ATTACHMENT E
DOCUMENT CONTROL PLAN
UNITED STATES COAST GUARD
FACILITY SECURITY PLANS
January 15, 2004
1.0General
To manage a large volume of documents that have a short time frame review period requires a well documented plan for how to handle the documents, the proper personnel to implement the plan, and a robust document tracking system. Making this project even more challenging is the incorporation of regional review offices that must be managed in concert with the home office.
This document is split into four parts to separately address each of the key components of document control. First will be a discussion of the personnel requirements for the project document control personnel defining the roles and assignments. Second will be a description of the document control procedures in both narrative and diagrammatic format. Third will be a description of the databases and the role they play. Fourth will be the information technology requirements to support the procedures.
2.0Personnel
Staff located in Kansas City will be responsible for implementing and enforcing the plan requirements. These document control personnel will effectively control the way documents are handled, how they are distributed, and ensure that the work is completed in the time frame allotted. Following is a list of staff that is anticipated:
Staff:
Document Control ManagerLenard Clark
Database ManagerLucky Nwonwu
Database Mgr AssistantAngela Clark
6025 EntryClerk
Review Form EntryClerk
File ManagerClerk
Scanner 1Clerk
Scanner 2Clerk
Duties:
Document Control Manager – oversight of document control staff, IT responsible party
Database Manager – performs entries into database, modifies database program as needed,
Database Mgr Assistant – database entries as needed, fills in during DCM or DBM absence, shipping
6025 – enters FSP 6025 information into Excel files
RFE – enters review form information into databases
FM – runs files between United States Coast Guard(USCG) and Black & Veatch (B&V), responsible for pulling and storing files
SC – scans FSP’s into hard drives.
Note - 6025, RFE, SC all are cross-trained to perform each others tasks to load share.
3.0Document Control
The scope paragraph 5.3 requires that B&V “shall be responsible for entering, updating, tracking, and reporting on the status of all incoming facility security plans (FSP’s), Alternative Security Program implementation letters (submitted by facilities in lieu of a facility security plan), Coast Guard Forms 6025, and all associated correspondence using a Contractor-furnished database”. The document control procedures deal with review of the FSP’s and correspondence specifically related to that review. Other correspondence such as telephone memorandums, emails, progress reports, etc. are not controlled with these procedures. The following document control narrative and flow charts work in unison to fully define the document control procedures.
Document Control NarrativeStage 1:
All stage 1 reviews will be performed in Kansas City to ensure meeting the 30 day review period. Regional offices will be used for Stage 2 reviews only.
Facilities send FSP’s to B&V via US or express mail. The packages are required to be marked Q6. The mail person brings the first class packages to Q6. The express mail packages will be signed for by the mail person and brought to Q6. All express mail deliveries to Q6 will be signed by receptionists Marcia Evens or Sarah Dutcher in the Q6 lobby.
USCG Receipt Box
The receptionist will put the packages in a receiving box on the USCG table. The USCG will open each package, stamp it received/date and enter into the MISLE system. They will perform a short review to determine if the FSP meets the qualifications for submittal. If determined to qualify for review, the original will be delivered to the BVSPC Deposit Box in the Document Control Area. If the FSP will not be submitted to B&V, the USCG will attach a response letter and return the FSP to the facility or Captain of The Port,(COTP) without B&V interaction. If the USCG is unable to process an FSP the day it is received, it will be the USCG responsibility to lock the documents in document Storage Area number 1for overnight storage.
BVSPC Receipt Box
A mailbox will be located on the West end of 6th floor expressly for receipt of FSP’s from the USCG. This box will be where the USCG will deposit the plans they wish B&V to review. Periodically throughout the day one member of the management team (Mike Boehler, Bill Winston, or Bob Kulash) will examine the plans received and determine the proper location to perform the review. The review location will be marked on the FSP and dropped in the Data EntryBox.
Data EntryReceipt Box
Periodically throughout the day, the Database Manager will check the Data Entry Box for plans awaiting data entry. He will enter the data from the plans in the top block of the databaseFSP Input Sheet. This data will include FIN, stage number, revision, document description, facility name, date received, plan date, review office/Team Leader assigned, and number of pages contained in the document. The first three entries establish the tracking number, which is a unique number that will be used throughout the process to file and identify a document. If the Database Manager is unable to process the quantity of plans received in a day,the unprocessed plans will be placed in Document Storage Room 2 until the following day. The Acknowledge Receipt letter is printed from the database and taken to the USCG for signature. A file label/mail address label sheet is also printed from the database. An envelope is prepared using the mail label, postage provided by USCG (by contract) is affixed, the signed Acknowledge Receipt letter is inserted, and deposited in the B&V outgoing mail box. A file folder is prepared using the file label and an expandable folder. The FSP and a copy of the signed Acknowledge Receipt letter is inserted into the file folder and deposited into the Scan/File Box for further processing.
Scan/File Box
The Scannersare responsible for periodically checking the Scan/File Box and collecting files for scanning. To process the file, the Scanner will remove the binding of the FSP, scan all pages expect for any oversize sheets, and save the .pdf onto the PC hard drive. To maintain consistency and facility locating the file in the future, the file will be renamed to match the Tracking Number. To ensure files are backed up, each PC will be equipped with two hard drives that are mirrored to save simultaneously on both on the primary and the secondary hard drive. When scanning is complete, the Scanner will reinstall the binding,return the hard copy to the file folder, and place on the File Managers cart. The File Manager will place the file folder in the Storage Room in numerical order following the Tracking Number. The File Manager will access the database Scan block, input the date the file was scanned by clicking the check in the scan block, and input the number of pages in the Pages Received of FSP Log input sheet. The File Manager will keep a daily running log of the files processed to share with the Document Control Manager. If the Scanners are unable to process the quantity of plans received in a day, the unprocessed plans will be placed in Document Storage Room 2 until the following day.
Document Control Manager
The Document Control Manager will be responsible for all documents throughout the process. At this stage he will specifically be responsible for getting the assigned FSP’s to the appropriate party. After the scanned files are available, he will move each of the files scanned and saved that day into the assigned folders on the s drive. To ensure that the files are electronically sent and received, two folders are located on the network for file transfer. Folder41259/Z_Team Files is the location the Document Control Manager stores the files extracted from the scanner PC hard drives for eventual transfer to the team member’s folders (USCG/Team Files) at the end of the day. FolderUSCG/Team Files will have subfolders for each of the Team Leaders (TL) and Regional Office Managers (RM) and will be the location the transferred files will reside and be accessed by the TL and RM. The TL is required daily to remove all the files in his USCG/Team Files subfolder and save to his hard drive by 10 am. Every afternoon the Document Control Manager will transfer files fromFolder 41259/Z_Team Files to the now empty WORKING folder. The Document Control Manager will input into the third block of the FSP Log input sheet the Date Distributed which in turn will automatically generate the Due Date based on the review stage. For Stage one reviews, the due date will be 30 days after date distributed and for Stage 2, the due date will be 60 days after date distributed. The database will be setup to flag reviews within 7 days of the due date. The database will identify these near overdue reviews for the Document Control Manager to focus efforts and meet schedule.
Team Leaders
The TL, after moving the files from the s drive USCG/Team Files folder to their hard drive, will assign each FSP to a reviewer. The TL or RM will access the data base and enter the assigned reviewer’s name. The reviewer can elect to review the document electronically via the .pdf file or can have it printed out for hard copy review. The reviewer will review the FSP making comments on the Review forms and the associated comment sheet. When complete, the reviewer turns over the FSP hard copy and review form/comment sheet to the TL for QA. The Team Leader performs QA on the reviewed FSP and works with the reviewer to resolve issues and incorporate comments. When all issues are resolved, the FSP hard copy and review forms are deposited in the Review Complete Box. Based on the outcome of the review, the TL or RM will provide a recommendation of complete or incomplete.
Review Complete Box
The Document Control Manager will coordinate with the TL and RM to ensure the FSP’s are reviewed in a timely fashion. He will periodically access the database and query for reviews that are near overdue. He will also access the database to enter the “Date Back fromTL” and the Action Status. If the Action Status is “Complete”, a due date 60 days past the “Date Back from TL” will be automatically inserted in the “Stage 2 Review Due block. If the Action Status is “Incomplete”, today’s date will go in “To USCG for Signature” and 30 days past the resubmittal date will automatically be inserted in “Resubmittal Date”.
The Quality Control Manager will extract select FSP’s from the box to perform an in-depth QA of the review. The QA will be performed independent of the review performed by the TL or RM.
Data Entry - Disposition
If the recommended action status is “Complete”, the Database Manager will pass the file to the File Manager. The File Manager will store the file folder in Document Storage Room 2.
If the recommended action is “Incomplete”, the Database Manager will print out a Disapproval Letter using the button on the Facility Security Plan Input Sheet, collect the working hard copy of the FSP and review forms/comment sheet, and put in the USCG Signature Box.
USCG Signature Box
The USCG will take the signature ready package from the box and distribute to the appropriate CG person for signature. After USCG signs the letter, they will return to the Database Manager for mailing.
Data Entry - Shipping
The Database Manager will separate the package and recombine for shipping and filing. The Disapproval Letter and Review Forms/Comment Sheets will be copied and attached to the hardcopy of the FSP the reviewer used. This package will be turned over to the File Manager to be filed in Document Storage Room 2. The Original Disapproval Letter and Review Forms/Comment Sheet will be put in a envelope for mailing to the facility. The envelope is prepared using a mail label from the database and postage provided by USCG. The letter is deposited in the B&V outgoing mail box.
Document Control Narrative Stage 2:
Depending on the work load at a given time, the stage 2 review may follow immediately after a complete stage 1 review is completed. Because of the requirement for stage 1 reviews to be completed in 30 days and the expectation that the majority of the FSP’s will arrive in B&V offices in a two week period, stage 1 reviews deemed to be complete will have to be set aside to ensure timely completion of all stage 1 reviews.
Data Entry Receipt Box
When reviewers are available, FSP’s that have a completed Stage 1 review, but have not had the stage 2 review will be systematically pulled from Document Storage Room 2 in the chronological order. One member of the management team (Mike Boehler, Bill Winston, or Bob Kulash) will request the File Manager to pull a plan(s) from Document Storage Room 2 and assign the proper location to perform the review. The review location will be marked on the FSP and dropped in the Data Entry Box.
Periodically throughout the day, the Database Manager will check the Data Entry Box for plans awaiting data entry. He will enter the data from the plans in the top block of the database FSP Input Sheet. This data will include FIN, stage number, revision, document description, facility name, date received, plan date, review office/Team Leader assigned, and number of pages contained in the document. The plan although it is the same plan reviewed in stage 1 will receive a new tracking number to distinguish this effort. The second entry in the tracking number (stage number) will change making the tracking number a unique number that will be used throughout the process to file and identify the document.
Document Storage 2
If the Database Manager is unable to process the quantity of plans received in a day, the unprocessed plans will be placed in Document Storage Room 2 until the following day.
Document Control Manager
The document control manager will distribute FSP’s for review in the same manner as stage 1. If hard copies of the FSP’s exist from the stage 1 review, these will be distributed in addition to the electronic files. Electronic FSP files and the most current version of the database to the Tampa office will be burned to a CD daily and transmitted mailed.
Team Leaders
The team leaders and regional managers will function in the same fashion for stage 2 reviews as the procedures laid out for stage 1.
Review Complete Box
The Document Control Manager will coordinate with the TL and RM to ensure the FSP’s are reviewed in a timely fashion. He will periodically access the database and query for reviews that are near overdue. He will also access the database to enter the “Date Back from TL” and the Action Status. If the Action Status is “Satisfactory” or “Pending Third Stage Review”, today’s date will go in “To USCG for Signature”. If the Action Status is “Unsatisfactory”, today’s date will go in “To USCG for Signature” and 30 days past the resubmittal date will automatically be inserted in “Resubmittal Date”.
The Quality Assurance Manager will extract select FSP’s from the box to perform an in-depth QA of the review. The QA will be performed independent of the review performed by the TL or RM.
Data Entry - Disposition
If the recommended action status is “Satisfactory”, the Database Manager will print out an Approval Letter using the button on the FSP Input Sheet. If the recommended action is “Unsatisfactory”, the Database Manager will print out a Disapproval Letter using the button on the FSP Input Sheet. For either action, the Database Manager will collect the working hard copy of the FSP and review forms/comment sheet, and put in the USCG Signature Box.
USCG Signature Box
The USCG will take the signature ready package from the box and distribute to the appropriate USCG person for signature. After USCG signs the letter, they will return to the Database Manager for mailing.
Data Entry - Shipping
The Database Manager will separate the package and recombine for shipping and filing. The Approval or Disapproval Letter and Review Forms/Comment Sheets will be copied and attached to the hardcopy of the FSP the reviewer used. This package will be turned over to the File Manager to be filed in Document Storage Room 2. The Original Approval or Disapproval Letter and Review Forms/Comment Sheet will be put in a envelope for mailing to the facility. The envelope is prepared using a mail label from the database and postage provided by USCG. The letter is deposited in the B&V outgoing mail box.