Compliance and Regulations
Document Control Compliance and Regulations
Aligned with KSA Construction Standards, Mega Projects, and International Best Practices
1. Introduction
The Document Control Compliance and Regulations Framework at BEC Arabia ensures that all project and corporate documents are managed in full compliance with KSA regulatory frameworks, ISO standards, legal obligations, and mega project documentation requirements.
This framework provides guidelines for regulatory compliance, audit requirements, retention policies, and risk mitigation related to document control.
All documents are stored and managed using Aconex, ensuring adherence to compliance standards and secure document management practices.
📂 Stored in SharePoint – Document Control Compliance and Regulations
2. Regulatory Authorities Governing Document Control
BEC Arabia follows local, national, and international standards for document control compliance.
Regulatory Authority
Applicable Regulations
Key Compliance Requirements
Saudi Contractors Authority (SCA)
Contractor Documentation and Project Records
Proper document storage and tracking for regulatory compliance
Etimad and NUPP (Saudi Procurement Platforms)
Public procurement and government project documentation
Standardized document submission and approval requirements
Ministry of Municipal, Rural Affairs, and Housing (MOMRAH)
Construction project permits and approvals
Retention of all approved construction documents and permits
ISO 9001:2015
Quality Management System (QMS)
Compliance with structured document control and versioning
General Authority of Zakat and Tax (GAZT)
Tax documentation and financial records
Retention of financial documents for tax compliance
Saudi Data and Artificial Intelligence Authority (SDAIA)
Data protection and document security laws
Proper handling of confidential and sensitive information
KSA Arbitration Center
Contractual dispute documentation
Full document traceability for legal compliance
📂 Stored in SharePoint – Regulatory Compliance Guide
3. Document Control Compliance Policies
3.1 Document Retention Compliance
All documents must be retained for the legally required period based on regulatory, contractual, and internal compliance policies.
Document Type
Retention Period
Regulatory Reference
Project Contracts
10 years post-completion
FIDIC, MOMRAH, SCA
Financial and Tax Records
5 years
GAZT
Government Project Submissions
10 years
Etimad, NUPP
Technical Drawings and Engineering Documents
10 years
SCA, ISO 9001
HR and Employee Records
5 years after employee exit
Saudi Labor Law
Dispute and Arbitration Documents
7 years
KSA Arbitration Law
📂 Stored in SharePoint – Document Retention Policy
3.2 Compliance with Public Procurement Laws (Etimad and NUPP)
BEC Arabia follows Etimad and NUPP regulations for government project documentation.
Key Compliance Requirements:
Structured documentation submission for prequalification and bidding
Adherence to standardized templates for contracts and project reports
Retention of all correspondence and approvals for audit tracking
📂 Stored in SharePoint – Public Procurement Compliance
3.3 ISO 9001:2015 Compliance for Document Control
BEC Arabia aligns its document control policies with ISO 9001:2015 Quality Management System (QMS) standards.
Key Compliance Requirements:
Structured document control and versioning processes
Audit trails for all document modifications
Secure storage and access control for confidential files
📂 Stored in SharePoint – ISO Compliance Guidelines
3.4 Legal Compliance for Contractual Documentation
All contract-related documents must comply with KSA contract laws, FIDIC guidelines, and dispute resolution policies.
Key Compliance Requirements:
Retention of signed contracts, amendments, and approvals
Secure archiving of all arbitration and dispute resolution documents
Adherence to legal disclosure and confidentiality requirements
📂 Stored in SharePoint – Contractual Compliance Guidelines
3.5 Data Security and Confidentiality Compliance
BEC Arabia follows SDAIA (Saudi Data and Artificial Intelligence Authority) regulations to protect sensitive and confidential documents.
Key Compliance Requirements:
Role-based access controls for sensitive information
Encryption of critical legal, financial, and HR records
Strict non-disclosure agreements (NDAs) for internal and external parties
📂 Stored in SharePoint – Data Security Policy
4. Compliance Audits and Monitoring
4.1 Internal Document Control Audits
BEC Arabia conducts quarterly internal audits to ensure adherence to document control policies.
Audit Process:
Document Classification Review – Ensuring correct labeling and retention policies
Access Control Verification – Checking role-based access compliance
Version Control and Change Management Review – Ensuring proper version tracking
Regulatory Documentation Compliance – Validating records for audit readiness
📂 Stored in SharePoint – Internal Audit Reports
4.2 External Compliance Audits
Regulatory bodies and project clients may conduct external audits to verify compliance with legal, financial, and quality standards.
Key Compliance Actions for External Audits:
Ensure Aconex records are complete and up to date
Prepare and submit requested documents within regulatory deadlines
Maintain a centralized compliance log for external audit requests
📂 Stored in SharePoint – External Audit Logs
4.3 Compliance Risk Management
BEC Arabia has implemented a Document Control Risk Register to track and mitigate compliance risks.
Risk Mitigation Strategies:
Regular compliance training for employees
Automated compliance alerts in Aconex
Legal review of critical document submissions
📂 Stored in SharePoint – Compliance Risk Register
5. Document Security and Access Control Compliance
5.1 Secure Document Storage and Access Control in Aconex
All project and corporate documents must be stored in Aconex with proper access restrictions to ensure confidentiality and prevent unauthorized modifications.
Compliance Requirements:
Role-based access permissions for controlled documents
Encryption of sensitive legal, financial, and HR records
Mandatory access logs to track document interactions
Multi-level approval process for classified and high-risk documents
Aconex automatically maintains a full audit trail of document access, approvals, and modifications.
📂 Stored in SharePoint – Document Security Policy
5.2 Restricted Access for Confidential Documents
Certain legal, financial, and contractual records require strict access control to comply with KSA’s data protection laws.
Document Type
Access Level
Storage Location
Legal Contracts
Legal and Executive Teams Only
Aconex & SharePoint
Financial Reports
Finance and Executive Teams Only
SharePoint & ERP System
Employee Records
HR Department Only
HRMS System
Arbitration and Dispute Documents
Legal Department Only
Aconex & Legal Archive
📂 Stored in SharePoint – Access Control Guidelines
5.3 Confidentiality and Non-Disclosure Agreement (NDA) Compliance
All employees and external parties handling sensitive documents must sign a Non-Disclosure Agreement (NDA) before accessing confidential information.
Compliance Requirements:
NDAs must be signed before sharing classified documents
NDA violations result in legal action
NDAs must be stored in Aconex and SharePoint for tracking
📂 Stored in SharePoint – NDA Compliance Records
6. Version Control and Change Management Compliance
6.1 Version Control Policy
All controlled documents must have sequential versioning to track changes and prevent outdated information from being used.
Versioning Format: [Document Type] – [Department Code] – [Project Code] – [Revision Number]
Example: RFI-PM-NEOM-REV03 → Request for Information for NEOM Project, Revision 3
📂 Stored in SharePoint – Version Control Policy
6.2 Document Revision and Approval Workflow
To ensure compliance with legal and regulatory standards, all document revisions must undergo an approval workflow in Aconex.
Revision Workflow:
Document Owner Submits a Change Request
Review and Approval by Department Heads
Legal and Compliance Team Validation
Final Approval and Release
📂 Stored in SharePoint – Document Change Request Form
7. Compliance with Legal and Regulatory Documentation
7.1 Public Procurement Documentation Compliance (Etimad and NUPP)
All documents submitted for public procurement projects must comply with Etimad and NUPP documentation standards.
Compliance Requirements:
Use pre-approved templates for tenders and project documentation
Retain all procurement submissions for at least 10 years
Ensure all approvals and revisions are documented in Aconex
📂 Stored in SharePoint – Public Procurement Compliance Guide
7.2 Legal Documentation Compliance with KSA Construction Laws
All contract-related and regulatory documents must adhere to KSA construction industry regulations.
Regulatory Requirement
Compliance Action
Contract Retention Laws
Maintain project contracts for 10 years
Arbitration Law
Store all dispute resolution records in Aconex
ISO 9001:2015
Maintain structured document management and audits
Data Protection Regulations
Encrypt and restrict access to classified records
📂 Stored in SharePoint – Legal Compliance Guide
8. Compliance Audits and Monitoring
8.1 Internal and External Document Audits
BEC Arabia conducts quarterly internal audits and annual external audits to ensure compliance with document control policies.
Audit Process:
Document Classification Review
Access Control Verification
Version Control Compliance Check
Regulatory Documentation Compliance Audit
📂 Stored in SharePoint – Audit Reports
8.2 Compliance Risk Assessment and Mitigation
BEC Arabia maintains a Document Control Risk Register to track and mitigate compliance risks.
Risk Category
Potential Risk
Mitigation Strategy
Document Security
Unauthorized access to sensitive records
Role-based access control in Aconex
Version Control
Use of outdated documents
Mandatory version tracking
Regulatory Compliance
Non-compliance with legal retention laws
Quarterly compliance audits
📂 Stored in SharePoint – Compliance Risk Register
9. Disaster Recovery and Business Continuity
9.1 Document Backup and Recovery Policy
To ensure data integrity and business continuity, Aconex and SharePoint automatically back up all documents.
Backup and Recovery Process:
Daily automated backups in Aconex and SharePoint
Weekly integrity checks to ensure data availability
Disaster recovery simulations conducted annually
📂 Stored in SharePoint – Disaster Recovery Plan
10. Key Performance Indicators (KPIs) for Document Control Compliance
KPI Name
Measurement Criteria
Target Benchmark
Document Retrieval Time
Average time to retrieve a document
≤ 5 minutes
Compliance Audit Pass Rate
Percentage of documents meeting compliance standards
98% or higher
Version Control Accuracy
Percentage of documents with correct versioning
100%
Unauthorized Access Incidents
Number of reported security breaches
Zero
📂 Stored in SharePoint – Document Control KPI Dashboard
11. Conclusion
The Document Control Compliance and Regulations Framework at BEC Arabia ensures that all project and corporate documents are managed in strict compliance with KSA regulations, ISO standards, and mega project documentation best practices.
By leveraging Aconex as the primary document management system, BEC Arabia maintains secure, structured, and auditable document control processes, reducing compliance risks and ensuring regulatory adherence.
All compliance documentation is stored in SharePoint for version tracking, audit logs, and future reference.
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