Document No.: IN-PR-18-0009 Revision No.

: 1 Effective Date: 23 Nov 2015

INTERNATIONAL
DOCUMENTATION\RECORDS MANAGEMENT
PROCEDURE
PROCESS OWNER

1.0 PURPOSE AND APPLICABILITY

The purpose of this procedure is to establish the requirements and process for documentation
management. This procedure also identifies the types of products and processes that require
documentation management.

Documents are established and retained to provide evidence of meeting requirements. Documents
are also retained to demonstrate the effective operation of the Process Management system.
Documents that provide objective evidence of completed activities or results will be treated as
records; therefore, the term “document” and “record” are used interchangeably in this procedure.

2.0 SCOPE

This procedure applies to the management and control of project documents which are executed
from Black & Veatch offices, as well as functional area documents. For the management and
control of Process Management documents, refer to the Process Management Documentation
Development Procedure.

Documents of external origin that may be utilized for projects and functional business in United
Arab Emirates may be referenced on the United Arab Emirates Process Management System
website for planning purposes.

3.0 RESPONSIBILITIES AND AUTHORITIES

Roles and responsibilities are assigned to qualified personnel based on experience, expertise, and
project requirements. Review and verification functions, when required, are performed by
personnel other than those who performed the original work and can be an individual from the
same group.

Director of Finance and Administrative, Asia Pacific, shall be responsible for documenting
his/her authorization for the destruction of records.

Department Head shall be responsible for documenting his/her authorization for the destruction
of records.

Business Legal Counsel shall be responsible for documenting his/her authorization for the
destruction of records.

Process Owner is the owner of this procedure and shall be responsible for its review, approval,
implementation, maintenance, and continued suitability, including communication and training for
effective implementation.

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Professionals shall be responsible for the creation and maintenance of completed documents to
provide evidence of meeting requirements and shall provide protection from damage or loss during
the time that the documents are in their possession.

Project Manager (PM) shall be responsible for ensuring that project folders are created, and for
defining the processes for the handling, storage, and protection of project documents. The PMs
shall also designate who is approved to have access to documents.

Project Support Assistant (PSA)/Project Administrator shall be the central point of project
document and record control. The PSA is responsible for processing or supervising the processing
of project documents.

Records Managers shall enable access to confidential documents to authorized professionals.

Section Lead/Resource Manager/Discipline Lead (may also be referred to as Department

Managers) shall be responsible for the storage and maintenance of documents within their area.
The manager shall designate who is authorized to have access to these documents.

4.0 PROCESS/INSTRUCTIONS

The following subsections define the steps for the creation, identification, management, control,
maintenance, and storage of documents.

4.1 Records to Retain

Records are identified and created as defined in Process Management procedures under Section
6.0, Records, International Process Management documents, or project Execution Plans that apply
to the work that is being completed. The purpose of records is to accurately reflect completed work
or information that is required for completing work. In addition, CI.07.13.03, Records Retention
Schedule defines records to retain per job function.

Governmental documentation/records are controlled by projects and are defined in project

Execution Plans.

Records from suppliers are defined by the applicable design documents, procurement documents,
or other project requirement documents. Supplier’s records are to be legible, complete, and
detailed enough to establish a connection between the record and the applicable item or activity.

Manuscripts and preliminary drafts of specifications, reports, and other similar documents are not
normally retained permanently in the project files.

4.2 Classifications

Active records should be retained at a location close to the personnel using them. Active records
are records used on a regular basis during project execution. Records that have not been recently

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used are considered inactive; records that are not required to be used on a routine basis are
considered inactive.

Records shall be classified and stored based on the document type. Based on the document type,
records may be stored as hard copies or electronically as defined in CI.07.13.03, Records Retention
Schedule.

4.2.1 Confidential Documents

Confidential documents are controlled as documented in project Execution Plans. Project Managers
should consider implementing the following project requirements for their projects.

 Release of sensitive information (either orally or in writing) outside the company will
require a nondisclosure agreement from the receiving party.

 Information identified as sensitive or classified by the client will be stored according to the
client’s direction. This will be documented by the PM in the project EP.

 Any written information or data that is proprietary and/or confidential should be marked
or labeled as proprietary, confidential, or trade secret.

Only professionals approved by the Project Manager and the Records Manager(s) shall have access
to classified documents.

When not in use and after normal working hours, sensitive information should be locked in an
office, desk, file cabinet, or other secure container. Confidential electronic files are stored using
Documentum or other approved storage software. Confidentiality and protection of data is ensured
through storage in Documentum, ProjectWise, or other controlled database with limited access that
maintains confidentiality and prevents tampering. The filing storage system assures recovery of
backed up documents as needed.

4.3 Storage Methods

Records shall be retrievable, legible, complete, and easily identified and reproduced. Records are to
detailed enough to establish a connection between the record and the applicable item or activity.
Refer to the Document Control Guide.

Documents shall be stored to allow for access and for protection from damage. Documents may be
any media (databases, paper, photographs, etc.). The required media is specified within project
Execution Plans, Process Management procedures, manuals, and references. The selection of a
storage location involves consideration of space requirements and any special equipment
(hardware, software, etc.) that must be available to access documents. When changes in technology
are required, procedures are to be revised to support document accessibility and readability to
meet minimal retention time requirements.

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Documents are to be processed and stored in a way that prevents delay or expenses when
retrieving the document.

Physical or hard copy records are to be retained according to Black & Veatch company
requirements. Refer to CI.07.13.01, Records Retention Process – Hard Copy.

4.3.1 Electronic Storage

For operational records, the electronic storage location varies based on the Process Management
procedure. For project records, the PM assigns the PSA or designee as the central point of project
document and record control. The PSA is responsible for processing or supervising the processing
of project documents. Those responsibilities should be defined in the EP; responsibilities may
include receiving, applying file numbers, releasing project documents, and reviewing the integrity
of the project files.

A folder numbering structure provides a method to classify and arrange documents for filing,
retrieval, and storage. Documentum (or another approved long-term storage software such as
ProjectWise) shall be used as the repository for electronic records of projects. Project Managers,
PSAs, or designees, are responsible for ensuring the creation of new project folders in Documentum
(or another approved long-term storage software) using the Corporate Project File Number System.
This numbering system shall be used for storing documents: project correspondence, memoranda,
specifications, calculations, design inputs, reports, and other documents. The numbering system
may be customized according to the project Execution Plans. Project customization may include
using only the file folder numbers that will be used by the project (All file numbers are not
required); file numbers cannot be renamed unless a number is defined as “Open” in the corporate
filing system.

Digital, database or computer records are stored in a central document management repository.
Database records are electronically retained in respective databases. These records remain in the
database as a permanent electronic records. An index of archived records is retained with the
destruction date, format, and media type. The media should be stored according to corporate
security standards and the manufacturers’ recommended environmental conditions. The Chief
Information Officer (CIO) office maintains responsibility for digital records storage and provides
short-term records storage in accordance with CI.07.13.03, Records Retention Schedule.

4.4 Retention Times

Each record is retained for a minimal retention time. Retention times shall conform to the limits
defined for each record type in the CI.07.13.03, Records Retention Schedule . One exception may be
where local regulations require longer retention periods. In India, Accounting and Finance records
are to be retained for a minimum of 8 years per the Indian Companies Act.

If a client requests that records be retained beyond the durations defined in the Records Retention
Schedule, this request shall be approved by the responsible Project Manager and defined in the
associated project Execution Plan.

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4.5 Disposal of Records

The Section Lead/Resource Manager/Discipline Lead reviews the record and confirms that the
record has been stored for the mandatory retention period. If the retention requirements have been
met, approval is requested to destroy the document. Before any record is destroyed, all of the
following professionals must agree and complete the CIF.07.13.01-2, Inactive Records Storage
Destruction Authorization form.

 Business Legal Counsel,

 Director of Finance and Adminitrative, Asia Pacific
 Responsible Department Head/Project Manager.
The Records Manager is responsible for permanently retaining the completed Authorization form.
The office Records Manager provides a copy of the completed form to the Quality Manager.

A supplier’s records will not be destroyed until the following are met:

 Operational status permits.

 Warranty consideration is satisfied.
 Purchaser’s requirements are satisfied.

Every effort should be made to ensure that documents involving litigation, financial audit, or
subject to other legal restrictions are not destroyed. These documents are to not be destroyed
during the preparation or processing of these activities without the written approval of Business
Legal Counsel.

4.6 Retrieval

To retrieve records from storage, professionals should be prepared to provide the following
information to the Records Manager:

 Name of client/project scope/project number.

 Box number.
 Charge number/phase.
 Where to send materials – person’s name, location, and phone extension.
 Approximate time period that they plan to borrow the box(es).

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5.0 DEFINITIONS

Active Record--A document needed to perform operations, regularly used, and is typically
accessible near a professional’s work area.

Inactive Record--A document no longer being used that must be retained. Inactive records are
typically stored off-site storage facilities.

Records--Document that demonstrates operations, designs, or transactions that confirm a process

or support process results, product verification, and contract agreements. Records should not be
revised once they are identified as records; revised documents may become records.

6.0 RECORDS

Records are filed, retained, and controlled in accordance with CI.07.13.03, Records Retention
Schedule. In India, Accounting and Finance records are to be retained for a minimum of 8 years per
the Indian Companies Act. A few retention examples to meet the requirements of the Indian
Companies Act are daily cash reports to be retained for 8 years per the Act rather than 4 years per
the Records Retention Schedule and deposit slips to be retained for 8 years per the Act rather than
2 years per the Records Retention Schedule.

Records for this procedure include the following:

 CIF.07.13.01-1 Inactive Records Storage .

 CIF.07.13.01-2, Inactive Records Storage Destruction Authorization form .
 Project Execution Plan.
7.0 REFERENCES

1. CI.07.13.03, Records Retention Schedule

2. Project Execution Manual.

3. Document Control Guide.

4. CI.07.13.01, Records Retention Process – Hard Copy .

5. Process Management Documentation Development Procedure .

6. Corporate Project File Number System.

8.0 APPENDICES

None.

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