Quy trinh quản ly hồ sơ dự án (project document control procedure)

SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 1 of 31

13/5/2017

TABLE OF CONTENT
1.

PURPOSE ..................................................................................................................................................... 4

2.

SCOPE ........................................................................................................................................................... 4

3.

REFERENCES .............................................................................................................................................. 4

4.

RESPONSIBILITIES .................................................................................................................................... 4

5.

6.

4.1.

QA Manager: .................................................................................................................................... 4

4.2.

Document Controller (DC) .............................................................................................................. 4

4.3.

Document Control Manager ........................................................................................................... 5

TERMS AND DEFINITIONS ....................................................................................................................... 5
5.1.

PMIS .................................................................................................................................................. 5

5.2.

Communication ................................................................................................................................ 5

5.3.

Technical document ........................................................................................................................ 5

5.4.

Abbreviation:..................................................................................................................................... 5

PROCEDURES ............................................................................................................................................. 5
6.1.

General requirements ..................................................................................................................... 5
6.1.1.

Plan.................................................................................................................................... 5

6.1.2.

Procedure ......................................................................................................................... 5

6.1.3.

Instruction & Record ....................................................................................................... 6

6.2.

Project Management Information System (PMIS) ...................................................................... 6

6.3.

Preparation on Documents ............................................................................................................ 6
6.3.1.

Documents preparation: ................................................................................................. 6

6.3.2.

Identification information ................................................................................................ 6

6.3.3.

Cover Format ................................................................................................................... 7

6.3.4.

Document Format............................................................................................................ 7

6.3.5.

Revised or Omission: ...................................................................................................... 8

6.3.6.

Project Document Numbering System ......................................................................... 9

6.4.

Internal Review and Approve of Documents ............................................................................. 12

6.5.

Means of Correspondence and Communication ...................................................................... 14
6.5.1.

Letter: .............................................................................................................................. 14

6.5.2.

Technical Document Transmittal: ............................................................................... 14

6.5.3.

Site Minutes: .................................................................................................................. 15


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 2 of 31

13/5/2017

6.5.4.

Records and Reports .................................................................................................... 16

6.5.5.

E-mails: ........................................................................................................................... 16

6.6.

Outgoing Correspondence and Transmittals ............................................................................ 16

6.7.

Incoming Correspondence and Transmittals............................................................................. 17

6.8.

Submission on Documents .......................................................................................................... 18

6.9.

6.8.1.

Submission Method....................................................................................................... 18

6.8.2.

Language ........................................................................................................................ 19

6.8.3.

Number of Submission of the Contractor’s Document ............................................ 19

6.8.4.

Flow of Correspondence .............................................................................................. 19

6.8.5.

Submission and Response Procedure....................................................................... 21

6.8.6.

The Engineer’s Comments and Contract’s actions .................................................. 22

6.8.7.

Controlled copy of quality system ............................................................................... 23

Document Control and Distribution ............................................................................................. 24
6.9.1.

Sending new revision and discarding old revision ................................................... 24

6.9.2.

Document revised or retired ........................................................................................ 25

6.10.

Handling of Obsolete or Revised Documents ........................................................................... 25

6.11.

Control of Records......................................................................................................................... 26

6.12.

Document Emission ...................................................................................................................... 27

6.13.

6.12.1.

Contractor documents issued for site construction .................................................. 27

6.12.2.

Flowchart for control of documents issued for site construction ............................ 27

Retention Time of Documents ..................................................................................................... 28

ATTACHMENT.

Attachment #1 – Flow chart for Document control procedure
Attachment #2 – Standard Cover Sheet Format
Attachment #3 – Standard Letter Format
Attachment #4 – Standard Technical Document Transmittal (Issue Copy) Format
Attachment #5 – Standard Request for Inspection and Survey Check (RISC) Format
Attachment #6 – Standard Site Minutes Format
Attachment #7 – Circulation sheet
Attachment #8 – Organization Chart (DC Team; Overall Organization Chart)
Attachment #9 – Correspondence Record (Outgoing, Incoming)
Attachment #10 – RISC Monitoring Record


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE
Attachment #11 – Current Reference Table for coding of Transmittal
Attachment #12 – Current Reference Table for coding of Drawings
Attachment #13 – Current Reference Table for coding of NCR
Attachment #14 – Current Reference Table for coding of RISC
Attachment #15 – Current Reference Table for coding of Letters

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 3 of 31

13/5/2017


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 4 of 31

13/5/2017

1. PURPOSE
The Objective of this procedure is to define the basic processes and tools to be implemented for
communication, correspondence to internal and external organization, control of all formal and
informal documents and data for SMC4 JV (Sumitomo - Cienco 4 Joint Venture) Project Management
Information System (PMIS) in the HCMC Railway Project. This Procedure also introduces, as
required in the Project Specifications, the approved Web Based Information Management System

(WBIMS) / Electronic Document Management System (EDMS) - and explains how to implement and
utilize its abilities.
2. SCOPE
The scope of this procedure covers the documents, correspondence control and communication
procedures.
3. REFERENCES
3.1. General and Particular Condition of Contract
3.2. Works Requirements with Appendix 6, Appendix 16.
3.3. Decree 15/2013/ND-CP on Quality Management of Construction.
3.4. The PMIS software (KPOINT) has been selected and consented by MAUR.
3.5. Project Quality Plan (Draft).
3.6. MAUR’s letter (Ref 3787/BQLDSDT-QLDA1 dated 14th December 2016) Delegating Authority in
implementation Manager for NJPT during the period of implementation of Contract Package 1a:
Civil - Underground section Km 0-132 to Km 0+615.
3.7. NJPT's Letter (ref LSMC4/NJPT/1611E-1223 dated 19th November 2016) Notification of NJPT
Line 1 Project Director cum CP1a Project Manager in for management of CP1a.
4. RESPONSIBILITIES
4.1. QA Manager:
- To ensure the documents are prepared by each discipline and correctively checked and
approved by the Project Manager (PM).
- All original copies are maintained in a central filing system maintained by the Document
Controller.
4.2. Document Controller (DC)
-

Classify according to the Contract requirements (i.e. for Review, for Approval, for
Information) and processed accordingly.
Distribute according to an agreed distribution, and that the transmittal and receipt of
controlled documents is acknowledged.
Originate, update and maintain accurate document control sheets and other relevant data

to be registered in the computerized system of document administration.
To handle, process and maintain representative copies of all forms used on the project site
and the master document list.
Allocate numbers in accordance with the project numbering requirements approved by
qualified personnel and marked with their approval status in accordance with the limits of
authority.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE
-

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 5 of 31

13/5/2017

Retain within a library location to ensure that original documents are securely stored, and
that copies may be borrowed in a controlled manner.

4.3. Document Control Manager
-

-

Responsible for receiving, indexing, circulating, and forwarding to Employer (MAUR),
Engineers (NJPT), Supplier / sub-Contractor’s data and keeping in file all hardcopy of letter,
transmittal, request for information etc.
Distribute to the appropriate recipients.
Register in a central register available to all potential users that allows the current status to
be checked.

5. TERMS AND DEFINITIONS
5.1. PMIS
-

PMIS is the Project Management Information System, on-line document management
system that allows multiple organizations to communicate in a controlled electronic
environment and replicates a hard copy set up.

-

PMIS provides an easy tool for tracking of document status and submission including
drawings, specifications, method statements, procedures, plans, reports, etc. it also pro v
ides automatic numbering and logging to correspondence and can generate correspondence
logs and reports at any point in time .

5.2. Communication
Activities including transfer of information or data to the internal and external organization or
interested parties.

5.3. Technical document
The technical documents include the contract documents, specifications, manual, standard
procedures, drawings, work instructions, data sheet, and record book etc.
5.4. Abbreviation:
- MAUR: Management Authority for Urban Railways
- PMU1: Project Management Unit 1
- PMIS: Project Management Information System
- NJPT: The Engineer, NJPT Association.
- WBIMS: web-based information management system
6. PROCEDURES
6.1. General requirements
6.1.1.

Plan

Plan documents will be approved by the Project Manager for internal and shall be submitted
to Engineer for review. All updates or revisions are similarly distributed during the life cycle
of the project.
6.1.2.

Procedure


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 6 of 31

13/5/2017

All Procedure documents will be approved by the relevant function manager for internal
and shall be submitted to Engineer for review and comment.
All updates or revisions are similarly distributed during the life cycle of the project.
6.1.3.

Instruction & Record

All Instruction & Records are prepared by the appropriate discipline personnel and approved
in accordance with specific procedural requirements.
These will be indexed and filed for ease of retrieval and made available for the final handover
stage to PMIS.
6.2. Project Management Information System (PMIS)
6.2.1. To ensure efficient information management of the project, the Engineer has determined
that a web-based information management system (WBIMS) will be the only recognized
method of transmittal for formal project correspondence, documents and information.
Where it is necessary to transmit original signed documents, these shall be an acceptable
form of correspondence only when they have been issued via PMIS first
6.2.2. The Contractor shall provide the project-wide use of PMIS during the Design and
Construction Phase and also the Defects Notification and Maintenance Period.

6.2.3. The PMIS will share with the Employer and the Engineer the use of a web-based
information management system to be provided by the Employer as specified in the Works
Requirements, for transmittal of formal correspondence, documents and information under
the Contract.
6.2.4. Once the configuration of PMIS is selected and consented by MAUR, the detail document
handling procedure on the system shall be added to the Project Document Control
Procedure, and will be explained to the relevant parties who share the system.
6.3. Preparation on Documents
6.3.1. Documents preparation:
It will be prepared legibly in accordance with related Works Requirements and shall be
prepared in English and Vietnamese language, except Drawings where Vietnamese
translation will be required only for some drawings which need consent/ approval of relevant
authorities of Viet Nam. It is applied for Document Level 1, 2, 3.
6.3.2. Identification information
The document will clearly identify document number, revision No., date, description and
authorization.
1)

Document No. :

2)

Rev. No: Rev. A, B, C...

3)

Total Number: 1 of 30, 2 of 30...

4)

Every page shall bear, besides a page number, the document number and issue
revision No.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 7 of 31

13/5/2017

5)

When a document will be revised and resubmitted, Contractor shall submit the
document in full set and on time.

6)

All referred documents and/or documents which must be read in conjunction with the

submission document shall be identified, with their valid issue.

7)

The originator shall be identified (e.g. name of the author).

6.3.3.

Cover Format

1)

Heading and name of client are on top, in capital, size 11.

2)

Name of the project is in bold letter, size 24.

3)

Content of document is in bold capital, size 18.

4)

Documents' reference number is in bold capital, size 14

5)

Company name: capital, size 14.

6)

Company's logo is in size 35x40 (WxH) mm.

7)

Address of the company is in normal letter, size 11.

6.3.4.
1)

Document Format
General regulations:
(1) Height of letter: applied size 11.
(2) Paper size A4 (A3 is used for table)
(3) Periods, semicolons, etc. should be put right after the letter.
(4) The space between paragraphs and headings is 1 line.
(5) Main headings: are placed in number’s order and the period is right after the
Heading, then a space, written in bold capital and underline the letters.
(6) For ex.: I. IN BOLD CAPITAL:
(7) Other headings: are placed in number’s order and the period is right after the
Heading, then a space, written in bold normal letters and underline the letters .
(8) For ex.: 1. In bold normal letter:

2)

Note:
(1) Notes of tables should be included in the table; in case if they are not able to be
included, they should be noted clearly that they are notes for which table.
(2) Notes are usually in italic and underline letters.

3)

Contents of the documents:
The basic structure described below provides guidance for technical document
(procedure, method statement, instruction):


Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

SMCC-CIENCO 4
JOINT VENTURE

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 8 of 31

13/5/2017

(1) PURPOSE
(2) SCOPE
(3) REFERENCES
(4) RESPONSIBILITIES

(5) TERMS AND DEFINITIONS
(6) PROCEDURE
(7) ATTACHMENT (TABLES, FIGURES, PROCESS MAP, FORMS)
4)

Feature of document:
(1) Classification of Sentences
The sentences shall be classified into three large steps as describe below:
-

Primary: 1, 2, 3...
Secondary: 1.1, 1.2, 1.3 ... 2.1, 2.2, 2.3...
Tertiary; 1.1.1, 1.1.2, 1.1.3... 2. 1.1, 2 .1.2, 2.1.3,
If more subdivide required ,
Subordinate: (1), (2), (3)..... or (a), (b), (c) ...
Sub-subordinate: 1), 2), 3)...... or a), b), c) ...

(2) Arrangement of sentences
Arrangement of sentences shall conform as below:
Example:
1.

PROCEDURE
1.1 Preparation document
1.1.1

Document application
1)

This procedure shall be....

(1) Following the specification...

6.3.5.

Revised or Omission:

(1) Omissions clause will be written on remark in amendment. (Deleted words/sentences
will be marked as strikethrough)
(2) Revised words/sentences will be written in Italic and underline.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 9 of 31

13/5/2017

6.3.6. Project Document Numbering System

1)

For Technical Document Transmittal

UMRTL1 - CP1a - BT - DWA - MS - 00001 - A









Project Title: UMRTL1



Contract Package: CP1a



Location Code:
BT – Ben Thanh Station; LL – Le Loi Street; E1 – Entrance 1; E2 – Entrance
2; E3 – Entrance 3; E4 – Entrance 4; E5 – Entrance 5; E6 – Entrance 6; OT
– Other location or General items
For list of current reference code please see attachment #11



Activity
DWA – D-Wall; GWA – Guide Wall; GNR – General matters; SUV – Survey;
QUA – Quality …
For list of current reference code please see attachment #11



Type of Document
MS – Method Statement; MB – Mobilization; SC – Subcontractor ; PL – Plan;
WD – Working Drawing; RP – Report; LT – Laboratory Data & Test result;
MA – Material; FM – Form; SD – Shop Drawing; PC – Procedures; IT –
Inspection and Test Plan…
For list of current reference code please see attachment #11



Sequential Number
From 00001 to 99999 for each type of document.



Revision
A – First Submission; B – Second Submission ; C – Third Submission ... so
on for resubmission

Note: New code for , , and  will be submitted/supplemented for Engineer’s consent.
2)

Drawing Numbering System:

UMRTL1 - CP1a - BT - DSV - CD - 00001 - A











Project code: UMRTL1
Contract Package: CP1a
Location Code:


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 10 of 31

13/5/2017

BT – Ben Thanh Station; LL – Le Loi Street; E1 – Entrance 1; E2 –
Entrance 2; E3 – Entrance 3; E4 – Entrance 4; E5 – Entrance 5; E6 –
Entrance 6; OT – Other location or General items
For list of current reference code please see attachment #12



Activity
DSV – Detection Survey; PSB – Project Signboard; DWG – D-wall
General; DWR – D-wall rebar; GWR – Guide Wall; SHG – Shoring
System; SHD – Shoring Details …
For list of current reference code please see attachment #12



Type of drawing
CD – Construction Drawing; AB - As-built Drawing;
Currently, we only apply CD and AB for drawing.( please see attachment
#12)



Sequential Number
From 00001 to 99999 for each type of drawing.



Revision
A – First Submission; B – Second Submission ; C – Third Submission ...
so on for resubmission

Note:
-

K-Point system has reserved code(s) for .

-

New code for  and  will be submitted/supplemented for Engineer’s consent.

3)

Numbering System for Non-conformity Report (NCR)

UMRTL1 - CP1a - BT - GNR - NCR - 10001 - A









Project code: UMRTL1




Contract Package: CP1a



Activity:
DWA – D-Wall; GWA – Guide Wall; GNR – General matters;…
For list of current reference code please see attachment #13



Type of document: NCR

Location Code:
BT – Ben Thanh Station; LL – Le Loi Street; E1 – Entrance 1; E2 –
Entrance 2; E3 – Entrance 3; E4 – Entrance 4; E5 – Entrance 5; E6 –
Entrance 6; OT – Other location or General items
For list of current reference code please see attachment #13


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 11 of 31

13/5/2017



Sequential Number:
The first digit is Subcontractor code: 1 for Bachy Soletanche, 2 for 499
Co., 3 for 415 Co., 2, 3, 4 and so on will be assigned to specific Subcontractor when the Non-conformity occur …
From 0001 to 9999
For list of current reference code please see attachment #13



Revision
A – First Submission; B – Second Submission ; C – Third Submission ...
so on for resubmission

4)

Numbering System for “Request for Inspection & Survey check” (RISC):

UMRTL1 - CP1a - BT - DSV - RISC - 00001 - A










Project code: UMRTL1



Contract Package: CP1a



Location Code:
BT – Ben Thanh Station; LL – Le Loi Street; E1 – Entrance 1; E2 –
Entrance 2; E3 – Entrance 3; E4 – Entrance 4; E5 – Entrance 5; E6 –
Entrance 6; OT – Other location or General items
For list of current reference code please see attachment #14



Activity
DSV – Detection Survey; PSB – Project Signboard; DWG – D-wall; GWR
– Guide Wall; …
For list of current reference code please see attachment #14



Type: RISC



Sequential Number
From 00001 to 99999 for each type of RISC.



Revision
A – First Submission; B – Second Submission ; C – Third Submission ...
so on for resubmission

Note: Contractor will consult with Engineer on new code for .

5)

Letter numbering

UMRTL1 - CP1a - LTR - MAUR - 00001 - 16







SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

Project Title: UMRTL1



Contract Package: CP1a




Document Type: LTR
Receiver Code:

UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 12 of 31

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE



Doc.No.:

13/5/2017

MAUR – Management Authority of Urban Railways
PMU1 – Project Management Unit No. 1
NJPT – NJPT Association
LTOT – Letter to others (for case letter to many receivers at same time,
i.e: Subcontractors, authorities…)
BSVC – Bachy Soletanche Company
For list of current reference code please see attachment #15



Sequential Number
From 00001 to 99999 for each receiver



Last two (2) digits of current year: 16 – 2016; 17 - 2017

Note: Contractor will consult with Engineer on new code for .
6.4. Internal Review and Approve of Documents
6.4.1. Prior to submit, documents shall be reviewed and approved by Contractor's internal
authorized personnel for adequacy as follows
Table 1: Prepared, reviewed and approve authority person of the documents
Document Type

Prepared by

Reviewed by

Approved by

All Quality Plans (Project
Quality Plan, Site Quality
Management Plan, …)

Quality Engineer

Quality Manager
Design Manager
Construction Manager

Project
Manager

Material Document (Batching
Plant, sources, Frequency
testing, … )

Material Engineer

Quality Manager

Design Quality Plan

Design Engineer

Design Manager
Quality Manager

Safety Plan
Environment Plan

Safety/Environment
Engineer

Safety Manager
Environment Manager
Construction Manager

Plan / Procedure

Designated
Personnel

Responsible Team
Manager

Project
Manager

Project
Manager

For example:
Road Occupation Plan is designated to Planning Staff for preparation and will be
checked by Construction Manager then finally be approved by Project Manager
Method Statement
ITP

Designated Personnel

Responsible Team
Manager

Project
Manager


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

Prepared by

UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 13 of 31

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE
Document Type

Doc.No.:

Reviewed by

13/5/2017

Approved by

For example:
ITP of D-wall construction is designated to Construction Team for preparation and will be
checked by Construction Manager then finally be approved by Project Manager.
ITP of Material is designated to Material Engineer for preparation and will be checked by
Quality Manager then finally be approved by Project Manager.
Report, Diary program,
Schedule....

Assigned Project
Personnel

Assigned Team
Manager

Project
Manager

For example:
IWP is designated to Coordinator for preparation and is checked by Deputy Project
Manager then finally be approved by Project Manager
<Flow chart for internal checking before submission>
REJECT
Checked by
Designated TeamLeader / Manager

Prepared by
Designated Staff

OK

Approved by Project
Manager / authorized
Manager

OK

Submit to Employer /
Engineer

REJECT

6.4.2. For internal check, cross check is necessary to keep the quality of document submission.
Cross checking is to find out each mistakes may happen and human error of the document.
Cross check shall be done by person of each section before final review and approval.
6.4.3. All correspondences related to services under the HCMC Railway CP1a Project shall be
carried out between the Project Managers of relevant parties involved in the project. All
entities are required to maintain their own log to record incoming and outgoing
correspondence numbers.
6.4.4. The correspondence shall be in English and Vietnamese language and shall be limited to
one subject as far as practical. Dates shall be written in the following manner: (day, month
and year).
6.4.5. All correspondences shall principally be signed by and through the authorized Project
Manager. All correspondence shall be date stamped on receipt. The date stamp shall make
provision for a distribution list.

6.4.6. All official communication with Employer (MAUR) and The Engineer (NJPT) on this project
should be sent via PMIS. Official Communication shall be done via a PMIS Mail. Other
means of documentation transfer including email or faxes (Not generated by PMIS) are
only acceptable for unofficial communication with the Engineer and the Employer.
However, should e-mail correspondence wish to be officially formalized, a PMIS mail,
attaching the piece of email, should be generated and issued to the relevant parties
accordingly.
6.4.7. Accounting or administrative correspondences are not included in PMIS due to their
confidential in nature.
6.4.8. All documents treated as project records should be submitted via PMIS


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 14 of 31

13/5/2017

6.4.9. An exception to the use of PMIS for official communication is the RISC which shall
generally be processed by hand with e-mail. RISC shall be normally submitted 24 48 hours
before the inspection date and time. The exceptional In case of urgent shall be decided by
the Engineer and will be treated on ad-hoc basic. The signed RISC after returned by the
Engineer will be scanned and kept by Contractor for submission to the Engineer for
payment purposes. The scanned file of the signed RISC will be send to the Engineer when
the activity is inspected and signed. Registers providing details and status of RISC shall
be maintained and will be submitted weekly by e-mail to the Engineer for information.
<Flow chart for RISC process>
REJECT
Checked by incharged construction
Engineer

Required RISC

OK

Approved by
Construction Manager

OK

Submit to Engineer for
agree to inspect

REJECT

Attach into backup
data for IPC purpose
when required

Note:

6.5.

Contractor keep
original RISC

Signed on original
RISC after successful
inspection

Functional Manager designate to department manager (i.e. Construction Manager,
Design Manager, Engineering Department Manager, M&E Manager, Quality Manager,
Administration Manager and Document Control Manager).

Means of Correspondence and Communication

6.5.1. Letter:
Attachment # 3
1) The letter shall be used for project general and contractual correspondence only. Each
letter shall be limited to one (1) subject whenever applicable, and all letters shall be
mailed by the fastest method.
2) Relevant parties can use their own letterhead for general and contractual
correspondence.
6.5.2. Technical Document Transmittal:
Attachment # 4
1) Technical Document transmittals shall accompany Technical Document, drawings,
requisitions and other self-explanatory documents. Receivers of routine transmittals
shall confirm their receipt. All Transmittals shall be assigned a unique reference

number in accordance with the Project Numbering System.
2)

Transmission of documentation, other than correspondence, from the Contractor to the
Employer (MAUR) / The Engineer (NJPT) and from Employer / The Engineer to
Contractor shall be under a transmittal form.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 15 of 31

13/5/2017

3)

Dispatch of documents to Employer / The Engineer shall be by hand, courier service,
fax machine, where applicable, for experience purposes. The addressee will return a

copy of transmittal with date of receipt and signature.

4)

The transmittal shall include, in addition to the identification numbers, also the number
of copies, title and revision number of the documents which are being transmitted
together with the purpose for which the document is transmitted.

5)

Transmittals shall be scanned, registered and sent through the PMIS.

6)

Check box classification:
(1) "For Information" is official information produced by the Contractor and submit to
the Employer and The Engineer, and they do not need to give their comment.
Example: For Subsidiaries that Contractor will mobilize to site, it is not required
for the Engineer’s approval. However, Contractor shall submit that subsidiary’s
Company Profile to the Engineer “for information”.
(2) "For Record" is the official record produced by the Contractor and submit to the
Employer and The Engineer, and they can keep it as record.
Example: MOMs or correspondence document with related parties shall be sent to
MAUR / NJPT for record.
(3) "For Review and Comment" is official document produced by the Contractor and
submit to the Employer and The Engineer to get their review and comment.
Example: All technical documents such as technical drawing, ITP, Plan, procedure
...shall be sent to MAUR / NJPT for review and comment to get their consent.
(4) "For No Objection” is official document produced by the Contractor and submit to
the Employer and The Engineer to get their "No Objection ".

Example: supporting document for interim payment acceptance or Certification for
acceptance of construction parts... will be sent to NJPT for No Objection.
(5) "For Other" is official document produced by the Contractor and submit to the
Employer and The Engineer for other purposes except for classification mentioned
above.

6.5.3. Site Minutes:
Attachment # 6
1)

All major site meetings / checking among concerned parties shall be recorded by the
Contractor as Site Minutes and issued to respective parties by the author as soon as
practicable.

2)

The time frame of these Site Minutes issuance should be specified after site checking
/ meeting within 3 - 5 days.

3)

These Site Minutes shall be signed by the Project Manager and/or concerned
Manager/ representative of each party which participated in the meeting for
confirmation and prior to distribution.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project

Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 16 of 31

13/5/2017

6.5.4. Records and Reports
1)

Reports and records are to be submitted via PMIS to the Engineer and shall be in a
format agreed by the Engineer. Reports and records shall be signed prior to submission
by the Contractor’s agent or by a representative authorized by the Contractor.

2)

The Contractor shall submit via PMIS a Project document control procedure to the
Engineer for review, which shall include but not be limited to the following:
(1) A document approval system which shall specify the level of authority for approval
of all documents and material before submission to the Engineer;
(2) A system of issuing documents to ensure that pertinent documents are issued to
all appropriate parties
(3) A document change or re-issue system to ensure that only the latest revision of a

document can be used ; and
(4) A submission identification system which identifies each submission uniquely by
the following :
(a) Contract number ;
(b) Discipline ;
(c) Submission number ; and
(d) Revision indicator.
(5) Project records will eventually be used by the Employer to manage, operate and
maintain the Works after the completion of the Project under construction and for
future reference.
(6) The Contractor shall submit the documents as required by the Engineer as Project
records in full and on time. The Engineer shall determine the adequacy of the
Project record.

6.5.5. E-mails:
E-mail is considered as an informal and personal communication only.
6.6.

Outgoing Correspondence and Transmittals

6.6.1. All outgoing correspondence from the Contractor to The Engineer or The Employer should
be issued using PMIS. Hard copy submission with approved signature on cover
transmittal (at least 3 copies for Engineer is Contract Requirement) is currently running in
parallel with PMIS
6.6.2. Together with the hard copy, the Contractor also to prepare 02 sets of CD containing the
PDF files of documents or CAD data drawings to be submitted.
6.6.3. Correspondence with other parties is currently being handled by faxes and handdeliver/post-mail with email.
6.6.4. The Flow diagram below shows the Contractor’s physical flow for outgoing
Correspondence or documents from drafting to sending.
Outgoing Documents

Letter – Document Transmittal
Register for Outgoing Correspondence /
Document Transmittal



SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 17 of 31

13/5/2017

Draft Letter by Staff

Checked by Functional Managers

Accepted by DPM


Signed by PM

Scan and send letter by e-mail (PMIS)

Send Original Letter and File Copy
6.6.5. Document Controller will make a hard copy of all outgoing correspondence and transmittal
for tracking and record. A record of outgoing correspondence and transmittal shall be
maintained. (Attachment # 9)
*The procedure will be further described in In-coming and Out-going Correspondence
Procedure and will be submitted separately.
6.7.

Incoming Correspondence and Transmittals

6.7.1. All incoming correspondences will be recorded in Incoming
6.7.2. Contractor’s incoming from subcontractors are received through hard copy delivery or fax
with email.
6.7.3. The incoming mails are manually registered in the relevant record. Circulation of incoming
emails is done through defined list of receivers within each organization. Hard copy
circulation is handled by the Project Manager to concerned personnel. Document
Controller is responsible to forward all the above-mentioned mails to concerned
personnel.
All incoming mails have to be scanned to PDF file as attachment to a registered mail in
the respective level.
6.7.4. The Flow diagram below shows the Contractor’s physical flow for incoming mail or
documents from receiving to required action.
Incoming Documents
Letter – Document Transmittal
Receive, Stamped received. Date,
Circulate and Scan by Document

Controller (DC).

Send to PM, DPM for circulation /
information / action (by E-mail in advance,
if necessary)


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 18 of 31

13/5/2017


PM, DPM instruct which Dept. in-charge.
Document Control Manager add more
Dept./personal to involve, if necessary.


Document Controller Circulate to
All Dept.

Dept. in-charge receive information and
prepare for reply, if necessary.
6.7.5. Document Controller will make a hard copy of all incoming correspondence and
transmittal for tracking and record. A record of incoming correspondence and transmittal
shall be maintained. (Attachment # 9)
*The procedure will be further described in In-coming and Out-going Correspondence
Procedure and will be submitted separately.
6.8.
Submission on Documents
6.8.1. Submission Method
1)

All submitting of the Official/Technical Documents shall be made by Hard Copy with
Electronic PDF Copy. Submission of Hard Copy shall be made by Hand or by courier
service. Submission of Electronic PDF copy shall be made by PMIS (email is
acceptable) and/or by CD.
When the Contractor submit any documents and drawings to the Engineer for his check
and review, the Contractor shall prepare three (3) sets of hard copies with two (2) sets
of CDs containing the PDF files of submitting documents and/or CAD data of submitting
drawings.

2)

Requirement s Submission
(1) Except where specific procedures are given for certain items, all submissions shall
be submitted and reviewed according to the procedure laid down in the following
clauses.

(2) For each stage of submittal, the Contractor shall prepare a submission document
carrying the date of submission, the submission reference number, the submission
title, the stage of submission (e.g. Inception Report, Technical Design, etc.), and
the authorized signature of the Contractor’s responsible engineer to confirm that,
in the opinion of the Contractor, the submission: 1) complies with all relevant
requirements of the Works Requirements.
(3) The type of documents that Contractor shall submit to MAUR and NJPT such as
letter, technical documents, request for information, RISC, plan, procedure, minute,
record, report ... time by time following Project program and Employer requirement.

3)

Regulation for document re-submission
(1) The Response time for re-submitted document within 14 days after receiving the
comment sheet from the Engineer for previous submission.


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 19 of 31

13/5/2017

(2) No re-submission from Contractor shall be made without the comment sheet from
the Engineer.
(3) In case the document has received comment is Notice of No Objection (NONO)
from the Engineer, understand that the document is closed.
(4) On an ad-hoc basic, the Engineer will decide whether a comment can be developed
in next submission. In such case, the immediate revise for resubmission is not
necessary.
(5) Normally, any changing of site condition and/or construction activity shall have
Engineer consent before commencement. The related document shall be revised
accordingly.
(6) Amendment identification for resubmission:
- Amendment identification in resubmission shall be marked in Italic and Underline.
- Number of the submission shall match with the time of submission (xxxxx-A for
1st establish, xxxxx-B for 2nd submission,…)
- The Remark Page of the Transmittal shall clearly mention the time of submission
(1st or 2nd or 3rd…) with basic of the revision (Work Requirement’s Clause for 1st
submission, and Engineer’s comment sheet for revision).
- The Amendment sheet with clear identification to previous comment of Engineer
shall be included for resubmission.
4)

For drawing submission:
Contractor shall follow these steps:

(1) The Contractor shall submit a drawing register to the Engineer in electronic copy

and hard copy with each submission of drawings and at an interval agreed by the
Engineer.
(2) The drawing register shall be in a format submitted for review and agreed without
objection by the Engineer and shall include each document reference number,
version, date, title and data-file name.
6.8.2. Language
The documents (Level 1, Level 2 and level 3) shall be prepared and submitted in English
and Vietnamese.
6.8.3. Number of Submission of the Contractor’s Document
1)

Number of submission of the Contractor’s documents shall be the same as those
specified in the Contract.

2)

Any documents and drawings are submit to the Engineer for his check and review, the
Contractor prepare six (3) sets of hard copies with two (2) sets COs containing the PDF
files of submitting documents and CAD data of submitting drawings.

3)

In case the Engineer need additional copies of the Contract Document for their
approval process, necessary number of the document will be informed in each case
and the Contractor shall submit accordingly.

6.8.4. Flow of Correspondence
1)

Submission of Official Document from the Employer to the Contractor: (Refer Figure 1)

SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 20 of 31

13/5/2017

(1) The official documents categorized as level 1 shall be submitted by the Employer
(MAUR) under the name of MAUR’s Director to the Contractor with C.C to NJPT
Head office (to Project Director, with attachments). NJPT Head Office will forward
the documents to NJPT Site Office (to Project Manager)
(2) The official document categorized as Level 2 shall be submitted by the CP1a
Project Manager of NJPT to the Contractor with C.C to MAUR (the Director, w/o
attachments), PMU1 (to Director, with attachments)
(3) Requirement for attachment in C.C correspondence is as shown in the Table 1.
Table 1: Requirement of Attachment in C.C. for the Official Documents Submitted by the Employer

Sender

For Level 1 Items

For Level 2 Items

For Level3 Items

MAUR

NJPT Site Office

NJPT Site Office

W/o Attachments

W/o Attachments

C.C to MAUR
C.C. to PMU 1

With Attachments

With Attachments

W/o Attachments

C.C to NJPT H/Q

With Attachments

With Attachments

W/o Attachments

SMC4 JV
Figure 1: Flow of Official Correspondence from the Employer to the Contractor
2) Submission of Official Document from the Contractor to the Employer (Figure 2)
(1) All official documents categorized as those meeting Level I shall be submitted by
the Contractor to MAUR (Director/Mr. Quang) and the NJPT Site Office (to Project
Manager/CP1a), with C.C to PMU1 (Director/Mr. Hoa) and C.C. the NJPT Head
Office (Project Director)
(2) All official documents categorized as those meeting Levels 2 and 3 shall be
submitted by the Contractor to the NJPT site Office (to Project Manager/CP1a) with


SMCC-CIENCO 4
JOINT VENTURE

Ho Chi Minh City Urban Railway Construction Project
Ben Thanh - Suoi Tien Section (Line 1)
Contract Package 1a: Civil (Underground Section
from KM 0-132 to KM 0+615)

Doc.No.:
UMRTL1-CP1a-OT-QUAPC-00001-E

Rev. Date:
Page 21 of 31

TITLE: PROJECT DOCUMENT CONTROL PROCEDURE

13/5/2017

C.C to MAUR (Director/Mr. Quang), PMU 1 (Director/Mr. Hoa) and C.C to NJPT
Head Office (Project Director).
(3) Requirement for attachment in C.C. correspondence is as shown in the table 2
below.
Table 2: Requirement of attachment in C.C. for the Official Documents Submitted by the
Contractor
For Level 1 Items

For Level 2 Items

Sender

For Level 3 Items

SMC4 JV

Receiver

MAUR

NJPT Site Office

C.C to MAUR

Not Applicable

W/O Attachments

W/O Attachments

C.C.to PMU I

With Attachments

With Attachments

W/O Attachments

C.C to NJPT Head Office

With Attachments

With Attachments

W/O Attachments

C.C to NJPT Site Office

With Attachments

Not Applicable

Not Applicable

SMC4 JV

Figure 2: Flow of Official Correspondence from the Contractor to the Employer
6.8.5. Submission and Response Procedure
1)

Except where specific procedures are given for certain items, all submissions shall be
submitted and reviewed according to the procedure laid down in Clause 8 of Contract
Document Part 2 Volume 1/5 Section VI Works Requirements – General.

2)

Each submission shall be accompanied by a brief introduction to explain which
subsystem, part or section of the Works to which the submission refers, listing the