hardcopy Documents: Submit hardcopy project-related documents to Document Control. Include all project information required for submission of electronic documents. Note: Hardcopy documents shall be date stamped by Document Control upon receipt. Document Control (DC) Filing 1. Identifies documents. 2. Administrates Project Files and accompanying Indexes. 3. Files documents within appropriate project files in accordance with the Engineering Project File Index (a). 4. Dispositions documents upon receipt. Logging / Tracking 1. DC, and/or project designee, uses Primavera Expedition database to log documents such as; Requests for Information (RFI), Change Requests (CR), Project Correspondence, Transmittals, Supplier Submittals, Design Drawings and Shop Drawings. (Refer to Engineering Documents in Expedition EN-DMPS-223.) A. Change Requests and Requests for Information 1) CRs and RFIs are received via and/or electronically logged into the Requests & Changes log within the Expedition database. Once logged, CRs and RFIs not maintained in Expedition are hardcopy filed in the Project Folder per the Engineering Project File Index. 2) The initial request, responses, response required, date, and status are tracked. Owning Division or organizational component Page 3 of 10

6 3) Filing: A hardcopy of each RFI (with any attachments) is filed in accordance with the Engineering Project File Index, if not maintained electronically within the Expedition database. (Refer to Requests & Changes log within Expedition.) A copy of the CRs is filed in accordance with the Engineering Project File Index, if not maintained electronically within the Expedition database. (Refer to Requests & Changes log within Expedition.) Interim drawings generated as a result of the RFI/CR process are submitted to Document Control (refer to Document Submission in this procedure) for inclusion into the applicable drawing set. Upon incorporation of the Interim drawings into the As-Built drawing set, the Interim drawings are then filed in the project file. B. Project Correspondence Tracking 1) Correspondence logged into the Expedition database is described as follows: Correspondence Sent to or Received by the NSF, NAVDIV, Subcontractors, and/or other external sources, that document important inquiries, decisions, changes, or reviews relating to specific projects (i.e. milestones, contract scopes, design reviews, and deadlines). Transmittals sent to the NSF, NAVPAC, Subcontractors, and/or other external sources. 2) Project correspondence not tracked in the database: Project In-house traffic between the engineering groups (Denver engineers and Stations). Project from Suppliers, or the NSF, if it is informational in content. 3) All project correspondence sent to DC for tracking/logging and filing is to be referenced with the appropriate project identifier (project number, project title, and/or facility acronym and building number) by the originator. Note: All correspondence received via is printed out and filed in hardcopy. C. Transmittals: 1) Transmittals are generated for any project related material that is going out to the NSF, NAVPAC, Subcontractors, and/or other external sources. (All Owning Division or organizational component Page 4 of 10

7 outgoing transmittals must be signed by the Responsible Personnel generating the transmittal). 2) Incoming transmittals accompanying project related submittals and drawings are filed by project name. If received directly by DC, a copy of the transmittal is given to the responsible party. 2. DC tracks drawings, shop drawings and submittals. (See Drawing and Submittals Log (b and/or Expedition Submittal Registers). 3. DC maintains Document Check-Out System: A. Document Check-Out System: 1) Check-Out of Drawings, Electronic Media, Project Files and Submittals: a) Fill in an Out Card with name, date, document title and drawer or location it came from in the appropriate columns. The Out Cards are located in cartons on top of the flat files for easy access. b) Place the Out Card into the Checked Out carton. c) Once the checked out document is returned and placed back in the location it came from, cross out information on the Out Card. 2) Check-Out of reference material on shelves and supplier submittal binders on file cabinets: d) Fill in an Out Card with name, date and document title in the appropriate columns. e) Place the Out Card in the space where the binder/document was removed. f) Once the checked out document is returned and placed back in the location it came from, cross out information on the Out Card. Internal and External Document Distribution 1. Internal and External Document Distributions: A. Drawings (hardcopy or Electronic): Project Leads/Managers, Project Engineers or the Engineering Manager shall submit a signed Document Release Form (DRF) (EN-DMPS-201a) for release/reproduction of all "approved" drawings. Engineering Management must sign off drawings and all Engineering review disciplines prior to release. This includes drawings released for construction, bid solicitation, and NSF review. The form is/may be generated electronically. An Adobe Acrobat (pdf) copy of the signed drawing cover sheet will be generated by Document Control and incorporated into the drawing release. Design Review Form(s) (d) shall be submitted by Project Leads/Managers, Project Owning Division or organizational component Page 5 of 10

8 Engineers, or the Engineering Manager with "approved" drawings for inclusion into the Project Files. Note: If Document Control personnel are not available and drawings/documents must be released due to priority or schedule, then forward approved drawings and/or documents to entities as required. A DRF should be submitted to DC the next business day for processing. B. Documents submitted for review and/or approval: All documents transmitted/submitted to an outside entity (i.e. NSF, NAVPAC, Subcontractors, Suppliers, and Universities) for review and/or approval shall be submitted using a transmittal. 2. Stamping Documents for Distribution: A. All documents and/or drawings for distribution will be stamped as follows: Copy - Stamped on any reproduced drawings or project file material for internal or external use. Reference Only - Stamped on any reproduced drawings that are not approved for construction. (Used in coordination with Copy Stamp.) For Review Only - Stamped on any reproduced drawings or project material being reviewed. (Used in coordination with Copy Stamp.) As-Built - Stamped on any drawing set where changes have been made after or during construction to an original approved drawing set. Drawing set must have all review signatures. Approved For Construction - Stamped on the final approved design revision. Drawing set must have all approval signatures. Bid Set - Stamped on any drawing set specifically being sent out for bid. Superseded - Stamped on drawing sets that have been revised and are no longer the most current version. File Set - Is stamped on any original drawing set that will be filed in the flat file as the Document Control master. Approved /Approved As Noted / Correct and Resubmit - Stamped on drawing sets and/or submittals generated by outside suppliers and/or subcontractors requiring review and approval. Received / Date Stamp - Stamped on all submittals and/or drawings received by Document Control. Owning Division or organizational component Page 6 of 10

9 3. Shop Drawings and Submittals Received From Suppliers: A. Shop drawings and submittals received by DC from suppliers shall be date stamped, logged per Drawing and Submittals Log (b), and distributed to the appropriate project and/or engineering personnel. 1) Upon receipt from DC, projects using an Expedition Submittal Register shall log submittals within the appropriate Submittal Package. This may be performed by the project Submittal Coordinator or designee. 2) Reviewed shop drawings and/or submittals are returned to the supplier for acceptance, re-submittal or fabrication (dependent upon stamped review status; Approved, Approved As Noted, Correct and Resubmit.) Note: Before any drawings and/or submittals are returned, or forwarded, to the Supplier, a copy must be made and retained for FEMC project files. A transmittal must accompany the returned drawings and/or submittals. B. DC files shop drawings and/or submittals per the following: 1) Shop Drawings are filed in the flat files (or project files if small). 2) Submittal materials (product data, installation instructions, certifications, warranties, etc.) are filed within Document Control per the Project File Index (Refer to Engineering Project File Index (a). Reprographics 1. Reprographic requests are accepted verbally or by instructions. DC will determine whether to use outside reprographic services or the office reprographic equipment, based upon job size and time constraints. A. To use outside reprographic services, DC personnel will: 1) Complete a Reprographics Order Form (available in Document Control), and include reprographic requirements, date, time needed, PO number, ordered by/extension number and check appropriate instruction boxes. 2) Call the reprographics service representative and request a reproduction pickup. (Refer to Reprographics Order Form for contact phone number.) 3) Take reprographics job order to Shipping/Receiving (S/R) department, where it will be picked up by reprographics service delivery. S/R will notify DC when order is delivered by reprographics service delivery. Note: Job order will be returned with a Reprographics invoice. The invoices are to be signed as received, usually by the DC. Original invoices are kept in a file until Procurement requests the invoices for remission and payment. 4) DC retains a copy of all invoices, which are kept in a binder and filed by month for year-end cost tracking. Owning Division or organizational component Page 7 of 10

10 Mailing DC is responsible for mailing drawings and other project related material. Mailings go out to vendors, Antarctic Stations, NSF, NAVPAC, scientists, design teams, etc.). DC prepares packages (filling out a shipping form either domestic or international) and delivers them to shipping and receiving. (See Logistics form Federal Express Domestic Airbill Information Form (LO-D-060).) Note: An accompanying transmittal will usually be required for the document/drawings being mailed. (Refer to Logging / Tracking.) FEMC Records Storage Protection and Retrieval 1. Active Records are stored in metal filing cabinets and flat-filing cabinets within the Document Control Room at the Denver Headquarters Building. A. Project files - Organized by Station, project numbers and/or project titles. Project filing is organized in accordance with Engineering Project Index. (Refer to Engineering Project File Index (a). Hardcopies of the Engineering Project Index are located in the Document Control Room for reference. B. Drawings - Indexes to drawings are kept in logbooks (Drawing Index) organized by drawer number. Logbooks are kept on top of the flat-files within the Document Control Room. Note: Indexing may be in-progress for archive drawings. C. Submittals Submittals are maintained in the project files. An index (Submittal Register) to South Pole Station Modernization Project (SPSM) is kept on top of the SPSM submittal filing cabinets. McMurdo and Palmer Station vendor submittals are filed within the appropriate project files. D. Reports / Studies / Manuals Reports, studies and manuals are located on the shelving located above the project filing cabinets. Owning Division or organizational component Page 8 of 10

11 2. Inactive Records are stored in boxes located at an offsite commercial storage facility. A. Inactive records are indexed and maintained in accordance with FEMC Records Management (EN-D-226) and Records Storage Index Form (EN-D-226b). This index is an accumulation of all FEMCs records selected for facility storage. This index is maintained as EN-D-226b and adapted from LO-D-766. Directions for this process are outlined in PA-A-001 1) If retrieval of inactive project records is necessary, Document Control will retrieve the requested files or drawings from storage. A master index is kept on a bookshelf in the Document Control Room for reference to records maintain in the off-site storage. Retention Retention of records is outlined in procedures Records Management (PA-D-001) under the subheadings Record Retention Scheduling Guide and Government Contracts Records Retention (Subpart 4.7 of the Federal Acquisition Regulations (FAR)) and FEMC Records Management (EN-D-226) procedure. Disposition Records are being stored indefinitely in designated storage areas. Owning Division or organizational component Page 9 of 10

12 References CADD Manual (EN-DMPS-101) Document Release Form (EN-DMPS-201a) Engineering Project File Index (a) Drawing and Submittals Log (b) Design Review Form (d) Engineering Documents in Expedition EN-DMPS-223.) FEMC Records Management (EN-D-226) FEMC Records Management Table (EN-D-226a) Federal Express Domestic Airbill Information Form (LO-D-060) Records Management (PA-D-001) National Archives and Records Administration (NARA) Subpart 4.7 of the Federal Acquisitions Regulations (FAR) Records management is described in PA-A-001. Records The following information is required for all records: Record Identification, Format, & Owner Active Location Storage, Protection, & Retrieval Facility Storage, Protection & Retrieval Retention Time (Active and/or Facilities Storage Ultimate Disposition Record ID - (Give the identification number, name, etc) Owner - Person responsible for managing the record by division, department and Position title Format - (Hard copy or electronic, if the latter, give the drive location or type media) Storage - Give storage method and location (in file, on shelf, in drawer, locationonsite/offsite) including method of indexing Retrieval - Who can get it, how, and when Retention Time - (Prior to final disposition, both on and off site if applicable Disposition - The ultimate fate of the record (shred, recycle paper, trash, demagnetize disc, etc.) Note: Some or all of this information may be contained in the Divisional record management procedure. Check the Master list. Owning Division or organizational component Page 10 of 10