Alaska Maritime/Logistics Document Control and Records Management Procedure Shell Exploration & Production Company (Shell) Alaska Venture 2015

Shell Exploration & Production Company Custodian: Alaska Maritime & Logistics
Operations Procedure - Restricted March 2015
ALASKA MARITIME/LOGISTICS
DOCUMENT CONTROL AND
Printed copies of this document are UNCONTROLLED. Destroy (RECYCLE) after use.
RECORDS MANAGEMENT PROCEDURE
SHELL EXPLORATION & PRODUCTION COMPANY
(Shell)
ALASKA VENTURE
2015
Signatures for this revision

Date Role Name Signature or electronic reference (e-mail)
Originator K. Poston
Reviewer C. Pittman
Reviewer J. Harrap
Reviewer D. George
Reviewer D. Ott
Reviewer T. Adebayo
Approver M. Guadagnini
Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 1 of 10

Shell Alaska Venture and Records Management Procedure Rev. 0
The controlled version of this “controlling document” resides online in Livelink®. Printed copies are UNCONTROLLED.
Topic This document details the preparations, procedures and requirements for document
control for the Shell Alaska Maritime and Logistics Department.
Purpose/Scope The purpose of this Alaska Maritime and Logistics Document Control and Records
Management Procedure (Procedure) is to support a consistent, safe method for
consistently formatting and storing of documentation.
Applies to This Procedure applies to all Shell Alaska Maritime and Logistics employees and
contractors.
Primary The Alaska Maritime and Logistics Records Manager shall be responsible for
Responsibility assuring that this Procedure is provided and that operators are instructed to use this
Procedure prior to the operation.

Document Revision Log

The following table logs all major changes to this document following initial approval:
Rev. Date Description Author(s)
0 March 2015 Original Kelly Poston

TABLE OF CONTENTS
1. INTRODUCTION .......................................................................................................................... 6
2. GROUP STRATEGY FOR RECORDS MANAGEMENT........................................................ 6
3. STANDARD AND GUIDELINES ................................................................................................ 7

3.1 Group Records Management Standard and Guidelines ....................................................... 7
3.1.1 Group Standard for Records Management ............................................................. 7
3.1.2 Group Record Management Guidelines ................................................................. 7
3.2 Functional Responsibilities and Guidelines on Records Management ............................... 7
3.3 Preservation Guidelines ....................................................................................................... 7
3.4 Business Communication Standard and Email Code .......................................................... 7
4. RISKS: POTENTIAL CONSEQUENCES OF INEFFECTIVE RECORDS

MANAGEMENT ............................................................................................................................ 8
5. FILE PLAN ..................................................................................................................................... 8

5.1 Documents to Capture ......................................................................................................... 8
5.2 Document Templates ........................................................................................................... 9
5.3 Livelink Folders................................................................................................................... 9
6. DOCUMENT REVIEW PROCESS ........................................................................................... 10
7. ALASKA OPERATIONS DOCUMENTATION ...................................................................... 10

ACRONYMS
BCS Business Communication Standard and Email Code
Procedure Alaska Logistics Document Control and Records Management Procedure
Shell Shell Exploration & Production Company

1. INTRODUCTION
This Procedure outlines procedures for creating, editing, and storing documentation. It also outlines what
documentation should be captured and stored for the Logistics Department. All documentation is
considered restricted and should not be shared with outside parties without permission from legal counsel.
This procedure follows Shell’s Group Records Management Guidelines.
Records Management is the process of creating, identifying and classifying, maintaining, storing, and
disposing of Records. Business Records must be managed in order to meet legal, fiscal and regulatory
requirements, to preserve corporate memory, and to support business decision-making and business
development. Managing Records properly also saves time and money when searching for information.
Group Records Management was launched at Shell Business Week 2005. The Group’s Records are a
crucial business asset and therefore need to be managed according to the Group Records Management
Standard and Guidelines.
The Logistics Records Manager ensures that Records Management is sustained for Maritime and
Logistics and coordinates best practice across the Maritime and Logistics Team.
2. GROUP STRATEGY FOR RECORDS MANAGEMENT

The Standard and Guidelines on Records Management give a standardized Records Management process
across the Group. The Group Strategy applies a risk-based approach to Records Management to identify
the areas of highest exposure and ensure consistent and auditable management of Records and their
efficient retrieval.
This approach also assists Shell in being able to comply consistently with increasingly prescriptive
external requirements and mitigating significant risks, both to the Group as a whole and to individual
Businesses and Functions. Effective risk management in this area will specifically support:
• Compliance with external regulation requiring business controls (e.g. the Sarbanes-Oxley Act or
local tax regulations);
• Safeguarding of business critical Records that may otherwise be lost or damaged;
• Faster, more effective access to business critical Records bringing reduced search costs;
• Establishment of Group/Business or Function wide consistency in managing Records as company
assets;
• Increased efficiency in responding to litigation, audits and other internal and external
investigations; and
• Increased opportunity for cost optimisation in Record Management activities.

3. STANDARD AND GUIDELINES

The following documents provide a standardized and consistent approach to the management of Records
for Alaska Maritime and Logistics Group.
3.1 Group Records Management Standard and Guidelines
The following standard and guidelines form a part of the Group’s suite of mandatory Information
Management standards and is owned by Ethics and Compliance.
3.1.1 Group Standard for Records Management

The Group Standard for Records Management is a part of the Group’s suite of mandatory Information
Management standards. Records must be managed securely throughout their lifecycle in line with their
importance to the Group and in compliance with legal, tax, regulatory, accounting, and business retention
requirements.
3.1.2 Group Record Management Guidelines

The purpose of the Group Records Management Guidelines is to explain how to comply with the
mandatory Group Standard for Records Management. This document explains how Records
Management in Shell works and the associated roles and responsibilities. Each Business or Function
must comply with these Group Guidelines and the Group Standard for Records Management.
3.2 Functional Responsibilities and Guidelines on Records Management

The Shell Legal/Intellectual Property Services Updated Functional Responsibilities and Guidelines on
Records Management provides a summary of the functional responsibilities of Shell Legal in the
implementation of Group Records Management, together with guidance on legal issues associated with
Records Management, and details of the implementation of Group Records Management within Shell
Legal.
3.3 Preservation Guidelines

The Group Records Management Preservation Guidelines provide general guidance for all employees of
Shell companies world-wide who may become involved in the preservation of Records, information and
materials in connection with pending or anticipated litigation, government investigations or tax audits.
The Guidelines describe the actions that individuals, Business Management and Records Management
staff must take, and the issues they should consider, in the light of laws applying to Shell companies in
different countries.
3.4 Business Communication Standard and Email Code

The Business Communication Standard and Email Code (BCS) sets the principles and rules for all
communication by Shell staff, within Shell or with third parties. It aims to minimize liability and
compliance risks by setting mandatory requirements and giving guidance. The BCS applies to all
correspondence including mail, electronic documents, instant messages, websites, postings on the Shell
Global Networks (Sitescape), paper documents, facsimile, voice and voice mail recordings. Failure to
apply the BCS requirements may result in damage to your reputation and that of Shell. Failure to comply
with the mandatory rules may result in disciplinary or legal action.

4. RISKS: POTENTIAL CONSEQUENCES OF INEFFECTIVE

RECORDS MANAGEMENT
Ineffective Records Management creates significant business risks that may have negative financial,
competitive, business integrity, reputation, regulatory and compliance consequences.
Compliance with the Group Records Management Standard and Guidelines will help protect the Group
and its employees from risks, such as:
• Fines or sanctions from courts and regulators;

• Additional tax liability;
• Competitive disadvantage or loss of licence to operate;
• Cost to the Group through unnecessarily lengthy searches for Records;
• Inability to defend litigation properly;
• Loss of valuable corporate memory;
• Making poor decisions based on incomplete or out-of-date information; and
• Damage to Group reputation, e.g. as a result of inability to demonstrate compliance with specific
Sarbanes-Oxley Act/Legal/Tax documentation and evidence requirements.
Where non-compliance with the Group Standard and Guidelines results in breach of legal or regulatory
requirements, this may result in fines or, in extreme cases, imprisonment.
5. FILE PLAN
All original documents (i.e., Word, Excel, PowerPoint) should be stored on Livelink. If you are unsure
where to create/store them, check with your Records Manager.
Individuals should classify Records based on the local File Plan for their Business or Function. A File Commented [K1]: Insert link to file plan
Plan is a list of the different types of Records that are produced or received by an individual work group,
together with instructions on how each type of Record must be managed. Induction and ongoing training
to use the File Plan will be provided. The Records Manager will perform spot checks to ensure that the
correct storage and classification has taken place. Your Records Manager will be able to provide
guidance where it is required.
5.1 Documents to Capture

This section explains what type of documents should be captured. This includes, but is not limited to the
following:
• Activity Security Logs • Building Emergency Action Plans

• Audits • Building Inspections
• Administrative Documents • Building Layouts
• After Action Reviews • Camp Inspections
• Bridging Documents • Camp Questionnaires

• Certificates of Conformance • Inventory Lists

• Certificates of Proof Test • Maintenance Logs
• Comment Cards • Material Lists
• Contact Lists • Meeting Minutes
• Contractor HSSE Documents • Medical Emergency Response Plan
• Contracts • MSDS List
• Correspondence • Operational Summaries
• Crane Certifications • Orientation
• Crane Inspections/Assessments • Orientation Lists
• Critical Complex Lift Plans • Pass Over Notes (Change Out Notes)
• Daily Checklists • Policies, Plans, Procedures
• Daily Reports • Presentations
• Damage Reports • Reports
• Disposal Receipts • Road Risk Assessments
• Equipment Lists • Safe Work Permits
• Evacuation Plans • Safety Checklists
• Fall Protection Permits • Safety Meetings (list and presentations)
• Fire Marshall Permits/Certificates • Safety Pause Forms
• Fork Lift and Loader Inspections • Security Logs
• Forms (templates and filled out forms) • Security Plans
• Fountain Report Forms • SSE Forms
• Goal Zero Information • Training Rosters
• Hazard Hunt documentation • Trash Manifest Logs
• Hazardous Waste Manifests • Walk Through Inspections
• HAZID • Waste Logs
• Health and Safety Plans • Weekly Reports
• Hot Work Permits • Waste Management Plans
• Housekeeping Audit Forms • Water Sample Reports
• HSSE data/reports • Wildlife Reports
• JSAs (completed daily for all ops) • Variances
• Incident Reports • Vehicle Inspections
• Inspection Forms • Vessel Reports
5.2 Document Templates

Templates have been created for use by Alaska Logistics Group are located in the Forms folder on
Livelink. See the List of Forms for an explanation of each form.
5.3 Livelink Folders

There are Livelink folders created for the Alaska Logistics Group. A Livelink Request Form has been
created that lists out what folders and subfolders are in Livelink for Logistics, contents of each folder and
the file custodian. You must have this document signed by your manager and forward your form to the
Records Manager to provide you access.

6. DOCUMENT REVIEW PROCESS

All documents should go through internal review, and then be sent to Document Control for
formatting/editing. Document Control will ensure all documents are consistent with formatting, wording,
etc., review changes with the author, and store a final copy in Livelink in the department folder in the
original format and a pdf in the appropriate folder.
7. ALASKA OPERATIONS DOCUMENTATION

Documents related to Alaska operations can be found at the following link:
http://sww.shell.com/ua/locations/alaska/AK_Operations.html
Other UAX Alaska Documents, sorted by title, can be found here:
http://sww.shell.com/ua/dm/exploration_commercial/Alaska_Titles.html


Alaska Maritime/Logistics Document Control and Records Management Procedure Shell Exploration & Production Company (Shell) Alaska Venture 2015

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Shell Exploration & Production Company Custodian: Alaska Maritime & Logistics

Operations Procedure - Restricted March 2015

Signatures for this revision

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 1 of 10

Operations Procedure - Restricted March 2015

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 2 of 10

Operations Procedure - Restricted March 2015

Document Revision Log

Rev. Date Description Author(s)

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 3 of 10

Operations Procedure - Restricted March 2015

3. STANDARD AND GUIDELINES ................................................................................................ 7

4. RISKS: POTENTIAL CONSEQUENCES OF INEFFECTIVE RECORDS

5. FILE PLAN ..................................................................................................................................... 8

6. DOCUMENT REVIEW PROCESS ........................................................................................... 10

7. ALASKA OPERATIONS DOCUMENTATION ...................................................................... 10

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Operations Procedure - Restricted March 2015

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Operations Procedure - Restricted March 2015

2. GROUP STRATEGY FOR RECORDS MANAGEMENT

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Operations Procedure - Restricted March 2015

3. STANDARD AND GUIDELINES

3.1.1 Group Standard for Records Management

3.1.2 Group Record Management Guidelines

3.2 Functional Responsibilities and Guidelines on Records Management

3.3 Preservation Guidelines

3.4 Business Communication Standard and Email Code

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 7 of 10

Operations Procedure - Restricted March 2015

4. RISKS: POTENTIAL CONSEQUENCES OF INEFFECTIVE

• Fines or sanctions from courts and regulators;

5.1 Documents to Capture

• Activity Security Logs • Building Emergency Action Plans

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 8 of 10

Operations Procedure - Restricted March 2015

• Certificates of Conformance • Inventory Lists

5.2 Document Templates

5.3 Livelink Folders

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 9 of 10

Operations Procedure - Restricted March 2015

6. DOCUMENT REVIEW PROCESS

7. ALASKA OPERATIONS DOCUMENTATION

Other UAX Alaska Documents, sorted by title, can be found here:

Printed: 12/1/2018 Alaska Maritime/Logistics Document Control Page 10 of 10

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