Brian-

I think this sort of mixes/confuses the issue a bit.  Barbara's original
question was related to the storing of CAD files in an ECM, but didn't
specify the 'state' or 'status' of the file.

CAD files at some point MAY meet the definition of a record, but that
depends on what an organization sets as their definition.  This whole issue
of 'document vs.record' blurs depending on how an organization is regulated,
whether the work is in the public or private sector, and many other issues.
 And this doesn't even take into consideration the legal definition issues
of 'records' when it comes to ESI and discovery aspects.

So back to your question/s. These answers are provided from the perspective
in which my current AND former employer manage CAD related content, as well
as the issues in CA surrounding 'approved for construction' drawings and
documents.

1) do you consider CAD files record documents?  

Yes, and no.  A CAD file during development and prior to release for
construction is considered a DOCUMENT.  The file however is a RECORD of all
work performed developing it to the point in time that it is stored. Once it
is reviewed and approved for construction, that revision is managed as a RECORD.

2) construction should take place using stamped and sealed drawings

Agreed.  This is typically true of drawings, specifications, calculations
and other related items used for construction.  In my prior employment, all
of these items were required to bear the signed seal of a Registered
Professional Engineer (or Engineers) licensed in the State where the work
was to be performed.  If the items included multiple aspects of
construction, they may require seals from Structural, Mechanical,
Electrical, Civil, HVAC or other RPEs all to be represented on the same items.

Our practices included the following steps:

- IFC CAD files printed to paper
- RPEs stamp, sign paper copies
- Paper copies imaged and microfilm generated for long-term record
- Signed paper file stored in fire resistant cabinet
- Images stored, along with native format CAD file in CAD repository
- Distribution of image made to appropriate parties for use 
- Microfilm stored in environmentally protected vault
- CAD file updated to include 'image' of signed RPE seals and initials in
rev block

(Subsequent revisions and As-Builts followed similar steps)

3) approved record drawings of the project

For us, these consisted of the IFC, subsequent revisions and ultimately the
As-Built version

4) CAD files as more of the tool used to create the record which is kept in
a pdf 

Yeah, sorta. =)  In the example Barbara gave, the "CAD file" includes all of
the 3rd party and linked references along with the vector version of the
native CAD file- but to access any/all of this, you need the applications
the references were created with to use all of the features related to some
of these pieces- material take off lists, zoom and pan, enlarge, rotate, etc.

The PDF is a raster format image, sometimes referred to as a "flat file" of
the CAD drawing with no interactive features.

5) final drawings (...Mr. Contractor) should be kept in the repository

This depends on what you are calling "THE" repository.  While the CAD
drawing/document remains in active use and until it reaches some 'final
state', the native file generally remains in THE CAD repository. As
discussed an image of the item may also be placed in THE ECM repository for
reference and viewing, but this is not a file that can be reworked or
modified. At most, you may be able to use a CAD overlay application to 'red
line' over the top of the drawing/document and store that as an independent
layer, but that's a whole different aspect of this process...

6) CAD files are important to the project and should be managed and version
controlled

You betcha!  And this is a matter of practice, policy and procedure for each
organization to determine what works best for them.  

I was responsible for managing the drawings and documents for a large
(pipeline, facilities, crossings) construction project in the past that
involved facilities in Canada and 4 US States.  The documents belonged to
two US companies, one based in CA; one in WA.  The engineering was done by
the parent companies, along with two firms in TX.  They were required to
have RPEs in various disciplines with seals for CA, OR, WA, ID, and Canada.
 Working CAD files (versions) were stored in TX, CA and WA.  Reviews were
performed in all three locations, copies were stored in all three as well.
All As-Built revisions were done in CA and WA, so when drawings reached that
state, no versions remained in TX.  

7) not convinced that a records repository is the place to manage the CAD files

Again, I think that depends on the organization's practices and procedures
and how they manage their content.  In the example above, there is no "one
size fits all" repository that would have worked... files were too large and
complex to easily transmit and ultimately as we neared the Construction
phase on each segment of the project,  it was decided to have the Project
Engineers from the two parent companies travel to TX and have "final review
and signing parties", then travel back with external drives including copies
of all of the approved drawings for each phase.

Larry
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