Document Control: The Backbone of Successful Projects

Why Document Control Matters

In the chaos of an active construction site—with hundreds of workers, multiple trades, constant deliveries, and evolving conditions—it's easy to underestimate the importance of documentation. But I've learned through managing document control on projects ranging from small commercial builds to billion-dollar federal facilities that documentation isn't just paperwork—it's the foundation of project success.

Good document control prevents costly mistakes, resolves disputes, maintains quality, and protects all parties. Poor document control leads to rework, delays, cost overruns, and litigation. The difference between the two often determines whether a project succeeds or fails.

The Core Components of Document Control

Effective document control encompasses several key areas, each requiring its own systems and processes:

1. Contract Documents

Contract documents—drawings, specifications, addenda, and contract modifications—form the baseline for all work. Managing these documents means:

• Maintaining Current Sets: Ensuring all stakeholders work from the most current approved documents
• Tracking Revisions: Documenting when and why documents change
• Distribution Control: Knowing who has which versions of documents
• Access Management: Providing easy access while maintaining control

On the Denver VA project, we managed thousands of drawing sheets and specification sections. Without rigorous version control, chaos would have ensued. We implemented a system where every document had a unique identifier, revision tracking, and distribution log. When questions arose about what was required, we could instantly pull the correct document version.

2. Submittals

Submittals—product data, shop drawings, samples, and mock-ups—require approval before installation. A robust submittal system includes:

Clear Procedures: Everyone must understand submittal requirements, formats, and review processes. We created detailed submittal procedures that specified:

• Required information and format
• Submission deadlines relative to installation dates
• Review timeframes
• Resubmittal procedures for rejections

Tracking Systems: With hundreds or thousands of submittals on large projects, tracking is essential. We tracked:

• Submittal number and description
• Specification section reference
• Submittal date and required approval date
• Current status and location in review process
• Review comments and actions required
• Final approval date and conditions

Follow-Up: Late submittals delay projects. We implemented automated reminders for upcoming submittal deadlines and overdue items. This proactive approach prevented many delays.

3. RFIs (Requests for Information)

RFIs clarify ambiguities, resolve conflicts, and answer questions about contract documents. Effective RFI management involves:

Standardized Format: RFIs should follow a consistent format including:

• Clear statement of the question or issue
• Reference to relevant contract documents
• Impact on schedule or cost if applicable
• Proposed solution or options
• Required response date

Prompt Routing: RFIs must reach the right people quickly. We established routing protocols that moved RFIs efficiently through the review chain—from field to project management to design team to owner when necessary.

Response Tracking: Unanswered RFIs stop work. We tracked:

• Date submitted and required response date
• Current location in review process
• Days outstanding
• Impact if not answered timely

Distribution of Answers: RFI responses must reach everyone who needs them. We distributed responses to the submitter, affected trades, and maintained a searchable database so future questions could reference previous answers.

4. Transmittals

Transmittals document the transfer of documents between parties. While seemingly simple, proper transmittal management prevents disputes about what was sent, when, and to whom.

Every transmittal we issued included:

• Unique transmittal number
• Date and recipient
• Detailed list of enclosed documents with revision numbers
• Purpose of transmittal (for review, for approval, for information, etc.)
• Required action and deadline if applicable
• Return receipt or acknowledgment

We maintained logs of all transmittals sent and received. When disputes arose about whether information was provided, transmittal logs provided clear evidence.

Building an Effective System

Having the right processes is only part of the equation. You also need the right tools and people to execute those processes.

Selecting Software Tools

Document control software has evolved significantly. When selecting tools, I consider:

• Ease of Use: If the system is too complex, people won't use it properly
• Integration: Does it integrate with other project tools (scheduling, cost tracking, etc.)?
• Accessibility: Can field personnel access it from mobile devices?
• Search Capability: Can you quickly find specific documents or information?
• Reporting: Can you generate status reports, track metrics, and identify bottlenecks?
• Scalability: Will it handle your largest projects?

On the Denver VA project, we evaluated multiple commercial solutions but found none met all our needs. This led me to develop custom software tailored to our specific requirements—a decision that paid dividends in efficiency and control.

Training and Buy-In

The best system fails if people don't use it correctly. Successful implementation requires:

• Comprehensive Training: Everyone who interacts with the system needs training
• Clear Procedures: Written procedures that people can reference
• Management Support: Leadership must enforce system use
• User Support: Available help when people have questions
• Continuous Improvement: Willingness to refine procedures based on user feedback

Common Document Control Challenges

Even with good systems, challenges arise. Here's how I've addressed common issues:

Challenge: Incomplete Submittals

Subcontractors often submit incomplete information, requiring resubmittals that delay approval.

Solution: Create detailed submittal checklists for each specification section. Require subcontractors to certify completeness before acceptance. Reject incomplete submittals immediately with clear explanation of deficiencies.

Challenge: Slow Review Times

Design teams or owners taking too long to review submittals and RFIs delays work.

Solution: Establish contractual review timeframes. Track review times and escalate overdue items. Provide complete, clear submittals and RFIs that are easy to review. Build relationships with reviewers to facilitate communication.

Challenge: Lost or Misplaced Documents

In the chaos of construction, documents get lost or misfiled.

Solution: Centralized electronic storage with robust backup. Clear file naming conventions. Comprehensive search capability. Redundant systems for critical documents.

Challenge: Working from Outdated Documents

Someone works from an old drawing revision, creating rework.

Solution: Version control systems that clearly mark current versions. Automatic notifications of new revisions. Regular verification that field sets are current. Removal or stamping of superseded documents.

Challenge: Information Overload

So much documentation that people can't find what they need.

Solution: Logical organization structure. Powerful search tools. Dashboards highlighting critical items. Regular cleanup of obsolete information.

Metrics That Matter

Effective document control includes measuring performance. Key metrics I track:

• Submittal Status: Percentage submitted, under review, approved, rejected
• Average Review Time: How long submittals and RFIs take to process
• Overdue Items: Number of submittals or RFIs past deadline
• Rejection Rate: Percentage of submittals rejected on first review
• Outstanding RFIs: Number and age of unanswered RFIs
• Document Currency: Percentage of users working from current documents

These metrics help identify problems early. If rejection rates spike, we investigate why. If review times lengthen, we address bottlenecks. Data-driven management improves outcomes.

The Cost of Poor Document Control

I've seen the consequences of inadequate document control:

• Rework: Installing work based on outdated documents, then tearing it out and redoing it
• Delays: Work stopping because required approvals weren't obtained
• Cost Disputes: Arguments about what was included in scope because documentation is unclear
• Quality Issues: Wrong products installed because submittals weren't properly reviewed
• Litigation: Disputes escalating to legal action because documentation doesn't support positions

These problems are expensive—often far more expensive than investing in proper document control systems and personnel.

Document Control as Risk Management

Ultimately, document control is risk management. Good documentation:

• Provides evidence of what was required and what was delivered
• Documents decisions and their rationale
• Creates clear communication trails
• Supports claims and defends against unwarranted claims
• Demonstrates due diligence and professional practice

In disputes, documentation often determines outcomes. Projects with rigorous document control can defend their positions. Projects with poor documentation face uphill battles.

Lessons Learned

After managing document control on numerous projects, including nearly a decade on the Denver VA Medical Center, key lessons stand out:

1. Start Strong

Establish document control systems before work starts, not after problems arise. It's much harder to implement controls on an active project than to start with them in place.

2. Consistency is Crucial

Document control requires consistent application. Occasional enforcement doesn't work. Everyone must follow procedures every time.

3. Technology Enables, People Execute

Software tools are essential, but success depends on people using them correctly. Invest in training and support.

4. Communication Beats Perfection

A simple system everyone uses beats a perfect system no one follows. Start with workable processes and refine over time.

5. Documentation is Insurance

You may never need it, but when you do, you'll be grateful it's there. Proper documentation prevents and resolves disputes.

Moving Forward

Construction projects will only grow more complex. More stakeholders, more regulations, more specialized systems, more documentation. Effective document control becomes increasingly critical.

Projects that invest in robust document control systems and skilled personnel gain competitive advantages. They experience fewer delays, less rework, fewer disputes, and better outcomes. The investment pays for itself many times over.