Difference between revisions of "Category:137 Construction Inspection Guidance for Records to be Maintained"

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m (Per CM, EPG 137.7 is new guidance to correspond to new article EPG 150 Quality Managment that establishes file organization for Quality Management projects. )
m (→‎137.6 Close Out Procedure for External CM SharePoint Quality Management Documents: change clarifies the time of move between external and internal couments in eProjects record center.)
 
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This article establishes policy for retaining project documentation.
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This article establishes policy for retaining project documentation.  
  
SiteManager is the official and primary repository for documentation relating to construction contracts.
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AASHTOWARE Project (AWP) is the official and primary repository for documentation relating to construction contracts.  
  
Supporting documentation is to be retained electronically in the Contract Information Archive as indicated by this article, except those documents designated by other policy as requiring a paper or original copy. An example of such policy is that relating to documentation of erosion control measures which are required by another agency.
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Supporting documentation is to be retained electronically in eProjects as indicated by this article, except those documents designated by other policy as requiring a paper or original copy. An example of such policy is that relating to notarized documents.  
  
Documents provided by the contractor may be accepted in electronic format, or may be scanned to an electronic format for storage. Internal documents may be prepared and saved directly to electronic format or may be scanned to electronic format.
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Documents provided by the contractor should be submitted in electronic format. Internal documents may be prepared and saved directly to electronic format or may be scanned to electronic format.  
  
Each document saved to the Contract Information Archive should be reopened to confirm that a readable copy has been successfully saved, and then the original paper document may be discarded. 
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When direct access to AWP is not possible at the project site, project data will be handwritten in a bound journal or approved form, or saved using an approved electronic means, and entered into AWP as soon as practical. The bound journal may be specific to a contract or may be for general use. A bound journal specific to a contract is to be retained when the contract work is complete, along with any other required paper documents. Approved forms, if used, may be discarded after correct entry into AWP has been confirmed.  
 
 
When direct access to SiteManager is not possible at the project site, project data will be handwritten in a bound journal or approved form, or saved using an approved electronic means, and entered into SiteManager as soon as practical. The bound journal may be specific to a contract or may be for general use. A bound journal specific to a contract is to be retained when the contract work is complete, along with any other required paper documents. Approved forms, if used, may be discarded after correct entry into SiteManager has been confirmed.
 
  
 
==137.1 Location==
 
==137.1 Location==
The official location for electronic contract document storage is V:\Contract Information Archive\ found at ghq_smcommon on the ghdata011 server. This location will be used by both district and headquarters personnel.
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The official location for electronic contract document storage is eProjects. This location will be used by both district and headquarters personnel.  
 
 
The structure is divided into District, Office and Contract subfolders:
 
[[image:137.10.1 Nov 2011.jpg|center|350px]]
 
 
 
Each District subfolder also has an “Offsystems” folder to allow for storage of files related to non-STIP projects.
 
[[image:137.10.2.jpg|right|215px]]
 
  
Each Office subfolder has a “Completed Projects” folderWhen a contract is completed by the headquarters’ final plans process, the contract subfolder will be moved into the “Complete Projects” folder by headquarters.  Write access to the “Completed Projects” folder is limited to a few individuals including the Final Plans Reviewer.
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Instead of using folders and subfolders, projects are stored within eProjects using document sets, which are assigned to each projectProjects let in combination will be tied together by the Contract ID. Construction and Materials staff will store all documents in the Primary Project document set. This primary project is identified in AASHTOWARE as the first project listed for the contract in the “State Project Number” field, which corresponds to the first project listed on the cover of the contract.
  
 
==137.2 Security==
 
==137.2 Security==
Access to office folders in the Contract Information Archive should be restricted to appropriate individualsEach district controls the level of access rights and should set its own policy for write access and designate the appropriate personnel. 
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Internal access to project documents in eProjects is not restricted.  Any authorized user can contribute to and view the project document set.  
 
 
Access is controlled using Microsoft Window’s security features, which are controlled in the folder properties. Folder properties can be accessed by either right clicking on the folder itself or by opening the folder in Explorer and using the file menu.  Once the properties window is displayed, the security tab displays each user’s and group’s access rights.  The Add and Remove buttons can be used to add and remove rights.  The checkboxes are used to set the level of rights a user has.
 
 
 
File Security has three levels:
 
 
 
:'''Read Only :'''  Users can navigate, view and open documents.
 
:'''Read/Write :''' Users can read, modify, add and delete documents.
 
:'''Full Control :''' Users can read/write and control access security to documents.
 
 
 
When setting up security, the options should be checked as shown below: 
 
:::::::'''Read Only Read/Write Full Control''' [[image:137.10.2 everyone.jpg|right|325px]]
 
:::[[image:137.10.2 read write.jpg|left|320px]]
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
The add button is used to add a new user to the security settings.  Once the add user window appears, the userid is input into the bottom box and enter is pressed to accept the userid.  To add multiple users at once a semicolon can be used to separate the userids.
 
 
 
Certain headquarters users need to access various folders.  The headquarters contract administration section will be responsible for enabling access to headquarters individuals as necessary.
 
 
 
''Office'' Folder.  Resident Engineers are given “Full Control” to their office’s folder.  The Resident Engineer is responsible for delegating access to the office staff as necessary.  Delegation of access may include transferring “Full Control” to other individuals.
 
 
 
''Completed Projects'' Folder.  All users have read access to this folder.  Write access will be limited to the headquarters final plans personnel.  Electronically stored contract files will be archived in accordance with Construction and Materials’ traditional paper storage guidelines.
 
 
 
''Offsystems'' Folder.  The Assistant District Construction and Materials Engineer will be given “Full Control” to their district’s offsystem folder.  Assistant District Construction and Materials Engineers are responsible for delegating access to their office staff as necessary.  Delegation of access may include transferring “Full Control” to other individuals.
 
  
 
==137.3 Naming Convention==
 
==137.3 Naming Convention==
Files should be appropriately named so that all users can identify the document without opening it. Names should also be uniform to facilitate locating documents.   All users are encouraged to practice care in how they name files.  Below is an example of how file naming can affect the usefulness of the storage structure.
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Files should be appropriately named so that all users can identify the document without opening it. Names should also be uniform to facilitate locating documents. All users are encouraged to practice care in how they name files.   
 
::{| style="margin: 1em auto 1em auto"
 
::{| style="margin: 1em auto 1em auto"
 
|-
 
|-
|[[image:137.3 poor.jpg|left|200px|thumb|<center>'''Poor Naming'''</center>]]||[[image:137.3 good.jpg|left|510px|thumb|<center>'''Good Naming'''</center>]]
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|[[image:137.3 poor.jpg|left|200px|thumb|<center>'''Poor Naming'''</center>]]||[[image:137.3 good 2021.jpg|left|455px|thumb|<center>'''Good Naming'''</center>]]
 
|}
 
|}
  
 
Some document types will have a naming convention dictated by division policy to promote statewide uniformity.  
 
Some document types will have a naming convention dictated by division policy to promote statewide uniformity.  
  
Existing filenames need not be updated.  New file filenames should follow this pattern:   
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New file filenames should follow this pattern:   
 
::{| style="margin: 1em auto 1em auto"
 
::{| style="margin: 1em auto 1em auto"
 
|-
 
|-
|Contract Number <underscore or space> ||
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|Contract Number < underscore or dash > ||150220_F01
 
|-
 
|-
|width="350"|File Type & Number < underscore or space >|| "Change Order 001", "Doc Record 3", "Estimate 0024", or other applicable term.
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|width="350"|File Type & Number < underscore >||"Change_Order_001", "Estimate_0024", or other applicable term.  
 
|-
 
|-
|Project Number < underscore or space > ||Not required if there is only one project on the contract, or the file applies to the whole contract.
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|Project Number < underscore > ||Not required if there is only one project on the contract, or the file applies to the whole contract.
 
|-
 
|-
 
|Additional Detail|| Any other information necessary to make filename unique.
 
|Additional Detail|| Any other information necessary to make filename unique.
 
|-
 
|-
|Examples: ||090101-606_Order Record 1_ Job J6I9988_Asphalt Quality 
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|Examples: ||181019-G05_J8P3088C_Storm_Water_Map_03112019
 
|-
 
|-
| ||080808-808_Materials Summary Letter 
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| ||181214-180518-F02_Contractor_Pay_Estimate_006_09302018\
 
|-
 
|-
| ||070707-707_Change Order 003_ Additional Erosion Control
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| ||C02_J4I3124_C220_Pine_Valley
 
|-
 
|-
| ||110510-B05_Estimate 0012_Period Ending 10-15-2011
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| ||190315-H03_Chg_Order_02_Supporting_Docs
 
|}
 
|}
  
:''Note:'' It is recognized that this provides redundant information because the file will be saved in the <contract number> folder, in the <file type> folder, and a user should be able to assume that the file belongs with that contract, if it is in the contract folderThis redundant file naming practice will keep the user from overwriting an existing file, if the user has inadvertently navigated to the wrong folder.
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The use of underscores in lieu of dashes or spaces allows the search of a word in eProjectsAlways separate with underscores. Use of camel-back type saving does not allow for word separation in a search and is not recommended, for example: 110510-B05ChangeOrderNo1This would be considered all one word when searching.
 
 
It is expected that the electronic location of the file (Drive, Path, Filename, Extension) will be embedded within documents, when possible, in accordance with the directive of the Office Procedures Task Force (OPTF – Sept. 30, 1999). Word documents and other files initiated by the districts can typically comply with this requirementSome reports and automated documents cannot. 
 
 
 
Example (to be placed on the last page of the letter, starting at left margin, below initials):  “V:\Contract Information Archive\D04\4CL\080229-403\Materials Summary\Summary of Materials.pdf”
 
  
 
The districts and/or offices may also impose naming conventions to promote uniformity.
 
The districts and/or offices may also impose naming conventions to promote uniformity.
  
==137.4 Subfolders==
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==137.4 File Types==
The Contract Information Archive folder contains a set of Recommended Standard and Optional folders. 
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It is encouraged that most documents be stored as pdf files when possible, however, it is not requiredeProjects uses versioning, protecting the integrity of the source document and allowing for collaboration.  Construction and Material documents that do require PDF are those that require signature. All Construction and Materials staff should have the ability to generate PDF files with the use of Adobe Pro or Bluebeam software.
[[image:137.4.jpg|right|450px]]
 
 
 
When a contract is activated, 17 default subfolders will be created by headquarters in each contract folder as shown.  These are the subfolders listed in the “New Folder.”  Some of these will have additional subfolders, for example, Civil Rights or Materials.
 
 
 
Subfolders should be created to segregate groups of documents as necessary, using the Recommended “Optional Folder.”  Adding subfolders should be considered when the number of similar or related files is 10 or more.
 
 
 
==137.5 File Types==
 
It is encouraged that most documents be stored as pdf files when possible.  PDF files are more difficult to edit than other types promoting integrity of the documents.
 
 
 
All Construction and Materials staff should have the ability to generate PDF files using the print function provided by the BlueBeam software.
 
 
 
In some cases, the file type to be saved may be dictated by policy when specific needs apply.
 
  
==137.6 Archiving==
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In some cases, the file type to be saved may be dictated by policy when specific needs apply.  
As part of the district final plans process, the district should ensure that each contract’s files are complete and complies with division and district policies.  Files of a temporary nature should be cleaned out of each contract’s folder before being sent to the division for final review.  
 
  
Once the headquarters final plans reviewer has completed the project, the electronic files will be moved to the completed folder where access is limited and a copy will be burnt to CD for offline storage.
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==137.5 Archiving==
 +
As part of the district final plans process, the district should ensure that each contract’s files are complete and complies with division and district policies. Files of a temporary nature should not remain in the project document set before being sent to the division for final review.  
  
==137.7 Close Out Procedure for [[:Category:150 Quality Management|Quality Management]]==
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Once the headquarters final plans reviewer has completed the project, the eProject document set will be marked as closed and be automatically moved to the Records Center.
  
If the project office has been diligent about ensuring that the contractor provided all of the required documents (test reports, checklists, material receiving reports, DIRs, etc.) prior to paying for the work each period, the project office can feel fairly confident that it has everything needed at closeout. The project office will still need to perform a general review of the collection of documents for completeness and get confirmation from the contractor that the record is complete so that the project office can then move the files to the Contract Information Archive (CIA).
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==137.6 Close Out Procedure for External CM SharePoint [[:Category:150 Quality Management|Quality Management]] Documents==
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If the project office has been diligent about ensuring that the contractor provided all of the required documents (test reports, checklists, material receiving reports, DIRs, etc.) prior to paying for the work each period, the project office can feel fairly confident that it has everything needed at closeout. The project office will still need to perform a general review of the collection of documents for completeness and get confirmation from the contractor that the record is complete.  
  
If the project office has not verified that all documents were submitted before paying for work, and the project office does not have an organized method of verifying that the record is complete, the project office will need to schedule a post-construction audit with contractor staff and go through all documents to make sure the project office has everything it needs before the DCE issues final acceptance.
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If the project office has not verified that all documents were submitted before paying for work, and the project office does not have an organized method of verifying that the record is complete, the project office will need to schedule a post-construction audit with contractor staff and go through all documents to make sure the project office has everything it needs before the DCE issues final acceptance.  
  
 
In either case, the project office might find that it is lacking in the number of tests that were required per the ITP. The project office should discuss that with the DCE and decide whether or not the missing tests or other documents warrant some sort of action, such as post-construction testing or some other verification from the contractor. The DCE may determine that the missing tests are insignificant and grant a waiver. Ensure to document any follow-up actions or waivers so that the project office has a record of that decision.  
 
In either case, the project office might find that it is lacking in the number of tests that were required per the ITP. The project office should discuss that with the DCE and decide whether or not the missing tests or other documents warrant some sort of action, such as post-construction testing or some other verification from the contractor. The DCE may determine that the missing tests are insignificant and grant a waiver. Ensure to document any follow-up actions or waivers so that the project office has a record of that decision.  
  
Once the project office has a complete record and all issues are resolved and documented, the project office is ready to move the contractor-generated files to permanent storage on the V drive under the Contract Information ArchiveTransfer all of the folders from SharePoint, or other contractor-furnished storage site, to the “Contractor Quality Management” sub-folder for the project in the CIA.  See [[:Category:101 Standard Forms#Moving Files from SharePoint to CIA|QRG “Moving Contract Files from MoDOT’s External SharePoint to V:\Contract Information Archive”]] for instructions on this process.
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Once the project has closed in AASHTOWARE (CICM date populated by Division), the external SharePoint project documents will automatically transfer to the eProjects Record Center with the Content Type of all documents as “CM – Contractor QM”.  This transfer happens immediatelyeProjects documents are moved to the Records Center 90 days following the population of the CICM date in AASHTOWARE.

Latest revision as of 14:49, 9 November 2022

This article establishes policy for retaining project documentation.

AASHTOWARE Project (AWP) is the official and primary repository for documentation relating to construction contracts.

Supporting documentation is to be retained electronically in eProjects as indicated by this article, except those documents designated by other policy as requiring a paper or original copy. An example of such policy is that relating to notarized documents.

Documents provided by the contractor should be submitted in electronic format. Internal documents may be prepared and saved directly to electronic format or may be scanned to electronic format.

When direct access to AWP is not possible at the project site, project data will be handwritten in a bound journal or approved form, or saved using an approved electronic means, and entered into AWP as soon as practical. The bound journal may be specific to a contract or may be for general use. A bound journal specific to a contract is to be retained when the contract work is complete, along with any other required paper documents. Approved forms, if used, may be discarded after correct entry into AWP has been confirmed.

137.1 Location

The official location for electronic contract document storage is eProjects. This location will be used by both district and headquarters personnel.

Instead of using folders and subfolders, projects are stored within eProjects using document sets, which are assigned to each project. Projects let in combination will be tied together by the Contract ID. Construction and Materials staff will store all documents in the Primary Project document set. This primary project is identified in AASHTOWARE as the first project listed for the contract in the “State Project Number” field, which corresponds to the first project listed on the cover of the contract.

137.2 Security

Internal access to project documents in eProjects is not restricted. Any authorized user can contribute to and view the project document set.

137.3 Naming Convention

Files should be appropriately named so that all users can identify the document without opening it. Names should also be uniform to facilitate locating documents. All users are encouraged to practice care in how they name files.

Poor Naming
Good Naming

Some document types will have a naming convention dictated by division policy to promote statewide uniformity.

New file filenames should follow this pattern:

Contract Number < underscore or dash > 150220_F01
File Type & Number < underscore > "Change_Order_001", "Estimate_0024", or other applicable term.
Project Number < underscore > Not required if there is only one project on the contract, or the file applies to the whole contract.
Additional Detail Any other information necessary to make filename unique.
Examples: 181019-G05_J8P3088C_Storm_Water_Map_03112019
181214-180518-F02_Contractor_Pay_Estimate_006_09302018\
C02_J4I3124_C220_Pine_Valley
190315-H03_Chg_Order_02_Supporting_Docs

The use of underscores in lieu of dashes or spaces allows the search of a word in eProjects. Always separate with underscores. Use of camel-back type saving does not allow for word separation in a search and is not recommended, for example: 110510-B05ChangeOrderNo1. This would be considered all one word when searching.

The districts and/or offices may also impose naming conventions to promote uniformity.

137.4 File Types

It is encouraged that most documents be stored as pdf files when possible, however, it is not required. eProjects uses versioning, protecting the integrity of the source document and allowing for collaboration. Construction and Material documents that do require PDF are those that require signature. All Construction and Materials staff should have the ability to generate PDF files with the use of Adobe Pro or Bluebeam software.

In some cases, the file type to be saved may be dictated by policy when specific needs apply.

137.5 Archiving

As part of the district final plans process, the district should ensure that each contract’s files are complete and complies with division and district policies. Files of a temporary nature should not remain in the project document set before being sent to the division for final review.

Once the headquarters final plans reviewer has completed the project, the eProject document set will be marked as closed and be automatically moved to the Records Center.

137.6 Close Out Procedure for External CM SharePoint Quality Management Documents

If the project office has been diligent about ensuring that the contractor provided all of the required documents (test reports, checklists, material receiving reports, DIRs, etc.) prior to paying for the work each period, the project office can feel fairly confident that it has everything needed at closeout. The project office will still need to perform a general review of the collection of documents for completeness and get confirmation from the contractor that the record is complete.

If the project office has not verified that all documents were submitted before paying for work, and the project office does not have an organized method of verifying that the record is complete, the project office will need to schedule a post-construction audit with contractor staff and go through all documents to make sure the project office has everything it needs before the DCE issues final acceptance.

In either case, the project office might find that it is lacking in the number of tests that were required per the ITP. The project office should discuss that with the DCE and decide whether or not the missing tests or other documents warrant some sort of action, such as post-construction testing or some other verification from the contractor. The DCE may determine that the missing tests are insignificant and grant a waiver. Ensure to document any follow-up actions or waivers so that the project office has a record of that decision.

Once the project has closed in AASHTOWARE (CICM date populated by Division), the external SharePoint project documents will automatically transfer to the eProjects Record Center with the Content Type of all documents as “CM – Contractor QM”. This transfer happens immediately. eProjects documents are moved to the Records Center 90 days following the population of the CICM date in AASHTOWARE.