A-B/RD Policies and Procedures
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General Department
Department Policies and Procedures
Title
Document Code No.
RPM X-X DP
Policies and Procedures for Creating, Organizing, Storing,
Publishing, and Providing Access to Permanent Construction
Records of the King County Wastewater Treatment Division
Department/Issuing Agency
Effective Date.
October 1, 2007
Department of Natural Resources and Parks, Wastewater Treatment Division
Approved
Pam Elardo, Acting Section Manager
Table of Contents
1.
POLICIES AND PROCEDURES FOR CREATING, ORGANIZING, STORING, PUBLISHING, AND
PROVIDING ACCESS TO PERMANENT CONSTRUCTION RECORDS OF THE KING COUNTY
WASTEWATER TREATMENT DIVISION ....................................................................................................3
1.1.
1.2.
EFFECTIVE DATE .....................................................................................................................................3
TYPE OF ACTION......................................................................................................................................3
2.
PURPOSE .............................................................................................................................................................3
3.
ORGANIZATIONS AFFECTED .......................................................................................................................3
4.
REFERENCES .....................................................................................................................................................3
4.1.
4.2.
WASTEWATER TREATMENT DIVISION RECORD DRAWINGS/AS-BUILT POLICY OF MARCH, 2004 ................3
ATTACHMENT A: ILLUSTRATION OF NEW AS-BUILDING/RECORD DRAWINGS PROCESS, 10/1/2007 .............3
5.
DEFINITIONS......................................................................................................................................................3
6.
POLICIES .............................................................................................................................................................4
6.1.
6.2.
6.3.
6.4.
7.
ALLOW A SECOND CAD SOFTWARE STANDARD ...........................................................................................4
BUILD A DOCUMENT CATALOGING AND INDEXING SYSTEM ..........................................................................4
ENSURE CONTINUITY OF OPERATIONS...........................................................................................................5
APPOINT AN AS-BUILDING COORDINATOR ....................................................................................................5
PROCEDURES ....................................................................................................................................................5
7.1.
CONTRACTED PROJECTS ...............................................................................................................................5
7.1.1. Project inception...................................................................................................................................5
A. Enter project in drawing catalog system ...............................................................................................5
B. Project-specific as-built plan ................................................................................................................5
C. Catalog conformed construction documents .........................................................................................5
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A-B/RD Policies and Procedures
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D. Convert conformed construction documents to PDF ............................................................................5
7.1.2. Construction kick-off ............................................................................................................................5
7.1.3. Construction .........................................................................................................................................5
A. Update as-building drawings monthly ..................................................................................................5
B. Create monthly “as-built” record (available on request) ......................................................................6
C. Release progress payment for completed as-building progress ............................................................6
7.1.4. Construction Close-Out ........................................................................................................................6
A. Complete record drawings ....................................................................................................................6
B. Update catalog to show record drawings ..............................................................................................6
C. Release progress payment for publishing completed record drawings .................................................6
7.1.5. Project Completion ...............................................................................................................................6
A. Convert record drawings and other permanent construction records to PDF .......................................6
B. Catalog record drawings and other permanent construction records ....................................................6
7.2. INCIDENTAL MAINTENANCE PROJECTS..........................................................................................................6
7.2.1. Project inception...................................................................................................................................6
A. Set as-building requirements with project staff ....................................................................................6
B. Begin catalog entry ...............................................................................................................................6
7.2.2. Construction .........................................................................................................................................6
7.2.3. Completion ...........................................................................................................................................7
A. Complete markups and verify information ...........................................................................................7
B. Update facility drawing ........................................................................................................................7
7.3. RECORDS STORAGE AND USER ACCESS .........................................................................................................7
7.3.1. Storage..................................................................................................................................................7
A. Digital records ......................................................................................................................................7
B. Paper records ........................................................................................................................................7
7.3.2. Publishing .............................................................................................................................................7
A. Updates drawing catalog entries ...........................................................................................................7
B. Integrates keyword information and creates the project index entry ....................................................7
C. Enters digital and paper drawings into the WTD records repository ....................................................7
D. Integrates all historical site records and creates or updates facility drawings ......................................7
7.3.3. User access ...........................................................................................................................................7
A. Digital and paper documents ................................................................................................................7
B. Index and catalog entries ......................................................................................................................7
C. Indexing system ....................................................................................................................................7
D. Records updates ....................................................................................................................................7
7.3.4. Compliance with applicable laws and standards .................................................................................7
8.
APPENDICES ......................................................................................................................................................9
8.1.
8.2.
ACRONYMS...................................................................................................................................................9
ATTACHMENT A: ILLUSTRATION OF NEW AS-BUILDING/RECORD DRAWINGS PROCESS (IN WORK)............ 10
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1. POLICIES AND PROCEDURES FOR CREATING, ORGANIZING, STORING,
PUBLISHING, AND PROVIDING ACCESS TO PERMANENT CONSTRUCTION
RECORDS OF THE KING COUNTY WASTEWATER TREATMENT DIVISION
1.1. EFFECTIVE DATE
10 days after approval
1.2. TYPE OF ACTION
Revise the King County Wastewater Treatment Division’s as-building activities and record
drawings policies. This policy replaces the “Wastewater Treatment Division Record
Drawings/As-Built Policy of March, 2004.”
2. PURPOSE
To revise, clarify, and expand the facility drawings, record drawings, and as-building activities and
policies of King County Wastewater Treatment Division (WTD) so that employees and outside
contractors and consultants will finish and submit all the documents needed to reflect their work
accurately on every completed project. Such documents may include record drawings, other drawings,
construction documents, photographs, and other recorded information. These new policies involve
permanent records and fully comply with all legal requirements for archival-records storage and
continuity of operations. The new policies establish a cataloging system and index for drawings and
contracts so that WTD will have record drawings and facility drawings that are produced on time in an
organized way, and so that WTD employees will know and can show exactly “what we have and where it
is” in constructed facilities.
3. ORGANIZATIONS AFFECTED
King County Department of Natural Resources Wastewater Treatment Division
4. REFERENCES
4.1. Wastewater Treatment Division Record Drawings/As-Built Policy of March, 2004
The former WTD policy statement is available at this site:
\\wtd_masters\design and engineering\as-built policy\AsBuiltPolicyMar04.pdf
4.2. Attachment A: Illustration of new As-Building/Record Drawings process, 10/1/2007
5. DEFINITIONS
Term
Definition
Archival
Pertaining to records that are legally required to be kept permanently
As-building
The process of capturing and recording progress on a project by marking up
drawings or other documents to produce record drawings
As-built
An obsolete legal term for a record drawing. WTD opens itself for liability if it
uses this term because a facility is only “as-built” at a particular moment
Cataloging
Entering key word information from a project into a database that is then used to
create an index
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Term
Definition
Conformed
construction
documents
Bid documents and modifications such as addenda that are created before receiving
bids
Contracted
projects
Projects that WTD sends out for competitive bids from contractors
Facility drawing
A legal term for a set of drawings that show the state of a facility at any given time
Incidental
maintenance
projects
Projects that WTD either assigns as work orders to “small-works” contractors or
assigns to its own “in-house” operations and maintenance staff, Also known as
small works and in-house projects
Index
The result of integrating catalog entries to make all related materials available from
one inquiry
Permanent
construction
records
These include original and conformed drawings, contracts, and other important
construction-specific documents that are created during a construction project
Program control
Activities and software that enforces conformance to all as-building productquality standards and resolve technical conflicts in the as-building process
NAG
The “non-assuming guide” who monitors activities covered by this policy to
ensure the work is performed. The NAG is not a member of any project team, but
is an independent entity who works as part the WTD Technical Services Unit.
Project-specific
as-built plan
A document that describes how as-building will be done
Record drawings
The official, up-to-date drawings of a completed project, as originally constructed.
Also known as “as-constructed drawings”
Redline
Noun: A drawing or contract that includes visible marks that highlight changes
Verb: To mark up a drawing or contract to reflect changes
Small works and
in-house projects
Projects that WTD either assigns as work orders to “small-works” contractors or
assigns to its own “in-house” operations and maintenance staff
6. POLICIES
6.1. Allow a second CAD software standard
WTD has designated AutoCAD as the software standard for as-building drawings and record
drawings. This policy reaffirms that designation. However, personnel who work on projects for
the West Point Treatment Plant System may use MicroStation software if they have permission
from a member of the WTD management team and they send a request to the WTD Technical
Standards Coordinator that includes an analysis of the cost implications of using MicroStation.
6.2. Build a document cataloging and indexing system
WTD will use a software system to catalog and index all of its new as-building documents,
activities, record drawings, facility drawings, and archival records.
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6.3. Ensure continuity of operations
WTD will comply with all federal, state, and local regulations regarding continuity of
operations and long-term archival preservation of official public records, office files, and
memoranda by developing and maintaining a system that stores redundant copies of those
records in a secure location.
6.4. Appoint an as-building coordinator
WTD will appoint a “non-assuming guide” (NAG) to monitor, verify, and enforce as-building
activities for WTD staff, consultants, and contractors.
7. PROCEDURES
This section outlines the procedures that employees, consultants, and contractors will follow on all
construction projects for WTD.
7.1. Contracted projects
All drawings, contracts, and other permanent engineering project records will be cataloged and
indexed on contracted projects.
7.1.1. Project inception
A.
Enter project in drawing catalog system
After the King County procurement and contract services agency assigns a construction
contract number to a project, the non-assuming guide (NAG) will enter the project in
the drawing catalog software and begin monitoring it.
B.
Project-specific as-built plan
The NAG will meet with the project manager, engineer, and consultants to plan the
process and assign responsibilities for creating, organizing, storing, and publishing
permanent records for a project.
C.
Catalog conformed construction documents
The NAG will catalog the conformed construction documents based on important
attributes such as engineer, consultants, project managers, contract number, and date.
D.
Convert conformed construction documents to PDF
The NAG will convert the conformed construction documents to Adobe Portable
Document Format (PDF) and catalog them in the cataloging software in the WTD
records repository in digital and hard-copy format.
7.1.2. Construction kick-off
At the construction kick-off, the NAG will review the project-specific as-built plan and discuss
how this will achieve the project’s as-building goals to:
 Update redlines and other as-building information in a timely manner
 Verify as-building and other project information
 Create record drawings
 Convert record drawings to PDF
7.1.3. Construction
A.
Update as-building drawings monthly
Based on the project-specific as-built plan, the construction project representative will
check and the NAG will track or monitor redline or CAD monthly updates. As required
by the contract and project-specific as-built plan, the designated parties will meet as
required to transfer keyword data or CAD information collected to the WTD catalog for
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the project. The plan will require the construction management staff to verify the
accuracy of any new redline information. Consultants or in-house staff may assist the
construction management staff, depending on the project-specific as-built plan.
B.
Create monthly “as-built” record (available on request)
The NAG will ensure that copies of redlines are available upon request. If further
attributes arise during these monthly meetings, the NAG will add them to the catalog
record for the project.
C.
Release progress payment for completed as-building progress
After the regular construction meeting, the project representative will inform the NAG
of as-building progress and release monthly payments after ensuring that the designated
parties have recorded all required as-built information.
7.1.4. Construction Close-Out
A.
Complete record drawings
When all construction is complete, the NAG will verify that someone has checked all
redlined or CAD drawings from monthly meetings for factual accuracy. Then the
designated party will create record drawings in CAD from the combined redlined
drawings. The NAG will keep a record of all redlined changes in the records repository.
B.
Update catalog to show record drawings
The NAG will update the catalog to note that WTD has record drawings of the facility.
C.
Release progress payment for publishing completed record drawings
The NAG will notify the construction manager to release payment to the contractor and
consultant because as-building requirements have been met.
7.1.5. Project Completion
A.
Convert record drawings and other permanent construction records to PDF
The assigned party will convert the record drawings and other changed documents
(including, for example, changes in the contract language) to PDF.
B.
Catalog record drawings and other permanent construction records
The NAG will enter the record drawings and other permanent construction records into
the cataloging system.
7.2. Incidental maintenance projects
As-building activities are not needed for repairs and maintenance that entail no significant
change in site condition, such as painting jobs. As-building is needed for small-works and inhouse projects that result in a significant change in condition of a facility. All work will be
documented and sent to the NAG for recording. Following are the steps required for smallworks and in-house projects that require as-building.
7.2.1. Project inception
A.
Set as-building requirements with project staff
The NAG will confer with project staff and agree upon a project-specific as-built plan.
B.
Begin catalog entry
The NAG will begin a catalog entry for the project.
7.2.2. Construction
The NAG will work with the construction manager to record changes as work progresses as
specified in the project-specific as-built plan.
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7.2.3. Completion
A.
Complete markups and verify information
After all work is finished, the project representative will review record drawings to
ensure they comply with information in the redlines.
B.
Update facility drawing
The NAG will arrange for someone to update facility drawings for the project as
specified in the project-specific as-built plan.
7.3. Records storage and user access
The NAG will ensure that redundant digital and paper record documents are stored in records
archives and accessed through a common index.
7.3.1. Storage
A.
Digital records
The NAG will ensure that records are stored on a server or servers linked to the WTD
as-building index and catalog system. (Digital discs and tapes are not considered
acceptable permanent storage media by Washington State.)
B.
Paper records
The NAG will ensure that paper records are stored in the WTD records room and that
full-sized drawings are scanned to 11" x 17" size and entered into King County
archives. The NAG will ensure that up-to-date 11" x 17" drawings are available in
digital format and older documents are available as needed.
7.3.2. Publishing
The NAG will ensure that someone:
A.
Updates drawing catalog entries
B.
Integrates keyword information and creates the project index entry
C.
Enters digital and paper drawings into the WTD records repository
D.
Integrates all historical site records and creates or updates facility drawings
7.3.3. User access
A.
Digital and paper documents
The NAG will ensure that digital and paper documents share a common index and are
available online and at the WTD records center.
B.
Index and catalog entries
The NAG will ensure that someone updates catalog entries, integrates keyword data,
and maintains and updates the index.
C.
Indexing system
The NAG will ensure that the indexing system provides user access through a system
of keywords and digital search.
D.
Records updates
A records clerk will regularly update digital records in the WTD records center.
7.3.4. Compliance with applicable laws and standards
WTD will comply with all federal, state, and local regulations regarding continuity of
operations and long-term archival preservation of official public records, office files, and
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memoranda. WTD will develop and maintain a system that stores at least one digital copy of
those records in a secure location apart from WTD’s offices.
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8. APPENDICES
8.1. Acronyms
Acronym
Definition
IBIS
WTD’s financial reporting system
PDF
Portable Document Format, a popular way to transfer and display digital documents
O&M
Operations and maintenance
WTD
Wastewater Treatment Division
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8.2. Attachment A: Illustration of new As-Building/Record Drawings process (in work)
March 6, 2016
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