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PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

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Rev. Date: 23 Apr 2008

TABLE OF CONTENTS
SECTION

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PURPOSE AND SCOPE.......................................................................................... 2

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DEFINITIONS........................................................................................................... 2

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REFERENCES......................................................................................................... 3

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PROCEDURE.......................................................................................................... 3

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RECORDS............................................................................................................... 6

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FORMS AND EXHIBITS........................................................................................... 7

CONFIDENTIAL AND PROPRIETARY
Copyright © 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

CONFIDENTIAL AND PROPRIETARY Copyright © 2008 Washington Group International. Projects may elect to expand to multiple sublevels within the listed file codes.0 DEFINITIONS 2.6 Enterprise Content Management System The cornerstone application chosen by the Company to store. see Form 316-01 (MM). tracking and distribution. correspondence (including e-mails and faxes) common to projects and retention periods after project completion.5 Project Document Control Center (PDCC) The PDCC is a centralized area for project document retention. but are not limited to. The person who performs this function is often referred to as the Document Controller or Project Administrator.PEP 316 RECORD FILING. Please refer to PEP 317. When the reviews are complete. Project Records are those documents that pertain specifically to an individual project. schedules. 2. technical documents including specifications. he or she may mark-up a copy of the PEP and send it to the DRM for review. Changes to the procedure will first be distributed to the Divisional Records Management Governance Team. Inc. then other Divisional Department Managers and Functional Leads for their concurrence. inspection reports. 2.3 Project Specific File Index and Retention Schedule The Project Specific File Index and Retention Schedule is the filing index developed for a specific project.1 Issue Authorization and Maintenance for Use The Divisional Records Manager (DRM) is responsible for the maintenance of this procedure and will review the procedure annually to determine any necessary updates. The master file may be in paper or electronic format. This PEP shall be interpreted consistent with the Company Records Management Program.0 PURPOSE AND SCOPE The purpose of this procedure is to define the implementation process for project documents. The DRM will review the recommended changes and respond back to the employee on plans to address the suggestions. 2.2 Standard Project File Index and Retention Schedule The Standard Project File Index and Retention Schedule provides the numbering system for major project-generated documents. Documents maintained within PDCC include. control. and safety reports. Should an individual employee have a suggestion for improvement or modification to this procedure. but all will roll up to the standard index code for retention purposes. reports. PDCC must be advised if this is the case. It should contain the same or fewer categories than the Standard Project File Index and Retention Schedule.4 Project Record File The Project Record File is the master file and official record of the project. supplier documents. This includes hard copy and electronic documents. 2. Specific Clientmandated project requirements deviating from this procedure will be as defined in the Project Execution Plan. data sheets and drawings. MAINTENANCE. or both. and the method by which project documents are retrieved. (Ohio) ALL RIGHTS RESERVED . retrieve. Date: 23 Apr 2008 1. incoming and outgoing correspondence. procurement information. the Vice President Business Support Services approves the changes and forwards the final draft to the Division Legal for authorization of use. such as drawings. This procedure applies to project-generated records. records retention requirements. Projects using the Company Enterprise Content Management system will use the electronic system for their master record repository. progress reports. meeting notes. issuance. RETRIEVAL. and retain electronic versions of records. 2. AND RETENTION Page 2 of 6 Rev. Projects may opt to have record copies retained by the originating departments rather than at the field office. For the Standard Project File Index and Retention Schedule. 2.

2.3 PEP-319. receipt. Inc. microfilm. (Note: Determine if the State where a project is performed allows for electronic records or requires original.5 Records Management Program 4.8 Retention Period The length of time that a record must be kept before it can be destroyed.1 PEP-202. maintenance. procedures. decisions.4 Administrative Bulletin 11. Identifies where the Record Copy is maintained and in what format (paper or electronic). legal. business transactions or other activities because of the value of the data in the record. administrative. received and maintained as a reference for and evidence of Company functions. policies. operative and strategic value necessary to perform Company functions. 2.2 PEP-317.2 Process Work Flow Action by Action Project Manager/ Project Engineering Manager/ Business Manager 1.1 3.0 REFERENCES 3. 3. Identifies the sections of the project files that will be maintained in the Home Office vs. operations.7 Long-Term Storage Repository for company records stored on or off-site that are accessed infrequently.PEP 316 RECORD FILING. CONFIDENTIAL AND PROPRIETARY Copyright © 2008 Washington Group International.0 PROCEDURE 4. created. 2.9 Record A Record is information. RETRIEVAL. or electronic storage with the latter method being preferred. 2. hardcopy. (Ohio) ALL RIGHTS RESERVED . Project Communications 3. regardless of medium. stamped engineering documents. Document Control and Distribution 3. including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. MAINTENANCE. Long-term storage may include hard copy. Adapts the Standard Project File Index and Retention Schedule to develop the Project Specific File index and Retention Schedule. Electronic files must be saved in accordance with the Company Records Management Program and PEP 317.1 Process Work Flow Chart None 4. Date: 23 Apr 2008 2. the Field Office. A record is created in the ordinary course of business and has fiscal.10 Records Management The efficient and systematic control of the creation. AND RETENTION Page 3 of 6 Rev. use and disposition of records. 3. Project Execution Plan 3.

and/or Company policies. Where project requirements deviate from corporate retention periods. Project Procurement Manager 14.PEP 316 RECORD FILING. 5. Records Coordinator 17. The Project Document Controller. Seeks guidance from the Client regarding which records need to be retained longer than Company policy dictates and which records must be turned over to the Client. The Contracts Manager transfers complete copies of the contract files to PDCC. Project Administrator 12. The Procurement department. unless electronic files are maintained already. Responsible for ensuring maintenance of company confidential and privileged files and information while the project is active. contact the Corporate Records Manager. 9. 7. 6. Incorporates the record retention periods into the Project Specific File Index and Retention Schedule consistent with the Client contract requirements incorporated into the Project Execution Plan. Project Manager/ Project Engineering Manager/ Business Manager The Project Document Controller. Notifies PDCC to proceed with final disposition (archiving) of the project records and files. Assures paper-based project records are filed in file index order. contact Legal. Inc. If retention is to differ from the standard. the paper copies may be disposed of at project completion. RETRIEVAL. transfers hard copy procurement files to PDCC. final retention and archival. Processes the project documents and files for ready reference. Assures electronic-based project files are organized pursuant to PEP 317. Responsible for arranging for the required off-site retention (archival) into long-term storage including providing storage boxes. under the direction of the Procurement Manager. Assures that documents originating with the project team have the appropriate file index numbers. Project Administrator 16. 8. Maintains logs of numbered documents originating with the project and/or the project team. AND RETENTION Page 4 of 6 Rev. Legal 15. Records Transfer List forms and assuring that the storage boxes are properly labeled. 11. MAINTENANCE. Date: 23 Apr 2008 Action by Action Project Manager 4. If electronic files are available. 10. Legal/Project Document Controller. (Ohio) ALL RIGHTS RESERVED . Project Manager 13. Assures that the Project Specific File Index and Retention Schedule is established and maintained throughout the project. Project Administrator CONFIDENTIAL AND PROPRIETARY Copyright © 2008 Washington Group International.

E. Certain documents are more easily filed and accessible in 3-ring binders rather than file folders. All files must be maintained up-to-date and in good order to ensure easy retrieval. electronic documents. The location of the binders should be noted in the project file index.3. purchase orders. the label should be marked with the folder number (i. The Project Document Controller or Project Administrator may file in 3-ring binders. (Ohio) ALL RIGHTS RESERVED . AND RETENTION Page 5 of 6 Rev. Engineering may temporarily retain certain drawings.PEP 316 RECORD FILING. File No.3. subcontracts. data sheets. etc. A range should be added to the label. D.. inspection reports. 1) and a new folder started (i. If a working document is required. Date: 23 Apr 2008 Action by Action Corporate Records 18. To close out a full file folder. supplier data.. or Client commented documents and drawings. CONFIDENTIAL AND PROPRIETARY Copyright © 2008 Washington Group International.B Engineering During the execution of a project. MAINTENANCE.3 INSTRUCTIONS 4. Electronic document repositories will be in association with Information periodically examined to ensure the recovery of the information is Technology possible with current technology. Filing should be done on a daily basis. design calculations. Responsible for maintaining up to-date archived project document indices. File No. RETRIEVAL. documents should be removed from 3-ring binders as a space saving initiative. supplier correspondence. C. Engineering detail drawings should be filed by discipline. Records Coordinator 19. 2). the documents will be updated/migrated into a more current format or media. expediting reports. then drawing number in ascending order.e. 4. 4. B. The original documents are to be turned over to Records Retention at project completion. For retention storage purposes. Inc. the Procurement Department must retain a complete file of purchasing and subcontract documents including the original bid tabs. Responsible for the retrieval of project records from and the return of the records to the off-site archives.A Paper Project Filing System Filing Instructions A. All documents should be filed by date or document number with the most current date and/or document number in front. The binders should be treated as project records and should not be defaced. requisitions. Provides suitable environment for long-term storage of Manager/Records Coordinator.e.3. These original documents must be turned over to PDCC at the time specified by the Project Execution Plan. A file check-out system will be implemented by the Project Document Controller to control and track files leaving the PDCC area. 4. Copies of these documents may be provided to PDCC during the project execution provided the originals are with Procurement. If long-term storage is in excess of the expected lifetime of the applications and/or media. F. identifying the first through last document dates in a folder.C Procurement For projects not implementing ECM. 20. a copy should be made and the “original” shall be re-filed.

vendor data.2 Electronic Records Records produced by the Company are created electronically in numerous formats (Word. projects may store records at a retention facility during the course of an active project. For cost-saving purposes.D Additions or Changes For additions or changes to the Standard Project File Index and Retention Schedule. please refer to the Project Execution Management Program Appendix D for instructions.1 316-01 (MM). It is the Company’s intention that all projects move away from hard copy storage and toward electronic records management.0 RECORDS 5.1 Records Retention The Project Record files are retained for the duration of the project. 6. Projects are required to box all CC+00 records separate from records with longer retention periods and submit to the appropriate records retention facility.PEP 316 RECORD FILING. Hard copy records received from third party companies. 4. please refer to PEP 317. said electronic records must be copied to suitable media for storage and transferred to the Corporate Records Manager. Upon receipt of final payment and notice of no Legal Holds.3. After project completion they are processed and retained in accordance with the Company Records Management Program. For electronic record filing instructions. (Ohio) ALL RIGHTS RESERVED . Date: 23 Apr 2008 The Records Coordinator is responsible for arranging for off-site retention including a suitable environment for long-term storage of electronic documents. etc). AND RETENTION Page 6 of 6 Rev. The electronic version of records is legally acceptable for retention purposes assuming any required signatures are also captured electronically. When projects box and ship records prior to final payment. it is recommended that only records deemed inactive be sent offsite for storage. may be stored and retained in hard copy versions or may be scanned and retained in electronic formats. RETRIEVAL. including any applicable software. 5.. CAD. including mail. 5. if necessary. etc. It is not mandatory to produce and retain hard copy versions of records. For spacesaving purposes. preferably PDF. MAINTENANCE. Electronic records are to be stored by PDCC in the Company’s ECM cornerstone application. Excel. the CC+00 records will be purged by the records retention staff.0 FORMS AND EXHIBITS 6. Standard Project File Index and Retention Schedule CONFIDENTIAL AND PROPRIETARY Copyright © 2008 Washington Group International. For remote projects unable to use the cornerstone application. Records should not be printed to hardcopy just for retention purposes. Inc. the job is not officially closed.