PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 1 of 6
Rev. Date: 23 Apr 2008

TABLE OF CONTENTS
SECTION

PAGE NO.

1.0

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

2.0

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

3.0

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

4.0

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

5.0

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

6.0

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

CONFIDENTIAL AND PROPRIETARY

Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 2 of 6
Rev. Date: 23 Apr 2008

1.0

PURPOSE AND SCOPE

The purpose of this procedure is to define the implementation process for project documents, records
retention requirements, and the method by which project documents are retrieved. Specific Clientmandated project requirements deviating from this procedure will be as defined in the Project Execution
Plan. This procedure applies to project-generated records. This PEP shall be interpreted consistent with
the Company Records Management Program.
2.0

DEFINITIONS

2.1

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. Should an individual employee have
a suggestion for improvement or modification to this procedure, he or she may mark-up a copy of the PEP
and send it to the DRM for review. The DRM will review the recommended changes and respond back to
the employee on plans to address the suggestions. Changes to the procedure will first be distributed to
the Divisional Records Management Governance Team, then other Divisional Department Managers and
Functional Leads for their concurrence. When the reviews are complete, the Vice President Business
Support Services approves the changes and forwards the final draft to the Division Legal for authorization
of use.
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, such as drawings, reports, schedules, correspondence (including e-mails
and faxes) common to projects and retention periods after project completion. For the Standard Project
File Index and Retention Schedule, see Form 316-01 (MM).
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.
It should contain the same or fewer categories than the Standard Project File Index and Retention
Schedule. Projects may elect to expand to multiple sublevels within the listed file codes, but all will roll up
to the standard index code for retention purposes.
2.4

Project Record File

The Project Record File is the master file and official record of the project. The master file may be in
paper or electronic format, or both. Project Records are those documents that pertain specifically to an
individual project. This includes hard copy and electronic documents.
2.5

Project Document Control Center (PDCC)

The PDCC is a centralized area for project document retention, control, issuance, tracking and
distribution. Documents maintained within PDCC include, but are not limited to, incoming and outgoing
correspondence, meeting notes, progress reports, technical documents including specifications, data
sheets and drawings, supplier documents, procurement information, inspection reports, and safety
reports. The person who performs this function is often referred to as the Document Controller or Project
Administrator. Projects may opt to have record copies retained by the originating departments rather than
at the field office. PDCC must be advised if this is the case.
2.6

Enterprise Content Management System

The cornerstone application chosen by the Company to store, retrieve, and retain electronic versions of
records. Please refer to PEP 317. Projects using the Company Enterprise Content Management system
will use the electronic system for their master record repository.

CONFIDENTIAL AND PROPRIETARY

Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 3 of 6
Rev. Date: 23 Apr 2008

2.7

Long-Term Storage

Repository for company records stored on or off-site that are accessed infrequently. Long-term storage
may include hard copy, microfilm, or electronic storage with the latter method being preferred. Electronic
files must be saved in accordance with the Company Records Management Program and PEP 317.
2.8

Retention Period

The length of time that a record must be kept before it can be destroyed.
2.9

Record

A Record is information, regardless of medium, created, received and maintained as a reference for and
evidence of Company functions, policies, decisions, procedures, operations, business transactions or
other activities because of the value of the data in the record. A record is created in the ordinary course
of business and has fiscal, administrative, legal, operative and strategic value necessary to perform
Company functions.
2.10

Records Management

The efficient and systematic control of the creation, receipt, maintenance, use and disposition of records,
including processes for capturing and maintaining evidence of and information about business activities
and transactions in the form of records.
3.0

REFERENCES

3.1

PEP-202, Project Execution Plan

3.2

PEP-317, Document Control and Distribution

3.3

PEP-319, Project Communications

3.4

Administrative Bulletin 11.1

3.5

Records Management Program

4.0

PROCEDURE

4.1

Process Work Flow Chart

None
4.2

Process Work Flow

Action by

Action

Project Manager/ Project

Engineering Manager/
Business Manager

1.

Adapts the Standard Project File Index and Retention Schedule

to develop the Project Specific File index and Retention Schedule.
(Note: Determine if the State where a project is performed allows
for electronic records or requires original, hardcopy, stamped
engineering documents.

2.

Identifies the sections of the project files that will be maintained

in the Home Office vs. the Field Office.

3.

Identifies where the Record Copy is maintained and in what

format (paper or electronic).

CONFIDENTIAL AND PROPRIETARY

Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 4 of 6
Rev. Date: 23 Apr 2008

Action by

Action

Project Manager

4.

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, and/or Company policies. If retention is to differ from the
standard, contact Legal.

5.

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.

6.

Assures that the Project Specific File Index and Retention

Schedule is established and maintained throughout the project.

7.

Responsible for ensuring maintenance of company confidential

and privileged files and information while the project is active.

8.

Assures paper-based project records are filed in file index

order.

9.

Assures electronic-based project files are organized pursuant

to PEP 317.

10.

Assures that documents originating with the project team have

the appropriate file index numbers.

11.

Maintains logs of numbered documents originating with the

project and/or the project team.

Legal/Project Document
Controller, Project
Administrator

12.

Where project requirements deviate from corporate retention

periods, contact the Corporate Records Manager.

Project Manager

13.

Notifies PDCC to proceed with final disposition (archiving) of

the project records and files.

Project Procurement Manager

14.

The Procurement department, under the direction of the

Procurement Manager, transfers hard copy procurement files to
PDCC, unless electronic files are maintained already. If electronic
files are available, the paper copies may be disposed of at project
completion.

Legal

15.

The Contracts Manager transfers complete copies of the

contract files to PDCC.

The Project Document

Controller, Project
Administrator

16.

Processes the project documents and files for ready reference,

final retention and archival.

Records Coordinator

17.

Responsible for arranging for the required off-site retention

(archival) into long-term storage including providing storage boxes,
Records Transfer List forms and assuring that the storage boxes
are properly labeled.

Project Manager/ Project

Engineering Manager/
Business Manager

The Project Document

Controller, Project
Administrator

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Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 5 of 6
Rev. Date: 23 Apr 2008

Action by

Action

Corporate Records
18.
Provides suitable environment for long-term storage of
Manager/Records Coordinator,
electronic documents. Electronic document repositories will be
in association with Information
periodically examined to ensure the recovery of the information is
Technology
possible with current technology. If long-term storage is in excess
of the expected lifetime of the applications and/or media, the
documents will be updated/migrated into a more current format or
media.
Records Coordinator

19.

Responsible for the retrieval of project records from and the

return of the records to the off-site archives.

20.

Responsible for maintaining up to-date archived project

document indices.

4.3

INSTRUCTIONS

4.3.A

Paper Project Filing System Filing Instructions

A. All files must be maintained up-to-date and in good order to ensure easy retrieval.
B. A file check-out system will be implemented by the Project Document Controller to control
and track files leaving the PDCC area.
C. Filing should be done on a daily basis. If a working document is required, a copy should be
made and the original shall be re-filed.
D. All documents should be filed by date or document number with the most current date and/or
document number in front. Engineering detail drawings should be filed by discipline, then
drawing number in ascending order.
E. To close out a full file folder, the label should be marked with the folder number (i.e., File No.
1) and a new folder started (i.e., File No. 2). A range should be added to the label, identifying
the first through last document dates in a folder.
F. Certain documents are more easily filed and accessible in 3-ring binders rather than file
folders. The Project Document Controller or Project Administrator may file in 3-ring binders.
The location of the binders should be noted in the project file index. The binders should be
treated as project records and should not be defaced. For retention storage purposes,
documents should be removed from 3-ring binders as a space saving initiative.

4.3.B

Engineering

During the execution of a project, Engineering may temporarily retain certain drawings, design
calculations, requisitions, data sheets, or Client commented documents and drawings. These original
documents must be turned over to PDCC at the time specified by the Project Execution Plan.
4.3.C

Procurement

For projects not implementing ECM, the Procurement Department must retain a complete file of
purchasing and subcontract documents including the original bid tabs, purchase orders, subcontracts,
supplier data, supplier correspondence, inspection reports, expediting reports, etc. Copies of these
documents may be provided to PDCC during the project execution provided the originals are with
Procurement. The original documents are to be turned over to Records Retention at project completion.

CONFIDENTIAL AND PROPRIETARY

Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED

PEP 316

RECORD FILING, MAINTENANCE, RETRIEVAL, AND RETENTION

Page 6 of 6
Rev. 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.
4.3.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.
5.0

RECORDS

5.1

Records Retention

The Project Record files are retained for the duration of the project. After project completion they are
processed and retained in accordance with the Company Records Management Program. For spacesaving purposes, projects may store records at a retention facility during the course of an active project.
For cost-saving purposes, it is recommended that only records deemed inactive be sent offsite for
storage.
When projects box and ship records prior to final payment, the job is not officially closed. Projects are
required to box all CC+00 records separate from records with longer retention periods and submit to the
appropriate records retention facility. Upon receipt of final payment and notice of no Legal Holds, the
CC+00 records will be purged by the records retention staff.
5.2

Electronic Records

Records produced by the Company are created electronically in numerous formats (Word, Excel, CAD,
etc). It is not mandatory to produce and retain hard copy versions of records. The electronic version of
records is legally acceptable for retention purposes assuming any required signatures are also captured
electronically.
Electronic records are to be stored by PDCC in the Companys ECM cornerstone application.
For remote projects unable to use the cornerstone application, said electronic records must be copied to
suitable media for storage and transferred to the Corporate Records Manager, including any applicable
software, if necessary. Records should not be printed to hardcopy just for retention purposes.
Hard copy records received from third party companies, including mail, vendor data, etc., may be stored
and retained in hard copy versions or may be scanned and retained in electronic formats, preferably PDF.
It is the Companys intention that all projects move away from hard copy storage and toward electronic
records management.
For electronic record filing instructions, please refer to PEP 317.
6.0

FORMS AND EXHIBITS

6.1

316-01 (MM), Standard Project File Index and Retention Schedule

CONFIDENTIAL AND PROPRIETARY

Copyright 2008 Washington Group International, Inc. (Ohio) ALL RIGHTS RESERVED