DOCUMENT CONTROL TERMS & PROCESSES IN EPC PROJECTS - Definitions, Best Practices & Advisory Tips

DOCUMENT CONTROL
TERMS & PROCESSES

IN
EPC PROJECTS
…Definitions, Best Practices & Advisory Tips
Folarin Omojoye
Copyright © 2018 Folarin Omojoye.
All rights reserved.
No part of this work covered may be reproduced, transmitted, stored,
or used in any form or by any means, graphic, electronic, or mechanical,
including photocopying, recording, scanning, digitizing, taping, web
distribution, information networks, or information storage and retrieval
systems, without the prior written permission of the author.
Disclaimer
Please note that all definitions and illustrations expressed in this book
are the view of the author and do not represent the opinions of any entity
whatsoever.
Methods favored as best practices in the past may quickly become
obsolete as knowledge increases, hence, practitioners and researchers must
always rely on their own experience in analyzing and applying any
information provided in this book.
The author, publisher and anyone associated with writing this book
shall not have any liability whatsoever for any losses, including losses for
any omission, error, misinterpretation, or subsequent impact howsoever
caused.
CONTENTS
Acknowledgement
Preface
Index
ACKNOWLEDGEMENT
The journey into writing this book was initiated by me but it would not
have been a success without the support of family and colleagues.
Let me start by acknowledging God the Almighty, the embodiment of
all knowledge.
I’m grateful to all the talented and great minds from whom I directly
or indirectly learned about Document Control: Irfan Paloji, Lawrence
Chinonso, Umunnakwe Okechukwu, Betty Isiaye, and Famous Nwobie.
My special thanks to Tina Ikhile, Kanoba Rhamatu, Samuel Okorie,
Mohammed Abubakar for carefully reviewing, proofreading and offering
useful suggestions and advice.
My father, Late Mr. Harrison O. Omojoye deserve a particular note of
thanks: you gave me a textbook that engrained in me the passion for
Information Management and Programming. Here I am today climbing the
IM ladder. Mum, thanks for your wise counsel and kind words, they have
always served me well.
Last, but not least, my appreciation (along with my heart) goes to my
beautiful wife Mmayen, and sons, Joel and Joshua without whom the
motivation to complete this book would be lacking. Two thumbs up for
you for not only peacefully coexisting with my project, but also for
supporting them.
PREFACE
Document Control Terms & Processes in EPC Projects defines and

explains common processes and terms in document control profession. It
occasionally includes best practice and / or advisory notes. The overall
aim is to provide formal knowledge and lend credence to document
control as a profession.
The book was written based on practical experience and a quest for
personal development as document control literatures are quite scare to
find or too few available, as much as I know.
Document Control Terms & Processes in EPC Projects is a good read
for both beginner and experience Document Controllers, and in fact
anyone interested in Document Control activities. In the course of writing
this book, it became clear that most professionals may understand the
concept of a process/term in their field but often lack the right words to
define or explain it formally.
Although some of the terms defined herein applies more to the
Engineering, Procurement and Construction projects, they are equally
useful to document control in any organization that rely on revision-based
documentation.
I hope you enjoy your reading.
Action Item
Action Items are discrete to-do tasks an individual or group of persons
has to perform, usually before a target date or time. Deliberations from
stakeholder meetings and day-to-day job responsibilities often result in the
creation of action items that may require a timely closeout.
Common action Items in Document Control includes,
Review or Submission of Document Deliverable Registers on or before
a specified cut-off date
Distribution of Documents of internal and/or external origin
Issuance of Documents received from Engineers, Managers and other
process owners.
Responding to request for document retrieval
Document Registers and Folders update
Generating Document Status report, sending reminders and follow-up
with document owners for closeout action.
Advisory/Best Practice Tips

People sometimes over estimate their ability to remember things.
However, it is a good practice in work environment to maintain a note
or log to follow-up and closeout outstanding Action Items.
Advanced Copy
In EPC project environment, an Advanced Copy (also called Advance
Copy) of a document refers to a copy of that document sent or received for
review purpose or to fast track information sharing prior to its formal or
official release.
It is important to note that the formal/official version released may be
different from the Advanced Copy version due to additional inputs.
AEC and EPC firm
AEC is an acronym for Architectural, Engineering and Construction. It
is an all-encompassing term used to denote the segment of industry that
comprise firms involved in aesthetic design and construction of structures
such as buildings, stadiums etc.
EPC stands for Engineering Procurement and Construction. It is the
segment of industry that comprise firms involved in engineering,
procurement and construction of facilities such as refineries, power plants,
mineral processing & mining, etc.
AEC & EPC industry have their area of expertise, similarities &
differences, however, the end point for both is– construction.
Archive
An archive is an accumulation of historical records or the repository
(place) where records are physically or electronically stored.
Document archives consist of records and documents that have been
selected for permanent or long-term preservation based on their enduring
legal, cultural, historical, or evidentiary value. To archive a document
means to keep the document in a designated repository.
There should be an archival division or personnel in charge of
archive governance.
As-Built Drawings
As-Built drawings are the final set of drawings showing the exact
dimensions, geometry, and location of a structure, piece of equipment or
facility as it is on ground.
The drawings may differ from the initial approved engineering design
drawing due to construction constraints or other factors resulting to field
changes. It is important to note that the As-Built documents handed over
to the customer by the work contractor will often be referenced by
technical professionals for production, operations and maintenance
purposes. Managing As-Built documentation is therefore an important
aspect where document control role coincides with safety.

Engineers and document controllers should have a proper record
tracking of Field Design Changes and Red Mark-Up drawings, which
are the input document for the creation of As-Built documents.
Where applicable, the Contract document should have a section
where the customer’s requirements for submission of As-Built
documentation is clearly specified.
Backward compatible
This is the ability of a software program to create files that can be read
by older versions of the software.
This functionality is important when you want to share your
documents (for example MS Word file) with people who are using older
versions and do not have the Microsoft Office Compatibility Pack
installed.
See below example of how to make a new document created in MS
Word 2013 backward compatible with MS Word 97-2003.
Click File, and then click New.
Open a new document by clicking Blank document.
Click File, click Save As, and then choose a location to save your
file.
In the Save As dialog box, type a name for the document in the
File name box.
In the Save as type list, click Word 97-2003 Document. This
changes the file format from .docx to .doc.
Click Save.
Note that when converting a file format from a newer to an older
version certain apps, videos or formats may perform differently from the
former or completely disappear.
Baseline Document
A baseline document is any document that is used as a reference or
basis against which performance or deviation of project components such
as schedule, cost, quality, scope of work, etc. are measured as the project
progresses.
Examples of Baseline documents are Budget Estimate, Scope of Work,
FEED Specification, etc. The baseline document could be the original or a
specific modified version.
Basic Engineering Documents
Whenever an EPC project is initiated, the responsible engineers
usually create a set of documents based on conceptual and fundamental
assumptions upon which further design work would be crafted. All such
documents are referred to as Basic Engineering Documents. Examples
includes P&ID, Single line drawings, Design Basis Report, etc.
Bridging Document
A bridging document is a document created to harmonize and align the
activities of two or more agents participating in a common operation in
order to bridge the separate procedures of the participating agencies to
ensure that all aspects required for safe operations have been adequately
evaluated and addressed.
For example, a subcontractor's HSE Procedure could be bridged with
the main contractor's HSE Procedure to produce a single document called
the HSE Bridging Document. The main objective of such HSE bridging
document is to foster common understanding thereby ensuring that the
functional and operational processes of the entities working on the same
activity or environment do not conflict with one another consequently
increasing the risk level.
Brownfield & Greenfield Project
A brownfield project is one where there are existing facilities at the
worksite. Examples include a project for the expansion, remodeling or
refurbishment of an existing exploration platform. All documents related
to the existing facility are called Brownfield documents.
A Greenfield project is one in which there are no pre-existing facilities
at the location where the project work is to be executed. All documents
related to the new facility are called Greenfield documents.
Check-In/ Check-out/Lock
Checkout is a term used in document control to describe the action or
instance of taking out a file from a repository especially for modification
purposes. Check-in is just the opposite - putting it back into the repository.
The concept of Check-In/Check-Out is common in Electronic Document
Management Systems, EDMS, but it also applies to manual filing.
Unlike manual filing system, in most EDMS, it is possible for multiple
authorised users to checkout and modify the same document from
different location at the same time.
However, if a user needs to prevent others from making modifications
and putting the same back into the repository, he has to perform an
additional action called Lock - which tells the repository not to accept
changes from others.
Note that some systems automatically perform lock action as soon as a
document is checked out.
Checklist
Checklist is an important tool used to carry out quality check on
documents in order to maintain a minimum acceptable level of
documentation quality.
Examples of checks required on document includes:

Validation of document number;
Validation of status code and revision series followed;
Validation of document templates and structure (including
company logos and their placement, title blocks, borders, formatting
etc);
Validation of other control objects (dates, stamps, page
numbering, signatures);
Validation of information mentioned in document transmittal
form;
Validation of file name against the title inside the document.

It is a good practice to share checklist with contractors and
vendors so that the same level of checks for document quality could
be performed among interfacing document controllers prior to
issuing documents.
CSV
CSV is an acronym for Comma Separated Values or also Character
Separated Values. It is a file format with a .csv extension that is used for
importing and exporting data and/or documents into and from database
systems. As in an Excel spreadsheet, CSV stores data in tabular
arrangement with each row representing a record.
To save a spreadsheet file as csv, open the file from the spreadsheet
program.
Click File > Save As.
Choose CSV (Comma delimited) from the dialogue box that
appears.
Click Save.
You may receive a system prompt that your file "may contain features
that are not compatible with CSV." – The reason is because CSV file
format doses not retain any formatting.
Comment Sheet and Comment Response Sheet
These are feedback mechanism or tools used in document control to
record document review / approval and to facilitate documented
communication between a document originator and the document
reviewer.
During the Engineering Design phase of a project, normally a work

contractor submits documents and drawings to the client (owner) for
review and/or approval.
The client then reverts with review comment (if any), and sometimes
with a predefined code denoting his/her decision about the next line of
action in the document’s life cycle.
The comments may query the inadequacy of the document technical
content or quality of the document’s structure/format. The document
containing such comment is called a Comment Sheet.
Comments received by the contractor from the client would either be
disputed or incorporated into the document/drawing and re-submitted in
subsequent revision. In either case, the document originator will revert
confirming that the comments received have been implemented or state
reason(s) why it should not be implemented.
A Comment Response Sheet ((also called Comment Answer Sheet or
Comment Resolution Sheet) is used by the document originator (e.g.
contractor) to facilitate the exchange of response to the client’s comments.

Comment Sheet / Response Comment Sheet should be archived or
recorded in a manner that will enable easy audit trail or reference.
Commissioning
Commissioning refers to the process of assuring that the project
components, systems and sub-systems work as per the approved design
specifications. The process involves thorough testing to be conducted on
each component to demonstrate that the system is in good working
condition.
Any deficiency or failure detected will have to be corrected in a time
bound manner for the commissioning to be completed. Such deficiencies
are referred to as Punch List Items.
Communication Protocol
A project communication protocol is a standardised guideline that set
the rules for official communication (information flow) between the
agencies responsible for administering a project. The guideline specifies
acceptable information standards, requirements for communication, who
can talk to who and for what issues.
Since EPC contract usually comprises several organisations working
together with a number of workforce collaborating to achieve set
objectives, a clear communication protocol between the entities is
therefore critical to the success of project. In fact, survey has proven that
lack of proper communication management is among the top three (3)
factors responsible for project execution failure.
Document Control Communication Protocol includes but not limited

to:
Agreed medium and tool for official document exchange
A strict mailing list to follow for official document distribution
Acceptable file size limit for attachments to email
Approved Document Templates to be used
Key Discipline interface and their contacts for inter-discipline
interaction
Contractor
A Contractor is a person or organisation, which carries out all or part
of the management, design, engineering, procurement, construction or
commissioning of a project, or the operation and maintenance of a facility
under contractual terms and agreements.
Controlled and Uncontrolled Document
A controlled document can be described as one that is subject to
quality management actions such as numbering, review / approval process,
distribution, change identification, version control, etc. The business
history of such documents are easy to track because whenever its
information is updated old versions are retrieved and replaced accordingly.
By default, all documents listed in the MDR are controlled documents.
Attributes of a controlled document include having a document
number, revision number, signatures indicating authorized review and
approval, and controlled distribution.
Uncontrolled documents are those documents that are not subject to
quality control even when modifications are made. Examples of
uncontrolled documents include site photos, drafts, personnel resume, etc.
Correspondence
Correspondences are widely used method of communication in a
project. They are any form of written communication in hardcopy or
electronic format. Examples are letters, faxes, e-mails, transmittal notes,
memos, minutes of meetings, Technical Queries, etc.
Correspondences can be used for notification, seeking or giving
clarifications and communicating decisions, etc. As a written medium of
communication, correspondence can serve as evidence that can be used in
arbitration or legal proceedings. Maintaining an updated log for incoming
and outgoing correspondence such as letters, transmittals, minutes of
meetings is a good practice.
Cut-Off Date
Cut-off date is a term used in project environment to specify a date
limit or last date for an activity. For example, a monthly progress report
with cut-off date 31 August 2018 implies the report does not include
progress information achieved beyond that date.
Data
Data refer to raw facts, items, activities, or transactions that are
recorded, classified, and stored but are not organised to convey any
specific meaning. Project data are usually captured in formats suitable for
loading into a database. Data items can be numbers, letters, figures,
sounds, and images.
Decision Code
For each deliverable document a submitted by work contractor to a
client for example, either for review, approval or information, the client
may revert with a comment and/or a code denoting his/her decision about
the next line of action in the documents' milestone. Such codes are
referred to as Decision Code (also Comment Code or Review Code).
See below examples of Comment code and their description:
Note that Decision Codes are not universal. Each organization or

project has its specifics.
Deliverable Documents
In document control, deliverable documents are all the documented

information (document, data, records) contractually agreed to be produced
and delivered by a work contractor to the customer (client) as a result of a
project undertaken.
Detailed Engineering Design
This is the Project engineering phase where assumptions from Basic Engineering Design and
Front End Engineering Design are broken down into component details. It is the phase upon
which preparation of tender documents used for subcontracting or the purchase of equipment and
construction activities drafted.
In this phase, items and bulk materials are defined including the information necessary for
their procurement in order to ensure adequacy of the supplies; technical documents necessary for
construction and assembly (installation specifications, assembly drawings etc.) are drawn up.
Deviation Request Form
This is a form used by a work contractor to formalise the process of
asking the customer (client) to approve a deviation from an original
technical specification or design requirement during a project-engineering
phase.
Maintain and insist on the use of the appropriate Deviation
Request template
Assign identification numbers and revision numbers and maintain
an updated register for tracking Deviation Request status.
Deviation forms should be duly signed by the Originator and
appropriate manager prior to issuance.
Include a section in the form for the principal’s (customers)
Name, Comments, date and signature.
Digital signature
A Digital signature is any electronic symbol, sound or process attached
to or logically associated with a record and executed or adopted by a
person with the intent to sign a document.
Appending digital signature on document is one of the areas where
technology has made a significant difference and improvement to
Document Controllers’ daily task. With digital signature implemented,
Document Controllers no longer have to print out documents, walk around
to get wet signatures on the printed hardcopy and finally scan the signed
copy.
Disposal and Retention Schedule
These concepts are commonly used in record management than
document control. Project documents are not to be disposed carelessly.
Organizations usually follow a record Retention and Disposal schedule for
proper approach in retaining, protecting, and disposing records.
The Schedule aid the record controller to understand their obligation in
retaining hard copy and/or soft copy of records, which includes but not
limited to e-mails, text files, sound/movie files, PDF documents and any
other document format.
Retention period (either permanent or certain number of years) for
quality records is determined by contractual requirements, warranty
periods, product life cycles, value of the record, legal and statutory
considerations, etc. Common methods of record and document disposal
are shredding or transfer to a permanent archive.
Develop a realistic Retention Plan/Schedule.
Departmental heads should check and review the schedule
periodically.
Contract documents should clearly state retention period for
project documentation.
Upon expiration of the retention period, documented information
(electronic and hardcopy), should be dispose in an appropriate
manner, e.g. by shredding.
For convenience, records may be retained in certain instance
longer than the minimum retention period.
A Document Retention & Disposal Procedure should be written to
govern what should be retained, where retained documents will be
stored, for how long, how should they be transferred and to whom?
Document Requisition Process
Once the preliminary list of project documents have been approved
and entered into the Document Deliverable Register, addition of new
documents, cancellation or change of existing document title will follow
one of the above controlled document processes.
In a typical requisition for document cancellation, addition or title
change. the requester fills the appropriate document requisition form and
returns a duly signed copy to the Document Control Centre for archive or
to officially notify concerned personnel as per the project distribution
matrix/list.
Maintain a documented evidence or log of duly authorized document
addition / change requests.
Document and Record
In EPC project environment the terms document and record are
generally applied to revision-controlled documentation such as Standard
Operating Procedures, Reports, Design Drawings, Work method Statement
etc.
ISO 9000:2015 clause 3.8.5 defines a document as “Information and
the medium on which it is contained”, while clause 3.8.10 defines a record
as "document stating results achieved or providing evidence of activities
performed"
All industries rely on records and documents to function and operate
because;
they provide evidence of activities planned and activities

performed,
they are acceptable legal tender in the event of
disputes/litigation,
they represent the organisation’s corporate memory
(knowledge base) irrespective of whether those who created the
documents are still with the organisation or not and
they serve as a means of communicating uniform information
organization-wide.
Below table are a few differences between a document and a record.
The difference between document and record may sometimes be subtle

as almost all documents that began, as a proper document eventually
becomes a record.
Document Control
Document Control is the set of structured procedures and controls put
in place by an organisation to manage and regulate documents generated
in support of the design, construction or operation of an asset.
Document control could also be defined as the organization and
management of documents from creation through their life-cycle to final
disposal or archival.
It is essentially about proper control of the processes involved in
document creation, identification, storage, protection, review/approval,
alteration, distribution, retrieval, retention, disposal and is pretty much
everything about document management.
Document Control Center, DCC
Document Control Center is the office or basement of Document
Controllers in an organization.
Document Control Procedure
Document Control Procedure is a standard operating procedure that
sets out the requirements for the control of documents in a project or
organization.
It is one of the six mandatory procedures required by the ISO
9001:2008 Clause 4.3.2 Control of Document. It requires an organisation
to establish a documented procedure to define the controls needed for the
identification, storage, protection, retrieval, retention and disposition of
records.
Establishing a Document Control Procedure is therefore a fulfilment of
the requirements of the standard.
Document Controller, DC
A Document Controller is a person responsible to take the lead
coordinating process of implementing document control and management
activities in a project, department or an organisation . Document control
job titles include but not limited to;
Document Controller
Senior Document Controller
Document Control Coordinator
Document Control Specialist
Document Control Manager
Lead Document Controller
Head of Document Control; Information Manager
Information Management Coordinator
It is also common to hear document controllers in EPC projects being

titled with respect to their work location or types of documents they
handle. For example,
Site Document Controller (a DC working from a project site

location)
Corporate Document Controller (a DC working from any
branch of the company home office and primarily manages
corporate documentation )
Engineering/Vendor Document Controller (a DC handling
Engineering or Vendor documentation)

As the custodian of the organisation’s or project’s rules on
documentation, the document controller should endeavor to read,
understand and be conversant with the guiding document control
procedures, instructions and requirements.
Document Deliverable Register (DDR)
Document Deliverable Register, DDR, is a core and indispensable
document control tool. It is a register that contains the list of project
document deliverables agreed between client and contractor to be created,
updated and submitted for approval or information in the course of
executing the project.
Usually at the start of a project, the document controller distributes a
pre-formatted spreadsheet to all process owners responsible for generating
the project document deliverables. Each discipline populates the
appropriate fields in the spreadsheet with the titles of the documents they
are to generate and return same to the document controller.
The document controller then consolidates all the information received
in one file and also provide unique document identification numbers for
each document listed.
Approval of the final list by the client is very important in order to
align the required documents with the scope of work.
MDR is a more comprehensive register comprising the list of all
deliverable and non-deliverable documents generated for the project.
A typical DDR/MDR will comprise some or all of the following fields;
Document Identification Number (this may include the Project, Issuing
Organization, document type, and discipline codes), Revision Code, Status
Code, Document percentage progress, Transmittal number, date of
issuance, action party, response due date etc.
The Document Deliverable Register is a live document and should
be given an up-to-the-minute update approach. Document controllers
frequently receive request to generate document status reports from
the DDR. For this reason, the register should be structured to enable
ease of generating document status reports.
Document Distribution Matrix
A document distribution matrix is an organized matrix that provides a
visual guide for identifying the parties to whom different categories of
internal and external documents are to be sent to. The DDM contains
routing instructions as well as required action of the recipients.
For example, a Work Method Statement for Electrical Panel
Installation received from a Contractor may be distributed to the
Construction Manager for review/approval, to the Site Manager and
Engineers for information, while the corresponding Job Hazard Analysis
may need to be routed to the Construction Manager and Safety department
for approval.
Distribution of document is a sensitive and important communication
skill/activity in document control process. The professional Document
Controller must go beyond the routine of distributing documents like a
post order service to understanding the roles of process owners and
identifying relevant persons/parties when distributing documents.
A document wrongly circulated could lead to confusion, delayed
action, or even raise a lot of commotion based on the document’s
sensitivity hence the need for a Distribution Matrix. As a project
progresses and the confidence of the document controller increases, it
becomes quite common to see document controllers deciding on
distribution list themselves.
A typical DDM includes a list of document types, process owners’
positions and required action of the recipients.
Document Identification Number
A document number is a set of unique codes or strings of characters
assigned to a document for proper identification. The document
numbering syntax to be used for a project is one key aspect of
documentation to align at the start of a project.
Good document numbering is essential to effective documentation
as a result all documents should be assigned a unique document
identification number.
Except project personnel understands and are conversant with the
project specific document numbering, assigning document numbers
should be exclusively reserved for the Document Control Center.
Document Retrieval
Document retrieval is the process involved in accessing and getting the
right document from its repository when it is required.
A proper filing system underpins easy document retrieval. This is why
setting up a filing structure is one of the foremost and important activity
of a document controller at the beginning of a project. A Document
Controller will constantly receive document retrieval request as this is one
of the obvious benefits of setting up document control center.
The steps involved in manual document retrieval process includes
matching a user query against record in a register (usually a spreadsheet
application) to first confirm the document’s current revision, opening the
appropriate repository to locate the particular document and providing
same to the requester.
With most electronic document management system, EDMS,
authorised users can access and retrieve documents remotely through
powerful search functionalities without compromise to the document
security.
Documented Information
ISO 9000:2015 clause 3.8.2 defines Documented Information, as
“information required to be controlled and maintained by an organisation
and the medium on which it is contained”. The term was formulated to
cover all the documents and records that make up a Quality Management
System. Examples of documented information are procedures, work
instructions, records etc.
Draft
A Draft is a document in working stage suitable for internal use only.
Draft versions should be clearly marked as “draft”
EDMS (Electronic Document Management System)
EDMS is the generic term for any software application used to store
and manage electronic records, data and documents.
The functionality of EDMS varies from being a simple and free
document storage system to a complex and expensive software application
capable of automating a number of document control processes. Examples
of popular EDMS are Aconex, Alfresco, SharePoint, Assai, Laserfiche,
OneDrive, WeTransfer and DropBox.
Due to the high cost of implementing EDMS, most organisations
usually have an Excel spreadsheet application to manually keep track of
document life-cycle, and a secured shared drive to store documents. In
most cases, an EDMS does both.
Note that the availability of an EDMS does not eliminate the need for a
Shared Drive or a Spreadsheet application and vice-versa.
Top management in Organizations often make the mistake of
purchasing off-the-shelf document management system or liaising
with ICT for system requirement without actively involving document
controllers or those directly involved in the day-to-day management
of the organisations’ documents. This is not a good practice as the
result will be abandonment of the system because the everyday user
will try to force the system to accept the organizations custom
document management/control processes that were not addressed
during the system requirement gathering or design.
Email
Email is an effective business communication tool for exchanging
asynchronous mails. A typical workday of a document controller is spent
reading and responding to internal and external emails on documentation
issues.
Below are a list of best practices and useful guide when using email
applications:
Read and understand the company email Etiquettes usually

addressed in a Brand Manual
Think whether a telephone call or physical contact will be safer
or more efficient rather than sending an email.
The subject of an email should clearly state the project code
(where applicable) and be self-explicatory. This helps with filing
and tracing emails. Blank subject should be completely avoided.
Avoid creating "marathon" emails with the same subject on a
number of different topics. Write a new message when a different
topic is being addressed.
Except otherwise necessary, an e-mail should be addressed to a
single recipient, while only personnel concerned should be in
copy (cc). Copying unnecessary persons in emails could even
reduce your worth! Think about that.
When writing emails to colleagues, it is best not to include
clients, suppliers or external parties in cc. Completely avoid
including clients, suppliers or external parties in cc for e-mails
addressed to colleagues requesting action of any kind.
Do not leave recipient guessing what to do. State your reason for
sending an email (e.g. for review, information, approval, etc.).
For large attachments use servers or document exchange tools if
available.
Use company approved E-mail disclaimer
It is very important that proper personal identification is present

in any mail correspondence. An electronic signature is an
appropriate tool for that purposes. Sample E-mail signature:
Person's name
Designation
Office address
Phone Numbers
Website Address
Company Logo
External Document
These are documents received from an external organization or
individual. For example, Client Specifications.
Extranet
Extranet is a type of internet site to which organizations allow selected
external access.
Field Design Change Form
Whenever an Engineering document attains the Approved for
Construction (AFC) status, detailed design stage is said to be closed. That
is, AFC status is a cut off milestone that marks the end of the Detailed
Design phase. However, design changes could be requested from the site
during construction due to site constraints or conflicting conditions. Such
changes are formalised by a Field Change Request Form which is used to
propose a change in the already approved engineering design. The changes
made are referred to as Field Design Change.
Maintain and insist on the use of the appropriate FDC form
template
Assign control numbers to each FDC and maintain an updated log
for identification and tracking of FDC status.
FDC form should be duly signed by the Originator and
appropriate manager.
File name
The name of a file irrespective of the file location.
File path
The location of a file as it is stored in a series of directories.
File transfer protocol (FTP)
FTP is a type of universal resource locator (computer address) that is
commonly used to store and exchange large files.
Final Document Handover
This is the final transfer of project information asset (document and
data) from a work contractor to the project owner (Client) in accordance
with the contract or as otherwise specified by the Client. Handover process
is a rigorous but important experience for document controllers.
Due to future uncertainty, project document handover related questions
are often difficult to answer specifically and quantitatively at the start of a
project. For example, “In what format should the information be
submitted?” “Number of copies to be submitted?” “How should it be
packaged?” “What is the sequence of submission and the point (Place) of
delivery?” These questions are often left sketchy until towards the
handover phase.
It is common to see client and contractor in a rush to complete
handover process due to the fact that on one hand the client is eager to
receive the long awaited plant/equipment while on the other side, work
contractor is in haste to claim handover milestone payment.
Where the handover requirements are not expressly specified in
the contract, a dedicated meeting between client and contractor
handover team should be convened to discuss the gray areas of the
project document handover requirements.
Deliberations from the meeting should be noted in the minute of
meeting, reviewed by the attendees for rectification, signed and
distributed accordingly.
Work Contractor should develop and submit a handover
management plan containing the handover deliverable index.
A final handover transmittal note should be prepared to
accompany the handover dossier/package. The transmittal note
should also be duly signed (acknowledged) by the receiver.
Form
Forms are printed or electronic document with blank spaces for
insertion of required or requested information Examples of forms used in
EPC projects are Transmittal form, HSE Induction form, Unsafe Act and
Unsafe Condition, UAUC, form etc).
Freeze
This term is used in project control planning to denote the action of
setting a work plan, register or schedule fixed. For example, at a point in a
project life cycle, the document deliverable register will be frozen so that
additional deliverables would not affect the engineering progress already
attained. Simply put, a freeze in the register will restrict the impact of
additional deliverables to already attained documentation progress.
Front End Engineering Design (FEED)
FEED is a phase of project engineering development where the
functional characteristics of all the system components are reviewed.
Technical decisions taken in this phase have important impact on costs and
timescales. This phase also offers the greatest opportunities for optimising
the solutions and approach to be adopted.
Handover Dossier Package
Handover Dossier Package is a compilation of document deliverables
produced or obtain in the course of executing a project work.
Work contractor should first submit a detailed Handover Index to
the client for formal review and approval before proceeding to
compile the Handover Package.
Hypertext transfer protocol (HTTP)
HTTP is a protocol commonly used to access resources on the Internet.
IDC (Squad Check)
The internal review of certain documents in EPC projects are
conducted across multiple discipline or organisations. Prior to releasing
such documents officially, the document will be checked by participating
entities for suitability and adequacy. Such squad-check is done through a
process referred to as Inter-disciplinary check. For example, an Equipment
Process Data Sheet would require IDC (Inter-Discipline Check) from the
Mechanical, Electrical, Quality, Piping and HSE departments.
IDC process is usually facilitated by the custodian engineer, who first
reviews the document then circulate it to ancillary reviewers. The
Engineer then collates and consolidate all inputs (comments) received
from the other reviewers into one final set and then reverts to the
document controller for onward transmission to client, contractor, vendor
etc.
Only relevant participants should be involved in an IDC process to
avoid unnecessary or irrelevant comments.
Maintain an IDC matrix that specifies documents requiring IDC
Information
Information refers to organized data that has meaning and value to the
recipient.
Internal Document
Internal Document is any document generated internally by an
organisation.
Internet
Internet is the vast network of computer systems that enables
worldwide connectivity among users and computers.
Intranet
Intranet is an internal or private network that cannot be accessed by
anyone outside an organization.
Request for Quotation, Request for Proposal and Invitation To
Tender
These are procurement document package used to solicit bids from
vendors or contractor to supply goods or provide services.
Although in practice the differences between these terms are often
subtle, but a clearer understanding of the differences will enable
procurement team prepare the right contract statement and consequently
facilitate receiving the correct response from bidders.
Request for Quotation, RFQ (also Request for Quote) is the simplest
method of bid solicitation used for low-priced valued products and
services.
The concept of RFQ is geared towards obtaining and using best price
offer criteria for selection of vendors/suppliers. In an RFQ, the product
and/or service to be procured are adequately specifies and therefore easily
measurable and quantifiable without ambiguity. In RFQ, suggestions from
bidders for alternative products or services are usually not considered.
Vendor responds to a RFQ with a quotation document having cost and
description/list of exact service to be rendered or product to be procured.
The purchaser is able to compare price amongst the various quotation
received from the bidding vendor/suppliers with ease due to the clear and
rigid specification of RFQ. Example of usage of RFQ is in contract to
supply standard off-the-shelf items.
Unlike RFQ, Request for Proposal, RFP, is a more complex
solicitation method than RFQ. It is used in situations where the solicitor is
seeking for solution for a concern or a better way to achieve a result.
The most important criteria for selection of vendor in RFP is the
vendor’s proposed technical approach. Since the solicitor knows the
overall scope of the job but usually does not know the details or have the
required resources to do the job, he (the solicitor) therefore sought for
competent vendors who understands the request, possess the required
technical capability and best approach/solution to the need. Notice that
price is not of primary concern here but solution.
Vendor responds to a RFP by submitting a proposal.
It is usual for bidding vendors to propose alternative solutions for the
job requested in a RFP. The solicitor will then decide and select the vendor
based on technical approach and then cost. Due to these alternatives, cost
is not easily comparable in a RFP. Example of usage of RFP is in EPC
contract.
Invitation to Tender, ITT (also Invitation to Bid, Request for Tender
Notice) is somewhere between RFQ and RFP. Selection of vendor is based
on cost and technical skill.
Vendor responds to an ITT with a tender document. The clarity of the
specification in an ITT makes price among various tenders easily
comparable. Since the purchasers' specifications/requirement are specific
and quantifiable, alternatives are not usually considered in an ITT.
ISO
The International Organizations for Standardization, ISO, is an
independent and non-governmental network of national standard bodies
poised with the responsibility of formulating globally acceptable standard
requirement for organizations.
ISO framework are developed to address global challenge of
consistently meeting customer requirement/satisfaction in the ever-
changing business environment.
The frameworks are grouped under a series as a family. For example,
ISO 14000 is the family of environmental management standards
formulated to provide guide and framework for organizations intending to
improve their Environmental management performance while ISO 9000 is
the family of ISO standards that deals with the Quality Management
Systems of an organization.
ISO standards are drafted by members in technical committees when
there is a request from industry or other stakeholders such as consumer
groups to meet a market concern.
The draft is subjected to a consensus voting to become an ISO
standard. Where agreement could not be reached, the draft may be further
modified and voted again.
Developing new standards usually takes about three (3) years interval.
ISO QUICK FACTS:
Founded on February 23, 1947.

Headquartered in Geneva, Switzerland.
ISO is not an abbreviation or acronym. It is a Greek word
meaning equal.
It is a non-governmental organization, but acts as a
consortium with strong links to governments.
Purpose: International Standardization
Individuals or companies cannot become ISO members.
ISO has three membership categories (Member body,
Correspondent members and Subscriber members)
There is only one member per country representing the
foremost body of standard in their countries.
There are, as of January 2018, 168 member countries.
There are, as of January 2018, 162 national membership.
ISO is not involved in certification, and do not issue
certificates. Certification is performed by external certification
bodies, thus a company or organization cannot be certified by
ISO.
According to ISO official website,
https://www.iso.org/certification.html, when labelling a
product or system as certified to an ISO standard, do not say
"ISO certified" or "ISO certification". Instead, say "ISO
9001:2015 certified" or "ISO 9001:2015 certification" (for
example)
Issue Code
Issue code (also submission code, Purpose of Issue or Issuing Reason)
is used to specify the reason why a particular document or set of
documents are being sent to a person, department or an agency. Issue code
may be for information, review, approval, action or use etc. See below
examples of Issue Codes used in EPC projects and their meaning.
KOM (Kickoff Meeting)
Kick-off meeting is a conference held by key stakeholders responsible
for administering a contract, after the contract is being awarded. Kick-off
meetings are very important tool or avenue for client and
contractor/consultant/vendor to discuss and have clear and mutual
understanding of the contract terms and conditions. Kick-off meeting
could be full-scale or a simple discussion depending on the contract's
complexity/criticality, or the principal's decision.
Where necessary, key personnel should have a preliminary in-
house consensus meeting prior to having a KOM with the other
party/parties.
KPI
KPI is the acronym for Key Performance Indicator. It is a great tool for
measuring the degree to which a system or process meets set objectives.
Defining KPIs have to follow a customized approach as every
project/organization has different objectives.
To set relevant KPIs for Document Control, specific questions such as
“What are the important objectives of Document Control in the
project/Company?” “What are the clients KPIs?” “What are the available
Parameters to measure the objectives identified?”
Examples of objectives about which KPIs could be formulated are;
Efficiency: to monitor or gauge the efficiency and

performance of a process
Quality: to measure the degree to which customer
expectations and quality requirements are meet
Safety: to measure fatalities and LTI (lost time injuries)
Time: to measure process time duration
Cost: to measure cost implications
Examples of Specific KPIs set for Document Control may include:
Average time between arrival of transmittal/document,

validation (or rejection) and distribution to stakeholders
Percentage of documents rejected due to poor quality
Percentage of recorded non-conformity on documentation
Average time to retrieve a document
Number of cases of missing documents
Number of Document Controllers that have vocational
training

There is no need to create KPIs that are not practicably
measureable.
Life Cycle
The life cycle of a document is the sequence of stages that a document
goes through from its creation to its eventual archival or final destruction.
Liquidated Damages
Liquidated Damages are claims or penalties levied on an organization
for late/delayed completion of a project.
Live Document
A Live document is one whose content changes frequently and is
consequently updated (evergreen) throughout its life cycle. A good
example is a project's transmittal register.
Management of Change Procedure
Management of Change Procedure is a procedure through which
implementation of required / proposed changes or decisions that may
negatively impact on machine, people, environment, quality, cost,
schedule or scope of work are adequately reviewed, authorized or rejected
in order eliminate or reduce risk. For example, changes made to project
baseline documents such as Front End Engineering Design Specification
and Engineering Philosophy documents would have to follow a Change
Management process for strict approval from top management.
Mark-ups (Annotations) and Redlining
Mark-up (or Annotations) are marks made on a document to catch the
reader’s attention, lay emphasis on the mark-up section or to easily
identify were corrections and changes have been made on a
document/drawing. Engineering markups are usually made with circles,
triangles, ovals, rectangles, clouds etc. drawn around the modified section.
Mark-up on documents are particularly important because it enables
the reviewer to easily identify where modifications from the previous
revision were made.
Another use of mark-ups is in redlining documents. In the earlier days,
when engineers used to work on paper based drawings. Normally, during
review, they will put their comments or make modifications on the
drawing by using colored pencils or pens. The said process of putting the
comments/modifications on the drawing is referred to Redlining as the pen
are usually red-colored.
All previous mark-ups (annotations) such as clouds, triangles etc.
representing where changes were made in previous revision should be
removed in preceding revision.
Memorandum
A memorandum (Also Inter-Office Memo) is a document used for
disseminating internal communication within an organization.
Meta-data
Metadata means elements or attributes of a document. For example the
metadata of a document may include attributes like, document type, size,
creation date, number, title, discipline, classification, revision and version,
etc. Stated in another way, metadata is information about a document.
Milestone
A milestone marks a significant stage or point reached in the life of a
project or activity. In documentation planning, milestones progress are
attained with respect to the current status of documents.
MOM
MOM (Minutes of Meetings) are the instant written record of a
meeting or hearing. They typically describe the events and deliberations of
the meeting, starting with a list of attendees, venue, time, statement of the
issues discussed, related responses or decisions for issues raised and a
column for specifying action person(s) for those issues requiring
action/close-out.
Assign unique identification numbers for each MOM.
A final copy of the MOM should be signed by the representative of
each party and distributed officially by Document Control Center to
all participants.
Maintain a tracking log for MOM.
Native Files
Native file is any file generated from a particular software or program
with a proprietary format that may not be recognized by other program.
For example, a Microsoft Word document is saved with the proprietary
.doc or .docx extension. The .doc or .docx file formats are native to the
Microsoft Word application and may or may not be recognized by other
programs.
When you use the "Save As" command to save a file from any
application package, you may be given the option to save the file in a
different format from the native proprietary format. For example, you
might be able to save a Word document as a plain text file with the .txt
extension or a portable document file with the .pdf extension. These
formats are not native to Microsoft Word although may be opened from
Microsoft Word application.
Offline Document Review
Offline Document Review is the process of scrutinizing a contractor or
supplier document unofficially before a formal submission for review is
established through document control process.
It is a familiar scenario in projects to see engineering counterparts
across different organizations sending document directly to one another,
for review sometimes with or without the responsible document
controllers in the loop. Although offline review is understandable and
acceptable, proper document control protocol should not be ignored.
Offline document review and approval is easy and quick but the
consequences of completely ignoring formal document control processes
for document submission after an offline review could eventually result in
delay, confusion, mix-up and other grave documentation bottlenecks.
Onboarding
Document controllers' on boarding is a short learning process through
which new Document Control employees or contractor Document
Controller gets acquainted to the documentation requirement and
procedures of the organization or a new job contract. It is key to smooth
collaboration between document controllers of organizations working and
interfacing directly with one another. Lack of on-boarding engagement
meeting often result to misaligned documentation between client and
contractor.
Example of discussion topics in a Document Control on-boarding
session includes but not limited to the following;
Introduction to Document Numbering System.

Generating Document Numbering.
Populating Document Deliverable Register/Supplier
Document Schedule
Understanding the revision cycle of document.
Introduction to Approved document templates.
Transmittal & Communication Protocol.
Distribution Matrix.
Approval authorization.
Overdue Document Report and Outstanding Document
Report
Overdue document Report is a report listing the documents with
review, approval or submission in delay against planned dates or
contractual time frame for required action.
Outstanding document report is a report listing the documents with
review, approval or submission pending but not necessarily in delayed
status as in overdue report.
It is the core responsibility of the document controller to generate
regular status reports, distribute it to the people concerned and follow-up
with the owners to take appropriate actions for their close out.
Status reports should be generated by the Document Controller
within a specified cut-off period. Where applicable, follow-up mail,
calls or contact should be made to ensure documents are closed out
properly and on time.
Owner/Client/Company/Principal
These terms are used interchangeably in EPC project to denote the
party, which initiates the project and ultimately pays for its design and
construction. The Company will generally specify the technical
requirements or hire an agent or consultant authorized to act on its behalf.
PDF
PDF means Portable Document Format. It is a file format used to
present and exchange documents reliably, independent of software,
hardware, or operating system. It was invented by Adobe, but is now an
open standard maintained by the International Organization for
Standardization (ISO).
PDFs can contain links and buttons, form fields, audio, video, and
business logic. They can also be signed electronically and are easily
viewed using free Acrobat Reader DC software.
In 1991, Adobe cofounder Dr. John Warnock launched the paper-to-
digital revolution with an idea he called The Camelot Project. The goal
was to enable anyone to capture documents from any application, send
electronic versions of these documents anywhere, and view and print them
on any machine. By 1992, Camelot had developed into PDF. Today, it is
the most trusted format used by businesses around the world.
Project
PMBOK describes a project as “a temporary endeavor undertaken to
create a unique product, service, or result”. It is a work effort made over a
finite period, with a start and a finish date, to create a unique product,
service, or result. Due to globalization the term International Project
(projects conducted across multiple countries and cultures) is now trendy.
Project Schedule
Project Schedule is a time and resource management document. It lists
the activities for entire project with time scales and required resources.
Two definitions are given below;
A Project Schedule is a plan for completion of a project with list of
planned activities to be done with allotted time frame.
A Schedule is the evaluation of activities starting and finishing plan
considering each activity's duration, predecessor activity, relationships,
required resource availability, and target completion date of the project.
Punch List
Punch List (also Deficiency list) is a list of outstanding item,
incomplete work or malfunctioning (deficient) equipment as at the time of
project completion. It could also be described as a list of identified
anomaly on completed fabrication or constructed equipment during
Factory Acceptance Test or commissioning activities.
Maintain a log to record punch list items status
Purchase Order
A Purchase Order, PO, (or Service Order) is a commercial document
with underlying contract terms issued by a buyer to a seller (vendor,
supplier) in order to authorize and legalize offer to procure products or
services. The content of a PO typically includes information such as
purchase order number, sellers company name, description and quantity of
the goods or services to be supplied, price, mailing address, vendor's bank
information, and contract terms and conditions.
Sometimes it is impossible to establish a firm price for certain goods
and services at the time of issuance of a PO. In such cases, the contracting
officer may award an Unpriced Purchase Order, UPO, to the vendor with a
monetary limitation subject to adjustment when a firm price is
established. Example of cases where a UPO could be used are
miscellaneous equipment repairs, replacement of spare parts and
maintenance contract, etc.
To avoid disagreement on documentation requirement, the
procurement team should include a document requirement
list/specification in the PO package for services that requires
documentation.
Quality
According to ISO 9000, Quality is “the degree to which a set of
inherent characteristics fulfils requirements”. That is, the level to which a
product or service satisfies specific requirements.
Quality Audit
PMBOK defines audit as “a structured and independent review to
determine whether project activities comply with the policies, procedures,
and specifications of the project and performing organization.”
It is a systematic evidence gathering process that can be applied to an
entire organization or a specific process area like document control.
A quality audit carried in document control will seek to inspect, verify
and ascertain that document control system is functioning efficiently and
close any documentation gaps found in line with applicable procedures,
standards or contractual requirements. Carrying out periodic audit
(Internal or external) is a very important process as it helps to identify and
closeout quality gaps for continuous improvement.
There are three types of audits: first party, second party, and third
party.
First-party audits are internal audits while second and third party
audits are external audits. Organizations use first party audits to audit
themselves. That is, to provide input for management review and for other
internal purposes. They're also used to declare that an organization meets
specified requirements (this is called a self-declaration).
Second party audits are audits performed between an organization and
its Contractors, Subcontractors etc. to ascertain their level of compliance
to established policies, procedures, specifications etc.
Third party audits are external audits performed by registrars
(certification bodies) or regulators to certify an organization to a
particular standard.
Quality management system (QMS)
A quality management system is the set of interrelated quality
elements (policies, processes and procedures) with which an organization
is able to meet customers' and other applicable requirements consistently.
These elements are required for planning, execution and control in
order to guarantee continuous improvement and operational efficiency in
the core business areas of an organization.
ISO 9001 is the most widely used global standard that specifies the
requirements of a Quality Management System. Organizations
implementing a QMS in line with ISO 9001 requirements demonstrates
their commitment to the concept of continuous improvement, ability to
match the ever-changing needs of their customers, a response to prevailing
market demands and global dynamics.
ISO 9001 - Quality management system training is a highly
recommended course for document controllers as documentation is the
heart of QMS. Moreover, auditors will audit document control center
primarily in line with ISO 9001:2015 QMS clause 75.3 Control of
Documented Information requirement.
Request for Information (or Technical Query)
Technical Query, is a document containing a request for technical
information/clarification during engineering design phase. It is used by a
work contractor to formalize the process of requesting for technical
information or clarification regarding exact meaning or interpretation of a
project specification, procedure or drawing from the customer with whom
they are in contract.
Maintain and insist on the use of the appropriate TQ template
Assign unique identification number for each TQ
Maintain a log for tracking TQ status.
The form should be signed by the Originator and appropriate
manager.
Include a section in the form for the reviewer’s name, comments,
date and signature.
Request for Inspection
In EPC project, quality test and inspection of materials, equipment,
and facilities are usually performed to ascertain that the customer’s
quality expectations are met. A Request for Inspection, (also Inspection
Call) is used to formalise the process of inviting the customer to witness
the test. Details in a RFI includes the RFI number, title of the inspection
test, date, venue, contact person etc.
Request for Issue Form
This is a form used to obtain the list of persons to whom a document
should be sent to. RFI should only be employed in circumstances where
the distribution requirements of the said document have not already been
covered by a pre-defined distribution matrix.
Once a new document is created, checked and is ready for formal
issuance, it is the responsibility of the originator to fill in a document
Request for Issue form to instruct the Document Control department on
the distribution requirements to be applied to the document.
Review and Approval
Document review is the act of considering and scrutinizing document
content in order to make it suitable and adequate as per set objectives
while approval is the act of endorsing or adding positive authorization,
acceptance or agreement.
Review and approval of document are important project protocol set-
up in EPC projects to ensure that project documents are reviewed and
approved for adequacy and suitability before they are used to carry out
fabrication and construction works. ISO 9001 requires an organization to
have control in place to approve documents for adequacy prior to issue.
In a typical review & approval process, newly created or modified
documents/drawings from a work contractor are transmitted to the client
for review and ultimate approval. Upon receipt of the documents, the
responsible client's personnel or consultant reviews the document then
reverts with comment and/or decision code to the contractor.
Depending on the comment/Decision code received, the contractor
could either revise and resubmit the document, dispute the comment or
proceed to work with the document. Where the contractor disagrees with
the comment, a comment resolution sheet may be used to state the reasons
accordingly. Note that all official transmission of controlled document are
routed through document control center for proper tracking and
traceability.
The complexity and response time for document
submission/review/approval processes depends mainly on the contract
terms and methodology used. There is often a clause in EPC contract that
mandates the contractor to consider a document submitted to the client for
review as approved by default, if after certain number of working days no
response is received from the client.
However, such mandate does not relieve the contractor from

performing the job to customer’s satisfaction rather it relieve the client
from being responsible for the project quality or delay.
The method of document approval by the client could be in
writing, or simply considered complete/final after the final round of
feedback is received from the vendor. Methods that allow the ultimate
approver to put approval stamp or sign-off signatures on the front
page of project document are considered as best practice. Key
documents should follow strict approval.
Review Cycle
Review cycle is the periodical review duration of a document. It could
be performed annually or during organizational/project change. This is in
line with ISO 9001:2015 QMS clause 7.5.3 Control of Documented
Information requirement 'to review and update as necessary and re-
approve documents'.
For example if the company changes its logo, operational base or key
manager, certain documents with the old information needs to be updated
accordingly.
During an Audit section, Quality Auditors often expect to see
documented evidence of updates made with respect to organizational
changes that affects any component of the organizations Quality
Management System.
Revision / Revision Code & Version
A revision is a formal edition of a document. A newer document
revision is created whenever an old revision is updated and formally
issued. The issuance of a new revision makes any previously existing
revision become obsolete/outdated or superseded
All intermediate editions of the document between formally issued
revisions are referred to as versions. They represent the smaller updates in
between the formal revision process, where documents are discussed and
changed, often informally, between members of the same discipline or
team. During the lifecycle of a document, there may exist several versions
but few revisions.
Revision codes are codes assigned to formal edition of a document to
differentiate each revisions. In some cases the codes serve as a kind of
iteration counter for the number of formal reviews the document has
undergone. Examples of revision codes R01, R02, Z01, C01, 00, 01, D01
etc.
Rev-up
Rev-up or up-rev are document control technical jargons coined from
the phrase ‘Revision Up’. It means progressing a document from its
current revision to the next appropriate revision.
Scope of Work
Scope of Work is a statement that describes the extent of work
undertaken or to be performed in order to deliver products, services, or
results of a project.
Shared-Drive
A shared-drive is a networked computer folder where people on the
network and with the access privilege could access the same time from
their workstation.
In the absence of an EDMS, the importance of a shared-drive in project
cannot be underestimated. Rather than project team having duplicate
copies of work documents on their desktop or external drive, a shared
drive provides a central point to enable project team have access to real
time updates of documents.
Note that the availability of a Shared-Drive and a Spreadsheet
application does not eliminate the need for an EDMS and vice-versa.
To avoid loss of electronically stored documents due to server
failure, organizations using a server-based folder must implement a
good back up strategy or contingency plan. It is a big business
frustration to experience an unrecoverable server failure.
Shop Drawings
Shop drawings are drawings derived from approved engineering
drawings with additional details for actual fabrication of equipment. They
typically show more construction details than are shown on the
engineering drawings. Engineering drawings depict the proposed
construction, whereas shop drawings provide additional details for
construction at the manufacturer’s workshop.
SIMOPS
SIMOPS (Simultaneous Operations) are two or more
activities/operations occurring close enough with the potential risk of
interference or clashing that could compromise safety of personnel,
equipment, and environment of another operation.
Stamp
Stamps are vital tools used to achieve control of documents. A
stamped document gives clear visual understanding of the status or
condition of a specific copy of a document.
For example, a document stamped as “SUPERSEDED” indicates that
that copy has a more updated version or revision and as a result, the
information in the stamped document should not be used to carry out any
work. Similarly, a document stamped as “DRAFT” implies the document
is still in preliminary stage and not suitable for official issuance.
Standard Operating Procedure (SOP)
Standard Operating Procedure are documents developed within the
Quality Management System of an organization to provide direction and
guidelines on how activities and processes are to be performed.
SOPs also identifies minimum controls and appropriate approvals
required to effectively operate the processes to ensure that perceived risks
and exposure to the organization are reduced and mitigated. Examples of
SOP are Document System and Structure Management, Vendor
Management, Manage Logistics, Process Framework, etc.
ISO 9001: 2015 Clause 7.5.2 (c) and 7.5.5.2 (c) specifies that operating
procedures, must be reviewed periodically, and updated and re-approved if
needed and that a record of such reviews must be kept.
STATUS CODE
Document status code are used in combination with revision code to
denote the level of progress or milestone a document has attain in its life
cycle. It is very important for project stakeholders to agree from the
beginning of the project the set of codes to be used and their meaning in
order to avoid confusion and misinterpretation in the project
documentation.
Although there are no such thing as a universal standard document
status code, it makes sense for organizations to adopt patterns of codes
commonly used in the industry to maintain some decorum. Each project
adopts a suitable code in line with the contract or client specific standard
as long as there is a common understanding of the meaning of agreed
codes and it effectively communicates document status to the parties
responsible for document creation, review, and usage.
A host of status codes exist in EPC projects. See below examples and
their meaning.
Approved for Construction (AFC) / Approved for Fabrication (AFF)
- Milestone used to indicate that the overall engineering parameters in the
document/drawing has been approved by an authorised person or
organization at the time of issue and thus the information in an AFC
document is adequate for use in field construction or equipment
manufacturing/fabrication unless it is revised and reissued.
Approved for Design (AFD) - Milestone used to indicate that the
document/drawing has been reviewed and approved by an authorised
person or organization for use, mainly for further design development, and
procurement.
Issued for Construction (IFC) – Milestone used to indicate when a
document/drawing is formally distributed for Construction approval.
Issued for Information (IFI) – this indicated that the
document/drawing is issued for information only. This can be used in any
stage of the project to provide information for which no action is required.
Issued for Review (IFR) – Milestone used to indicate when a
document is formally distributed for a review.
Issued for Approval (IFA) – Milestone used to indicate when a
document is formally distributed for approval.
Approved for Tender, Bidding (AFT, AFB) – Milestone used to
indicate that the document is approved by the authorized person for the
Tendering process.
Issued for Purchase Approval (IFP) - – Milestone used to indicate
when a document is formally distributed for Purchase approval.
Approved For Purchase (AFP) – Milestone used to indicate that the
document is approved by the authorized person for the Purchasing process.
Issued For Tender Approval (IFT) - – Milestone used to indicate when
a document is formally distributed for Tender approval.
Issued for Design (IFD) – Milestone used to indicate when a
document is formally distributed for Design approval.
As-Built (ASB) – Milestone used to indicate that the content of the
document/drawing reflects the actual or true state of the facility,
equipment or item at the time of issue.
Cancelled (CAN) - A document with this status is cancelled and no
longer valid.
Sub-Contractor
A subcontractor is an organization or person appointed or hired by a
contractor, or company to perform a part or all the work scope for which
the contractor or company has committed itself to the owner under
contractual terms and conditions.
Superseded
In Engineering & Construction projects the need for repetitive review
and update of previous revisions of a document or drawing is common due
to oversight, design changes etc. Whenever review comments are
implemented on the current revision of a document, a newer and most
current revision is created and the previous revision is said to have been
superseded. This means when a newer revision is created, there will exist
one current revision and at least one superseded revision of the same
document.
Management of superseded documents is of key interest to auditor as
the unintended use of a superseded document version could have grave
financial and risk consequences. It is therefore customary to include how
superseded/obsolete documents will be managed in the document control
guiding procedure, e.g.:
Documentation that has been superseded /obsolete must clearly be
stamped with a red stamp that places a red text reading "OBSOLETE" OR
"SUPERSEDED" across the face of the document.
All superseded documents shall be removed to a separate folder clearly
indicated as containing obsolete documents.
Include a caveat stating that, “onus is on the end users to check their
document version against the revision in the document control center”
Supplier Document Schedule
Supplier Document Schedule is a list of contractually agreed
documents compiled by a supplier or vendor indicating document
numbers, titles and scheduled submission dates in a bid to satisfy the
client documentation requirement.
After a successful award of Purchase Order, the SDS should be
among the first document to be submitted by vendor to the client for
adequacy and approval.
Technical Bid Evaluation
A Technical Bid Evaluation (also Technical Evaluation of Bids Report)
comprises the entire technical information obtained from enquiry and
evaluation of proposals/tenders received from selected bidders.
Once a project scope has been divided into its component work
packages, the owner floats invitation notice and bidders in turn submit
their bids often in two (2) parts - the technical and the commercial part.
The technical part contains the response of the bidder towards meeting
the technical specifications of the owner as mentioned in the invitation
document. The technical part of the bid will be reviewed by the
engineering team or consulting engineer for adequacy to technical
requirements.
After the reviewers’ confirmation of the acceptability of the technical
part of the bid, the procurement or contracts department proceeds with
opening of the commercial part of the bid for the qualified bidders.
Template
A document template is a pre-formatted file that serves as a starting
point for a new document to be created. It details the basic parameters that
should be contained in a document, with the required format. For example,
you might use template in Microsoft Word that is pre-formatted as a
business letter. The template would likely have a space for your name and
address in the upper left corner, an area for the recipient's address, an area
for the message body, and a spot for your signature at the bottom.
Templates are a valuable means to maintain uniformity and
consistency among all stakeholders responsible for creating drawings and
documents for the same project. Rejection of documents due to the use of
wrong document template is a common scenario in EPC project
documentation. Competent and experienced document controllers always
insist and enforce the use of project approved templates for consistency.
Document template to be used for a project should be developed
and confirmed from the start of the project prior to official
submission.
Document control as a quality gate keeping function should
always enforce and maintain a stern stance on adherence to the use of
project approved template.
Transmittal Note
A transmittal note (also Transmittal Cover, Transmittal Form,
Transmittal Letter) is a form that list items such as a document, package
or technical drawings sent formally from one party (organization or
individual) to another with summary details about the items enclosed
therein. It is an invaluable document control tool used to control the
transmission of documents between parties administering a project.
The transmittal serves the same purpose as a courier Way Bill serves.
When the package is delivered, the receiver signs the waybill as an
acknowledgement of receipt of the package delivered. The purpose of
signing the waybill is to show that the documents described in it was
delivered and received.
Transmittals are of immense importance and an indispensable
document control tool. It is common sometimes to find document
controllers mark-up the transmittal to point out errors before returning a
signed copy to the sender because the signed transmittal becomes a
record/proof that the documents listed therein were delivered and
received.
Note that signing the transmittal is in no way an approval of the
documents enclosed but rather a proof of receipt of same.
Transmittal received from external organization is called incoming
transmittal. Transmittals sent to other organization are called outgoing
transmittal. When documents are issued internally (within an
organization) with a transmittal, the transmittal is called an internal
transmittal. The following are common parameters/information in a
transmittal cover note;
Letter Head format;

Unique Transmittal Number;
The date of transmittal;
Originator & Receiver's Information ( Address, telephone,
fax and e-mail details, Name);
Table Containing - Document Number, Document Revision
Document Title, Reason / Purpose for issue
Date of Issue
Signatures columns.

Request for acknowledged receipt of issued transmittal
Transmittal with discrepancies should be professionally rejected
until all corrections have been effected
Transmittal Register
A transmittal register is a register that list all outgoing transmittals
and incoming transmittals with their associated documents. Data that goes
into a transmittal register includes Transmittal number, Date of Issue or
Receipt, List of Documents (Document number, Title) associated with
each transmittal, document revision code etc.
Note that while the Document Deliverable Register contains only
deliverable documents, the Transmittal Register contains all documents
issued or received with a transmittal.
Turn-Key Project
This is a project where a work contractor undertakes the commitment
to fully complete (procure, design, construct, equip or service) a facility
and turn it over to the owner when it is operational or ready for use. The
concept indicates that when the project is handed over by the work
contractor, the client does nothing but "turn a key", as it were, to set it in
motion.
Turn-Key projects are common in Refinery, Power Plants, Mineral
Processing & Mining, Oil & Gas Plants/Facilities.
Variation Request Form
Any request for modification that has the possibility to cause a change
to contract price, schedule of key dates or job scope is called a variation
request.
VDRL OR SDRL
VDRL (Vendor Document Requirement List, also Supplier/Contractor
Document Requirements List, Seller/Vendor Data and Drawing
Requirements List) is a list of documentation requirements generated by a
purchaser for a contract or purchase order. The list includes specifications,
document category/types, required formats etc. The VDRL will be used
subsequently by the selected contractor/supplier as the basis for the
development of a Supplier Document Register/Schedule.
A VDRL should be included in the Invitation to Tender package
and the final Purchase Order package.
Vendor
Vendor is any organization or entity in the execution of a project work
that provides services, manufactures or supplies equipment to a purchaser
in line with specification in a Purchase Order.
Vital Record
A record that is essential to the organization's operation or to the
reestablishment of the organization after a disaster.
Wet Signature
A wet signature as opposed to electronic signature is the term used to
describe original signature of a person or when a person physically signs a
document. The signature could either be a stylized, cursive format, name
seal or any symbolic representation written with ink on paper. The concept
of the word “wet” is drawn from the fact that the signature requires time
to dry, being made with ink or wax as different from a 'dry' scanned or
electronic signature.
Work Breakdown Structure
Work Breakdown Structure (WBS) is a discrete outline or breakdown
of project work into manageable sections.
Work Completion Certificate
Document certified by a competent client authority that a job has been
completed in accordance with the terms, conditions, and specifications
contained in the job contract.
Workflow
Document Workflow is the sequence of administrative or other
processes through which document passes from creation to final approval.
Work Package
Work Package is a group of activities in a work breakdown for which
cost and duration can be estimated and managed. It could also be
described as a breakdown of work scope into unit group of activities from
planning perspective. Each group or work pack comprise deliverable
documents whose total progress determines the completeness of their
corresponding work package.

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DOCUMENT CONTROL TERMS & PROCESSES IN EPC PROJECTS - Definitions, Best Practices & Advisory Tips

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DOCUMENT CONTROL

TERMS & PROCESSES

…Definitions, Best Practices & Advisory Tips

Document Control Terms & Processes in EPC Projects defines and

Advisory/Best Practice Tips

Advisory/Best Practice Tips

Examples of checks required on document includes:

Advisory/Best Practice Tips

During the Engineering Design phase of a project, normally a work

Advisory/Best Practice Tips

Document Control Communication Protocol includes but not limited

Note that Decision Codes are not universal. Each organization or

In document control, deliverable documents are all the documented

they provide evidence of activities planned and activities

Below table are a few differences between a document and a record.

The difference between document and record may sometimes be subtle

It is also common to hear document controllers in EPC projects being

Site Document Controller (a DC working from a project site

Advisory/Best Practice Tips

Read and understand the company email Etiquettes usually

It is very important that proper personal identification is present

Founded on February 23, 1947.

Efficiency: to monitor or gauge the efficiency and

Examples of Specific KPIs set for Document Control may include:

Average time between arrival of transmittal/document,

Advisory/Best Practice Tips

Introduction to Document Numbering System.

However, such mandate does not relieve the contractor from

Letter Head format;

Advisory/Best Practice Tips

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