document control standard operating procedures...

Document Control Standard Operating Procedures Version 3.0 August 2009

Alaskan Way Viaduct and Seawall Replacement Program

Table of Contents Section Page

1.0 Introduction.................................................................................................................................... 1 1.1 Purpose..................................................................................................................................... 1 1.2 Goals and Objectives ............................................................................................................... 1 1.3 SOP Revisions and Reviews .................................................................................................... 1 1.4 Definitions and Terminology ................................................................................................... 2

2.0 Document Control Program ......................................................................................................... 2 2.1 Document Control During Design/Right of Way and Construction Phases ............................ 2 2.2 Document Control Group......................................................................................................... 3 2.3 Document Control Centers....................................................................................................... 6 2.4 Project Electronic Content Management System Overview .................................................... 6 2.5 Primavera Contract Manager ................................................................................................. 10

3.0 Document Handling Procedures................................................................................................. 10 3.1 Deliverables/Submittals – Design/Right of Way Phase......................................................... 10 3.2 Deliverables/Submittals – Construction Phase ...................................................................... 12

4.0 Project Close-Out......................................................................................................................... 13

5.0 Document Retention Policy and Procedures ............................................................................. 13

6.0 Disaster Recovery Process........................................................................................................... 14 6.1 Hotsite Facility....................................................................................................................... 14 6.2 Server Backups ...................................................................................................................... 14

Tables

Table 1. Document Control Group Roles and Responsibilities ................................................................... 4 Table 2. Livelink ECM Permissions ............................................................................................................ 6

Figures Figure 1. AWV Program Document Control Group Organization .............................................................. 5 Figure 2. Taxonomy Within Livelink ECM................................................................................................. 7 Figure 3. Screenshot of Business Units Taxonomy Within Livelink........................................................... 8 Figure 4. Screenshot of Taxonomy Within Each Business Unit.................................................................. 8 Figure 5. AWV Centralized/Decentralized Document Management Process (Design/Right of Way Phase) ..................................................................................................... 11 Figure 6. AWV Submittal and Review Process – Construction Phase ...................................................... 13

Appendices Appendix A Acronyms, Definitions and Terminology Appendix B Livelink Collaborative Permissions Matrix Appendix C WSDOT ECM Process – Add New Users or Projects Workflow Appendix D Livelink Business Unit-Specific Guidelines

Document Control Standard Operating Procedures (Version 3.0) iii August 2009


1.0 Introduction

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.1 Purpose

This Standard Operating Procedures (SOP) manual was developed by the Document Control Group at the Alaskan Way Viaduct and Seawall Replacement Program (AWV Program) to outline the policies and procedures that comprise the Document Control Program. Detailed instructions, workflows and other information for receiving, sending, distributing, storing, and tracking all project-related documents within the Document Control System are provided in this SOP. This SOP was prepared for the benefit of all staff members who are involved with creating and handling project documents at the AWV Program. Adhering to this information ensures that project content is handled consistently according to established procedures in order to maintain quality and integrity of the content throughout its lifecycle. Paper and electronic versions of content can be properly stored within the Document Control Center and easily retrieved upon request, which in turn, improves the Program’s overall business operations and performance. As a public agency/owner of the AWV Program, the Washington State Department of Transportation (WSDOT) has a legal obligation to provide project information to the taxpayer—the general public—regarding any and all information on the Program upon request. The Program’s Document Control Center, which serves as a “clearinghouse” of project content enables WSDOT to be transparent with regards to its operation of the Program, and to quickly and efficiently respond to requests for information. .2 Goals and Objectives

The goals and objectives of the Document Control Program are to provide clear definition, direction and understanding to its users on how the AWV Program handles the tasks of organizing, storing, retrieving and disposing of project content. The three main objectives of the Document Control Program are:

A. To retain and preserve all required documentation as directed by the WSDOT Design Documentation Package.

B. To retain and preserve all required documentation as directed by the WSDOT Construction Manual.

C. To retain and preserve all required documentation as directed by the Program Leadership as related to the management and operations of the Program.

.3 SOP Revisions and Reviews

This SOP was prepared in accordance with the WSDOT Design Manual and the WSDOT Construction Manual and will be updated annually by the Document Control Group and WSDOT Business Units to ensure that the procedures contained within remain current.

Document Control Standard Operating Procedures (Version 3.0) 1 August 2009


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.4 Definitions and Terminology

WSDOT acronyms, definitions and terminology common to the AWV Program office and document control are provided in Appendix A. 2.0 Document Control Program

Document control (also called document or content management) is the discipline of managing the lifecycle of documents based on procedures, policies and standards that have been tailored to meet specific business rules and requirements. Good document control practices and procedures enable an organization to easily create, organize, share, store, retrieve and eventually dispose of project content. The AWV Document Control Program enables its users to main a consistent approach to documentation throughout the lifecycle of AWV Program to meet the requirements of contracts, audits or a court of law. The program mandates that project content be properly handled, preserved, retained and destroyed according to WSDOT policy. .1 Document Control During Design/Right of Way and Construction

Phases

Project content shall be managed throughout the Design/Right of Way Phase and Construction Phase of projects that comprise the AWV Program, until project closeout. During the Design/Right of Way Phase, project staff shall follow the guidelines detailed in the WSDOT Design Manual. In this guidance document, Chapter 330.04, Design Documentation, defines all requirements for maintaining documents at this level of the project. The Design Documentation Package (DDP) is probably the most important portion of the project record during the Design/Right of Way Phase, including Project Development Approval, which will be retained long term in accordance with WSDOT document retention policies because it is considered to be the permanent record of the design documents and decisions for the project. Design/Right of Way Phase project records are managed by the Document Control Group using WSDOT’s Electronic Content Management (ECM) system, Livelink, to manage all electronic content. During the Construction Phase, document control staff at the Project Construction Offices are responsible for managing project documents in accordance with procedures and guidelines contained in Chapter 10, Documentation, of the WSDOT Construction Manual. This chapter identifies very important requirements that are necessary to establish an adequate method of record keeping. Construction Office document control staff will utilize WSDOT’s Electronic Content Management (ECM) system (Livelink) to manage all electronic content. Additionally, staff shall comply with document control requirements set by the Document Control Group at the AWV Program Office. Section 2.2 of this SOP provides an overview of the relationship between the Design and Construction staffs, and how these two groups work together to capture and maintain project documents for the AWV Program.



2.2 Document Control Group

The Document Control Group (DCG) is a part of the Programs and Services Division and is responsible for strategic and tactical aspects of the Document Control Program at AWV. Document control at the AWV Program Office is “centralized” for specific Business Units (Project Administration, Project Design, Agreements) and relies on the DCG to maintain their paper-based documents in the Document Control Center. Due to space limitations, other WSDOT Business Units (Real Estate/Right of Way, Public Involvement, Environmental) are “decentralized,” which means that these Business Units maintain their own paper based documents as prescribed by the DCG. Document control operations at the Construction Offices are centralized under their own Document Control Center and staff who manage their project construction documents as prescribed by the DCG at the AWV Program Office. The DCG is comprised of the following staff positions that serve the AWV Program during the Design/Right of Way and Construction phases: Design/Right of Way Phase (AWV Program Office)

• Document Control Manager • Document Control Center Lead • Document Control Specialists (two positions) • Design Review Coordinator • Business Unit Gatekeepers

Construction Phase (Construction Office)

• Document Control Center Lead • Document Control Specialist • Submittal Coordinator

Table 1 lists the responsibilities associated with each of these positions. Figure 1 shows these positions within the organizational structure of the Document Control Group and how the positions interface with the various WSDOT Business Units and the Project Construction offices. As shown in Figure 1, there are two document control specialists in each Project Construction Office that are responsible for maintaining project documents from the construction phase through project close-out in accordance the WSDOT Construction Manual. Although these document control specialists are not managed by the DCG, they refer to the DCG for document control guidance and feedback as it relates to their construction office.




Table 1. Document Control Group Roles and Responsibilities Title Responsibility

Project Design Office (Design/Right of Way Phase) Document Control Manager (DCM)

• Leads the DCG • Oversees the development/implementation of document control

policies and procedures • QA/QC of the document control systems and procedures • Oversees/leads training sessions • Conducts document control system presentations and workshops

Document Control Center Lead (DCCL)

• Oversees and manages the DCC • Responsible for the final disposition of all deliverables and

records in the Centralized Document Handling model • Assists in establishing document control procedures • Assists Design Review Coordinator (DRC) in deliverable process;

serves as backup DRC • Provides technical guidance to Construction Office document

control staff Document Control Specialists (DCS) (Two positions)

• Oversees and manages the Document Handling process for all Business Units in the Decentralized Document Handling model

• Assists Business Units Gatekeepers in determining the final disposition of documents and those documents appropriate filing within Livelink.

• Performs QA/QC semi-annually on the Decentralized Business Unit records

• Supports the Decentralized Business Units Gatekeepers with both electronic and paper-based backlog and determining its disposition and filing location in Livelink

• Provides scanning support to the decentralized business units

Design Review Coordinator (DRC)

• Processes deliverables for distribution and review • Tracks review comments and responses • Conducts comment resolution meetings

Business Unit Gatekeepers • Provides Business Unit level support in document handling and disposition with assistance from the DCS

• Acts as a document control liaison between the Business Unit and the DCG

Project Construction Office (Construction Phase) Document Control Center Lead (DCCL)

• Oversees and manages the DCC • Responsible for the final disposition of all deliverables and records

in the Centralized Document Handling model • Assists in establishing document control procedures • Assists Submittal Coordinator in the deliverable process; serves as

backup Submittal Coordinator Document Control Specialist (DCS)

• Assists the DCCL in managing the DCC • Performs document QA/QC check; adds attributes as needed • Supports the project with all electronic and paper based backlog in

determining its disposition and filing location in Livelink Submittal Coordinator (SC)

• Processes deliverables for distribution and review • Tracks review comments and responses



Figure 1. AWV Program Document Control Group Organization

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.3 Document Control Centers

The Program Document Control Center (DCC) for design and pre-construction activities is located on the 24th floor of the AWV Program Office. The centralized Business Unit’s paper based documents are maintained in the DCC. The decentralized Business Unit’s paper based documents are located in their respective areas and maintained in accordance with DCG guidelines and WSDOT standards. Document control is centralized at the Project Construction Offices under the DCC and staff who manage project construction documents as prescribed by the DCG at the AWV Program Office. .4 Project Electronic Content Management System Overview

The AWV Program is using Livelink as its Project Electronic Content Management (ECM) system for capturing, storing and retrieving project documents within the Project Management and Reporting System (PMRS). The Livelink ECM system is a fully integrated enterprise content management system that enables project staff to create, use, and share working and final documents in electronic format across all WSDOT boundaries via the WSDOT Intranet. The purpose and goal of Livelink ECM is to “capture” all content considered as “final” as related to any particular WSDOT Project. Livelink ECM will serve as the final repository for the remaining lifecycle of the content until the appropriate retention period is reached. For more information, refer to the WSDOT guidance document, Project Electronic Content Management (ECM) Procedures, located at: http://wwwi.wsdot.wa.gov/NR/rdonlyres/9719F2BB-D2CF-43C3-9337-6A52A332EE85/28756/ProjectECMprocedure.pdf Livelink ECM Permissions

Permissions are granted to licensed Livelink users based on their role and level of responsibility.

Table 2. Livelink ECM Permissions

Role Permissions Regional Tools Administrator (Tier 2)

Full Access, can grant access/rights to ECM objects. This group sets up and applies all other permissions for Regional Business Units.

Document Controller Can move documents from the Staging folder to Published folder, and delete documents from the Working folder. May also delete versions inside of the document to be Published.

Document Contributors Can add and modify documents to the Working and Staging folders. Primary function is to add documents to the system and move to the Staging folder when document is to be finalized. Only the contributor of the document can delete the documents. All other contributors with access to that document may delete the version they created.

View Only Can view or search for all documents within the Published folders in the system, includes all Published folders in all Regions/Business Units. An individual license is still occupied for this limited access.


http://wwwi.wsdot.wa.gov/NR/rdonlyres/9719F2BB-D2CF-43C3-9337-6A52A332EE85/28756/ProjectECMprocedure.pdf

http://wwwi.wsdot.wa.gov/NR/rdonlyres/9719F2BB-D2CF-43C3-9337-6A52A332EE85/28756/ProjectECMprocedure.pdf


A Livelink Collaborative Permission Matrix which shows a comparison of permissions at the various levels is included as Appendix B. The WSDOT ECM Process diagram included as Appendix C shows the workflow of how new Livelink users or projects are added (enabled) to use the system. Livelink ECM Taxonomy

WSDOT and all Business Units/Disciplines within the agency have each developed a standard folder structure specific to their particular business unit that is based on specific document types and attributes. This folder structure, also called “taxonomy,” for each Business Unit in Livelink assists users in locating and retrieving documents. The Business Units are:

• Agreements • Bridges & Structures • Construction • Environmental • Facilities • Geotech • Hydraulics • Landscape Architecture

• Materials • Project Administration • Project Design • Public Involvement • Real Estate & Right of Way • Survey Photogrammetry CAE • Traffic Services • Utilities & Railroads

The taxonomy within Livelink ECM is depicted in Figures 2 and 3 below. Business Unit-specific guidelines for the use of Livelink are included in Appendix D.

Figure 2. Taxonomy Within Livelink ECM

Corridor

Mode

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Staging

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Unfiled

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Figure 3. Screenshot of Business Units Taxonomy Within Livelink

Project Region Mode Corridor

Business Units

The next level of folders within each Business Unit are “Published,” “Staging,” “Unfiled” and “Working” as shown in Figure 4.

Figure 4. Screenshot of Taxonomy Within Each Business Unit



Published Folder

The last step is moving the project documents from the Staging folder to the Published folder. Published documents are final approved project documents. This folder is “read only” and available to anyone with a WSDOT Livelink license. Only Document Controllers can move a final project record from the Staging folder into the Published folder. Before project documents are moved, Document Controllers verify that:

• The project record is text-searchable and in WSDOT-approved business software; and

• The document has been saved in the correct location in Livelink and the appropriate metadata has been assigned as required.

Staging Folder

Staging is the folder where documents are temporarily stored prior to being published. Business Unit Gatekeepers move documents to the Staging folder for document publishing. The Business Unit Gatekeepers are responsible for moving their project documents from the Working folder to the Staging folder when their project documents have been finalized and applicable attributes have been entered in Livelink according to their Business Unit’s procedures (refer to Appendix D). When documents are moved into the Staging folder, an e-mail alert is automatically sent to the Document Control Group to announce that project documents have been added to the Staging folder within Livelink and requires further action by the Document Control Group. (NOTE: Each member of the DCG will need to set up notification interests in Livelink before they can receive the automatic alerts so that when a new project is added, they will need to add the notification for that project.) Unfiled Folder Unfiled is a folder where documents are held while the appropriate attribute information is added to the document. Once attributes are assigned (i.e., discipline, document type, document date), an automatic process moves the document to the Staging folder. The Unfiled folder is only available to those who have permission to contribute documents within their Business Unit. Working Folder Working documents are shared, allowing a collaborative effort to develop the final document. Staff within each Business Unit shall use their Working folder as they would normally do on their computer hard drive or on a server—creating, editing, and adding project documents to Livelink according to their Business Unit’s procedures. It is the responsibility of the Business Unit Gatekeepers, as well as each project team member, to make sure that project documents are created in or added to Livelink with the applicable attributes. The Working folder is only available to those who have permissions to contribute within the Business Unit/Project.



2.5 Primavera Contract Manager

2.5.1 Design/Right of Way Phase Overview

In the design/Right of Way phase of each project, Contract Manager is utilized to log and track design deliverables at the Project level. Agreements and invoices are recorded at the Program level. The Document Control Center Lead is responsible for interfacing with the Design Review Coordinator and the Agreements Business Unit to ensure that all final documents are captured and processed into Livelink as required by this procedure.

2.5.2 Construction Phase Overview

In the Construction Phase, Contract Manager is the primary tool used by Construction Office staff to track, monitor and collaborate on activities related to their specific project. The Construction Offices are responsible for establishing their specific procedures and responsibilities regarding the use of Contract Manager to manage their project documents. At a minimum, the Construction Office Document Control Lead or Document Control Specialist shall serve as the project’s Contract Manager Administrator. The responsibilities of the Construction Office document control staff include ensuring that project activities specified in the Construction Manual are captured and recorded in Contract Manager. All final project records are located in Livelink under their respective Business Unit/published folders. Construction Office document control staff will utilize WSDOT’s Electronic Content Management (ECM) system (Livelink) to manage all electronic content.

3.0 Document Handling Procedures

3.1 Deliverables/Submittals – Design/Right of Way Phase

As mentioned in Section 2.3, the Program DCC manages both a centralized and decentralized document handling process. The centralized Business Unit’s paper-based documents are maintained in the DCC. The decentralized Business Unit’s paper-based documents are located in their respective areas and maintained in accordance with DCG guidelines and WSDOT standards. Incoming and outgoing project deliverables/submittals are managed with Contract Manager under the centralized process. A Deliverable Packages List is set up based on agreement/contract documents which are stored in Contract Manager. All deliverables/submittals are delivered to the Design Review Coordinator in PDF format unless the deliverable format is incompatible with PDF conversion such as



audio/video (i.e., .wav, .mpg), physical samples, software or the deliverable specification calls for native file format (i.e. .dwg, .dgn). Figure 5 depicts the workflow of deliverables/submittals during the Design/Right of Way Phase of a project. Decentralized Business Units use the Decentralized Document Handling Process.

Figure 5. AWV Centralized/Decentralized Document Management Process (Design/Right of Way Phase)

AWV Program – Centralized Document Handling (Deliverable and Review Process)

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Submittal Coordinator enter Deliverable into

Contract Manager as a

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Hard Copies routed to the

Document Control Center for processing

Hard copy is routed

for review

Electronic copy is routed for review in

Contract Manager

Review comments made

Review comments entered in

Contract Manager

Routed in Contract

Manager to Design

Management for Approval

Comments Approved

Submittal Coordinator forwards via email Final Comments

Submittal coordinator creates a transmittal

entry in Contract Manager

Comments received via email



(Figure 5, Cont’d) AWV Program - Decentralized Document Management Process (RoW, Public Involvement, and Enviromental)

Record Assign to specific AWV Project

A document comes in the office or is going out;

either through an e-mail, mail, or you create the

documentYes Route to Business

Unit Gate Keeper

Assign Business Unit Separator

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Process into Livelink and File in appropriate Project

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3.2 Deliverables/Submittals – Construction Phase

During the Construction Phase of a project, incoming and outgoing project deliverables/submittals are managed with Contract Manager. A Deliverable Packages List is set up based on agreement/contract documents which are stored in Contract Manager. All deliverables/submittals are delivered to the Submittal Coordinator in PDF format unless the deliverable format is incompatible with PDF conversion such as audio/video (i.e. .wav, .mpg), physical samples, software or the deliverable specification calls for native file format (i.e. .dwg, .dgn). Figure 6 depicts the workflow of deliverables/submittals during the Construction Phase of a project.



Figure 6. AWV Submittal and Review Process – Construction Phase

AWV Program - Submittal and Review Process - Construction

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Submittal Coordinator notifies DC submittal is complete

- Creates a Out Going

CorrespondenceMoves all outgoing contact to LivelinkLinks content back

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entry in Contract Manager

- Closes out the Submittal

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Submittal info in the Submittal

Module and issues it to the review

team for comments

Contractor routes Submittal to

Project Document Control

Routed in Contract

Manager to Project

Management for Approval

Transmits to Contractor

4.0 Project Close-Out

Project closeout will be executed at the completion of Design/Right of Way Phase per the WSDOT Design Manual, and at the end of the Construction Phase per the WSDOT Construction Manual. 5.0 Document Retention Policy and Procedures

The Records and Information Services Office for the State of Washington maintains and oversees the retention and destruction of all public records within WSDOT in accordance with the provisions of Chapter 40.14 RCW, Preservation and Destruction of Public Records. This means that by law, the AWV Program must retain and purge all project documents according to the State’s guidance document, General Records Retention Schedules. For more information, visit WSDOT’s Intranet at: http://wwwi.wsdot.wa.gov/AdminServices/Records/Retention.htm The Document Control Manager is responsible for ensuring that project documents are retained and purged according to WSDOT policy and procedures. Refer to the WSDOT Construction


http://wwwi.wsdot.wa.gov/AdminServices/Records/Retention.htm


Manual and WSDOT Design Manual for specific information on document retention during the design and construction phases of the project. 6.0 Disaster Recovery Process

Disaster recovery encompasses the process, policies and procedures for restoring business operations after a natural or human-induced disaster. It is critical, particularly in the case of public agency-procured projects, that a project or agency have a “plan” to preserve business documents, hardware and software that will enable business or project operations to be restored so that the business or project may be resumed at the level that existed before the disaster. WSDOT pursues an aggressive and proactive approach for Information Technology (IT) disaster planning, which is evidenced in WSDOT’s Information Technology Disaster Recovery/Business Resumption Program. A disaster plan is published periodically for the Department of Information Services at WSDOT that contains plans and procedures for several contingencies. For the AWV Program, all project records for all project phases will be stored electronically on the WSDOT IT network and will be covered by WSDOT’s Information Technology Disaster Recovery/Business Resumption Program. In the event that the paper records are destroyed, they can be recovered by reprinting the electronic version. This will enable the current WSDOT project record archival and retention requirements to be met as noted in Section 5.0, Document Retention Policy and Procedures. For extensive information regarding disaster planning and recovery, visit WSDOT’s Intranet at: http://wwwi.wsdot.wa.gov/fasc/it/InfrastructureSvcs/disasterplanning.htm 6

6

.1 Hotsite Facility

In the event that WSDOT’s facilities are damaged, a “hotsite” facility has been established where WSDOT computer operations can be launched in case of a disaster. The WSDOT hotsite facility is located outside of Olympia. In the event of a disaster, WSDOT Office of Information Technology (OIT) technicians work to restore services to staff. .2 Server Backups

Livelink and Contract Manager are backed up on a daily basis. WSDOT server backups are tested periodically as part of the WSDOT IT Disaster Recover Plan. Most enterprise servers are backed up for 30 days. Copies of the backups are stored offsite. Most backups include periodic full backups with daily incremental backups of the changes since the last full backup.


http://wwwi.wsdot.wa.gov/fasc/it/InfrastructureSvcs/disasterplanning.htm


Appendix A

Acronyms, Definitions and Terminology

Document Control Standard Operating Procedures (Version 3.0) August 2009

Appendix A

Acronyms and Definitions Project Acronyms

There are many WSDOT acronyms common to the AWV Program office. The following list is not comprehensive, but includes many of the most common acronyms used on the project.

• AASHTO – American Association of State Highway and Transportation Officials • AWV – Alaskan Way Viaduct and Seawall Replacement Program • CEVP® – Cost Estimate Validation Process® • DB – Design-Build • DBB – Design-Bid-Build • DCC – Document Control Center • DCCL – Document Control Center Lead • DCG - Document Control Group • DCM – Document Control Manager • DCS – Document Control Specialist • DDP – Design Documentation Package • DRC – Document Review Coordinator • ECM - Enterprise Content Management • FHWA - Federal Highway Administration • FONSI – Finding of No Significant Impact • GEC - General Engineering Consultant • GIS - Geographic Information System • ITS – Intelligent Transportation System • MDL - Master Deliverables List • NTP – Notice to Proceed • PIN - Program Item Number • PMAC - Project Management Assistant Consultants • PMP - Project Management Plan • PS&E – Plans, specifications and estimate • QA/QC – Quality Assurance/Quality Control • QPR - Quarterly Project Report • RCW – Revised Code of Washington • RFI – Request For Information • RFP – Request For Proposals • RFQ – Request For Qualifications • SPCC – Spill Prevention Control and Countermeasures • TO - Task Order • TPA – Washington State Transportation Partnership Account • WSDOT – Washington State Department of Transportation

Document Control Standard Operating Procedures (Version 3.0) A-1 August 2009

Appendix A

Acronyms and Definitions Definitions

Agreements – Refers to all contracts, master agreements, and task orders between WSDOT and a consultant, contractor or agency.

Amendment – This document adds funds and/or scope to a task order’s Not-To-Exceed (NTE) value/scope.

Approved – Fully executed or accepted.

Approved as Noted – Does not require resubmit but notes made should be review and used.

Approved Noted Resubmit – Requires resubmit with changes which should include notes made.

Architect Number – Request For Information field used for unique numbering by Designer/Architect of record.

Archive – Process of moving project records to storage (archives) for long-term closeout.

Archives – Records which have passed their retention requirement and have been transferred to archival custody and preserved because of their continuing historical research value; the agency responsible for selecting, preserving, and providing public access to archival records; the building in which archival records are preserved and referenced.

As-Built – The final footprint of a constructed structure that incorporates all deviations from the original plan.

Ball In Court – Term used in Contract Manager to identify the person who has to take action or has responsibility for a particular document.

Baseline Documents – Documents related to the core setup of a project (i.e., budget, management plans, final Environmental Impact Statement, contract).

CD ROM (Compact Disk Read-Only Memory) – A machine-readable medium used to reproduce records for rapid retrieval. Read-only memory allows data to be read but not altered.

Change Management – Organizing and controlling the aspects of work practices as they transition from one stage to another.

Changes - Refers to all change orders, supplements, amendments, etc. used as a change in scope of work or value of an agreement.

Collaboration – Tools (e.g. collaborative authoring, videoconferencing, shared whiteboards) that allow multiple users to work on the same content in a common environment.


Appendix A

Acronyms and Definitions Compact Disk (CD) - A machine-readable medium used to store records.

Compression - Software or hardware process that “shrinks” a digital file to a lower number of bits for storage or transmission.

Concurrence –Requires a signature acknowledging receipt.

Content Management System – The technology used by WSDOT to create, review, approve, and publish Web-based content.

Contract – Binding agreement between two or more parties (agencies, individuals or companies).

Correspondence Received – Incoming project documents via fax, mail, hand delivery or e-mail.

Correspondence Sent – Outgoing project documentation via fax, mail, hand delivery or e-mail.

Custody of Records - The guardianship of records that includes both physical possession and legal title.

Cut-Off – In records management, the end of a specified period of time or event when files are terminated, permitting transfer, retirement, or disposal.

Database - Electronic collection of records stored in a central file, accessible by many users for many applications; collection of data elements within records or files that have relationships with other records or files.

Data Integrity - The complete and unaltered condition of data as it was originally created.

Data Security - The protection of data against loss, damage, or alteration.

Deliverable – Submittal or sample/documentation required to be submitted by a defined due date for the client’s review and/or approval.

Digital Signature - Electronic signature that can be used to authenticate the sender of a message. Legal term for encrypted certification process.

Disaster Recovery - The protocol established for regaining data, records and plan; documents after loss or destruction; the process used to recreate data after a catastrophic event.

Disposition - Any manner or method of changing the custody, location, or physical state of records, including transfer, microfilming, duplication and destruction.

Document – An original or official paper that bears the original, official, or legal form of something and can be used to furnish decisive evidence or information. Letters, transmittals, meeting minutes, progress photos, change orders, invoices, and printed e mail are all examples of document types.


Appendix A

Acronyms and Definitions Document Properties – The specific elements of data included in a document.

Drawings – Blueprints associated with project.

E-Forms - Electronic forms are used to view, print on-demand, fill in on a computer, merge data, provide calculations, and for workflow. Intelligent e-forms gather, record, and distribute digital information. E-mail – Electronic mail to be captured as supporting/background information to a record

document. Subjective decision; parameters are currently under review and will be incorporated in the AWV Document Retention Policy (refer to Section 340, Document Retention Policy and Procedures).

Electronic Records - Records created or stored by electronic means, usually on computer systems.

Electronic Signature - The digital representation of an individual’s legally recognized pen-and-paper written name.

Enterprise Content Management (ECM) – Technology used to capture, store, preserve and deliver content and documents and content related to organizational processes. Livelink is the ECM technology used by the AWV Program to create, review, approve, and system-publish Web-based content.

External Reviewer- Individual responsible for reviewing and approving project documentation who is not located in the physical project office or directly involved within the project group.

File Naming Convention – Also known as Project File Structure ID, the numbering scheme that is used for filing and retrieving project documents in the Master File System.

Flow Charts – Charts that define a workflow process.

Hyperlink – A link built into an electronic document that when selected (clicked), it connects the user to an intended, specific location or area on the Internet, server or system.

Imaging - Process of capturing, storing, and indexing documents using electronic imaging methods, e.g., scanning. Inactive – Not active; no longer being used.

Indexing – Identification of specific attributes of a document or database record to facilitate retrieval.


Appendix A

Acronyms and Definitions Internal Reviewer - Individual responsible to review/approval documentation who is located in

the physical project office.

Imaging - Process of capturing, storing, and indexing documents using a scanner.

Legacy - From a previous generation. Legacy documents, systems and applications are those that predate the current generation of investment in computing assets.

Lifecycle - Period of time a document or record remains viable, from creation to ultimate disposal.

Master Agreement – The agreement between a consultant or contractor with WSDOT. This agreement is for global use within the department and may cover many projects.

Master Deliverable List (MDL) – List of deliverables that a contractor or consultant is responsible for providing via a task order or contract on a project.

Master File System (MFS) – Physical storage area within the DMC of all technical documentation related to the AWV Program.

Metadata - Describes or specifies characteristics that need to be known about data in order to build information resources, such as electronic record keeping systems, and to support records, creators, and users.

Notice To Proceed (NTP) – Official notification from agency that is sent to consultant or contractor to begin work. This is primarily used in the Agreements module.

OCR (Optical Character Recognition) – Scanning machine feature whereby text and images of characters can be recognized by a scanning machine; recognition feature identifies and converts the text and images into codes that the computer can process into characters.

OIT - Office of Information Technology – WSDOT's Office of Information Technology is the agency’s core technology service provider. All facets of essential technology services are managed and maintained, such as infrastructure/networks, mainframe operations, web operations, technology equipment, statewide business application development/support and project management, services/support, technology strategic planning and governance.

Project ID Number (PIN) – Project identification number.

Project Record - A written or printed work of a legal or official nature that may be used as evidence or proof; data or information in a fixed form that is created or received during the course of individual or institutional activity and set aside (preserved) as evidence of that activity for future reference.

Proprietary Records – Records that contain information of a confidential or highly sensitive nature that requires destruction to eliminate the possibility of illegal or undesirable disclosure.


Appendix A

Acronyms and Definitions Public Disclosure – Obligation of government to provide records to the public.

Public Information - Information or records that can be obtained from public sources, e.g., the Internet or State Library, not subject to the public disclosure process. Public Record - Any paper, correspondence, completed form, photograph, film, map, drawing, compact disc, or other document, regardless of physical form or characteristics, including copies, that have been made by or received by any agency of the state of Washington in connection with the transaction of public business, and legislative records as described in Chapter 40.14.100 RCW. Records Management – The retention, retrieval, storage and archiving of records.

Records Retention Schedule – Individual records series, approved for all state government agencies or particular types of agencies by the State Records Committee. General records retention schedules provide the agencies with continuing blanket authority for the disposition of commonly held records according to their assigned retention periods.

Repository – Part of a document management system that controls the check-in and check-out of material, version control, and look-up of defined attributes.

Request for Information (RFI) – Question or comment for clarification purposes received from a project team member , usually directed to the Designer or Owner.

Retrieval - Procedure for searching indexes for content.

Review Cycle – Period of time in which a deliverable or submittal is received, reviewed, approved or rejected, beginning from the date received, ending with the date returned.

Revised Code of Washington (RCW) – The compilation of all permanent Washington State laws in force. It is a collection of Session Laws (enacted by the Legislature, and signed by the Governor, or enacted via the initiative process), arranged by topic, with amendments added and repealed laws removed.

Serial Number- Unique number assigned to a document (i.e., outgoing correspondence) for tracking purposes.

SPMG – Statewide Program Management Group. SPMG is a team of consulting firms in the transportation industry who were selected by WSDOT to assist in delivering its $16 billion Capital Construction Program on time and under budget.

State Records - The body established by Public Records Act RCW 40.14.070 committee to review and approve schedules for the retention and disposition of all state government records. It includes the State Archivist and one representative each from the Offices of the State Attorney General, State Auditor, and Financial Management.


Appendix A

Acronyms and Definitions Subcontract Number - Request For Information field used for unique numbering by contractor

or sub contractor of record.

Submittal – Deliverable or documentation required to be submitted by a defined due date for approval or review.

Task Order – A document that allows work to be performed under a master agreement. A task order is issued by project and identifies a unique scope of work under a master agreement with a not-to-exceed value.

Terms – Agreed upon period of time in which payment will be received.

Transmittal – Coversheet for documentation being sent to external recipients.

Vital Records – Records containing information of a confidential or highly sensitive nature requiring destruction to eliminate the possibility of illegal or undesirable disclosure.

Washington Administrative Code (WAC) – Defines how state agencies shall organize and adopt rules and regulations. WACs and rules and regulations refer to agency guidelines adopted pursuant to the Administrative Procedure Act.

Work Breakdown Structure(WBS) – The structure from which work is performed and the schedule is based.

Work Item Number ( WIN) – A unique number assigned to a project by WSDOT.

Workflow – Sequence of tasks. A workflow describes the order of a set of tasks performed by various agents to complete a given procedure within an organization. A workflow may be an electronic, logically related set of work rules used to route documents, information, or tasks from one participant to another for action. It is used to track the document location in review process and to understand turnaround times.

Working File – File of rough notes, calculations, or preliminary drafts that is assembled and used in the preparation or analysis of other documents; usually retained in desk files or filed separately until project completion.



Appendix B

Livelink Collaborative Permissions Matrix


WIN-Doc Control WSDOT - ALL WIN-Doc Control WIN-Users

• See x x X x• See Contents x x X x

WIN-Doc Control WSDOT - ALL WIN-Doc Control WIN-Users

• See x x X x• See Contents x x X x• Modify x X x

. Edit Attributes X

. Add Items x X x

. Reserve X

. Delete Versions X- Delete X

. . Edit Permissions

WIN-Doc Control WIN-Users WIN-Doc Control WIN-Users

• See x x x x• See Contents x x x x• Modify x x x

. Edit Attributes x x x

. Add Items x x

. Reserve x x

. Delete Versions x x- Delete x x

. . Edit Permissions x x

WIN-Doc Control WIN-Users

• See x x• See Contents x x• Modify x x

. Edit Attributes x x

. Add Items x x

. Reserve x x

. Delete Versions x- Delete x

. . Edit Permissions x

Permission

• See

• See Contents

• Modify

. Edit Attributes

. Add Items

. Reserve

. Delete Versions

- Delete

. . Edit Permissions

n/a

You can edit the permissions that other users or groups have on the item.

Livelink Permissions Legend

You can apply Categories to the item or modify the item's Categories or the attributes they contain.

You can add items to the item. This permission is only available for container items.

You can reserve the item (to prevent other users from modifying it), modify it, and then unreserve the item. You can also add Version to items you unreserve. This permission is You can delete Version of the item. The Delete Version permission is only available for items that have versions, such as Documents and Workflow Maps.

Appendix B

You can see the item in its container but cannot open it.

You can open the item and see its contents.

You can rename the item and modify some of its properties. (For Container items, such as Folders, this includes the properties that are listed on the item's Presentation Properties tab.

Livelink Collaborative Permissions Matrix

STAGING DISCIPLINE FOLDERS

WORKING DISCIPLINE FOLDERS

PUBLISHED DISCIPLINE FOLDERS

UNFILED DISCIPLINE FOLDERS

UNFILED FOLDERS

NOTE: All permissions are nested within the "See" permission. This means that, for example, you cannot modify or delete an item that you cannot see.

Permissions

Permissions

Permissions

Permissions

With this permission . . .

PUBLISHED FOLDERS STAGING FOLDERS

WORKING FOLDERS

You can delete the item.


Appendix C

WSDOT ECM Process – Add New Users or Projects Workflow


Version 0.0

Effective November 18, 2008

Electronic Content Management (ECM) Process-

Add New Users or ProjectsDocument Originator/

Contributor

PMGStatewide Program Management Group

PC&R HQ ECM

Administrator

Regional ECM

Administrator

This process applies to ECM of capital

transportation project documents (particularly

access to project documents). This process is for

adding new users and projects.

Process map serves as an overview of the

process. Refer to the applicable detailed

procedure for more information.

ECMSample Text

Predefined

Process Process Decision Report Start/End Note

Legend

Data

The identified roles are provided as a guide to

assigning the tasks included in the PMRS processes

and procedures. Each region has the flexibility to

delegate the role of Region ECM Administrator (and

other functions) to the appropriate functional level to

meet project and project office needs and to

accommodate current and planned organizational

structures.

Send request for

user access to

Regional Admin

Assign license and

add user to Active

Directory group

Notify Regional

ECM

Administrator

Assign user(s) to

group(s) and to folders

in ECM per request

Does the user have

access to Livelink?

Yes

No

ECM add/

create

document

process

1.2

Does the project exist

in Livelink?

No

New Livelink user?

Yes

No

Send request for

new project to

Regional Admin

Create and assign

attributes to new

project in LIvelink

2.2

2.3

1.4

1.6

Notify ECM user(s)

1.7

1.5

1.1

1.33

2.1

Yes


Appendix D

Livelink Business Unit-Specific Guidelines



Appendix D

WSDOT Livelink Business Unit-Specific Guidelines Please go to the WSDOT Intranet Project Delivery webpage and click on the “Project Delivery” tab, then proceed to the “Policies and Procedures” section at: http://wwwi.wsdot.wa.gov/Projects/PMRS/


http://wwwi.wsdot.wa.gov/Projects/PMRS/