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Maintaining Project Documentation –Keeping Files of Your Filings
Kelly Dayman, AScT, Eng.L.
March 3, 2018
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YOUR PRESENTER
Kelly Dayman, AScT, Eng.L.
Manager, Organizational Quality Management (OQM)
Engineers and Geoscientists BC
Retaining Project Documentation2
ASSOCIATIONS AND AHJS
• Engineers and Geoscientists BC
• ASTTBC
• Ministry of Health
• Health Authorities and EHOs
• Ministry of Environment
• Local Government
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SEVEN QM REQUIREMENTS
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Applying applicable
Engineers and Geoscientists
BC Professional Practice
Guidelines
Retaining project documentation
for 10 years
Checking of engineering and
geoscience work
Carrying out independent review
of structural designs
Appropriately using Engineers
and Geoscientists BC sealsDirectly supervising all
delegated engineering and
geoscience work
Carrying out field reviews during
construction or implementation
NEW REVISIONS OF QM GUIDELINESwww.egbc.ca/Quality-Management-Guidelines
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RETAINING PROJECT DOCUMENTATION
Bylaw 14 states:
“(b) Members and licensees shall establish and maintain
documented quality management processes for their practices,
which shall include, as a minimum:
(1) retention of complete project documentation which may
include, but is not limited to, correspondence, investigations,
surveys, reports, data, background information, assessments,
designs, specifications, field reviews, testing information, quality
assurance documentation, and other engineering and
geoscience documents for a minimum period of 10 years;”
Retaining Project Documentation6
RETENTION OF PROJECT DOCUMENTATION CONT’D
“Document” means:
• Includes reports, letter reports, certificates, design briefs, memos,
field memos, specifications, drawings, maps, plans and some shop
drawings that provide recommendations, designs, directions,
estimates, calculations, opinions, interpretations or observations that
involve technical engineering or geoscience matters
• Includes a photograph, film, recording of sound, any record of a
permanent or semi-permanent character and any information
recorded or stored by means of any device
Retaining Project Documentation7
RETAINING PROJECT DOCUMENTATION CONT’D
Documentation may include:
• Correspondence
• Investigations
• Surveys
• Reports
• Data
• Background information
• Assessments
• Designs
• Drawings
• Filings
• Digital models
• Specifications
• Field reviews
• Testing information
• Contracts
• Quality assurance
documentation; and
• Other engineering documents
Retaining Project Documentation8
WHAT IS A DOCUMENTED PROCESS?
Documented QM process
• Has been thought out and written down in suitable form
• Captured in a written procedure, process flowchart,
checklists, forms or other documentation developed to suit
nature of work undertaken by Engineers and Geoscientists
BC professionals
Retaining Project Documentation9
RETENTION OF PROJECT DOCUMENTATION
“Project documentation” means:
• any engineering or geoscience documentation created,
collected or received for a project with a defined start and end
date
or
• any engineering or geoscience documentation created,
collected or received for ongoing work in any sector
Retaining Project Documentation10
RETENTION OF PROJECT DOCUMENTATION CONT’D
“Complete project documentation” means:
• Appropriate to nature of work or specifics of situation,
• Meets requirements of any applicable records management
system, and
• Is complete in professional judgement of
engineering/geoscience professional.
Retaining Project Documentation11
RETENTION OF PROJECT DOCUMENTATION CONT’D
“Record” or “documentation” means:
• Any document that is evidence of engineering or geoscience
related activities, events or transactions, or is evidence that
engineering/geoscience professionals have met their
professional and contractual obligations
• Don’t forget this includes emails
Retaining Project Documentation12
WHY RETAIN DOCUMENTATION?
• Assists professionals in holding public safety paramount and
serving the public interest,
• Demonstrates client objectives and professional obligations
have been met,
• Resolve issues,
• Meet legal and regulatory requirements,
Retaining Project Documentation13
WHY RETAIN DOCUMENTATION? CONT’D
• Document decision making,
• Defend claims,
• Facilitate undertaking future work, or
• Make intellectual property readily retrievable for future
solutions.
Retaining Project Documentation14
HOW LONG IS DOCUMENTATION KEPT?
Retention Period:
• 10 years after end of project or 10 years after documentation
for ongoing work is no longer in use
• 10 vs 15 years (ultimate limitation period)
• Other regulatory, statutory or contractual obligations may
necessitate longer retention periods
Retaining Project Documentation15
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WHAT DOCUMENTATION IS RETAINED AND WHY?
• Evidence of a decision or action, regardless of media
• Based on value of content rather than means or format by
which created, stored and distributed
• Judgment of engineering/geoscience professional
*how to capture text messages or similar communications?
Retaining Project Documentation17
HOW IS DOCUMENTATION RETAINED?
• Engineers and Geoscientists BC looks to see that some form of
standard file structure is in place to facilitate ease of document
retrieval
• Engineers and Geoscientists BC accepts any of 3 filing options:
• All hard copy
• All digital
• Some types of documents in digital and others in hard copy with a
cross reference so users know which types of documents are in
which format and where
Retaining Project Documentation18
CONSIDERATIONS/RESOURCES
• QMGL – Retention of Project Documentation
www.egbc.ca/quality-management-guidelines
• BC Electronic Transaction Act
• BC Limitations Act
• PDF-A (ISO 19005, Electronic document file format for long term
preservation)
• Email management tools
Retaining Project Documentation19
ORIGINAL OR COPY?
“… The Sealed set retained as a record may
be either hard copy original, a photocopy, a
digitally signed and Sealed original, or a
scanned electronic copy.”
QM Guidelines – Use of Seal 3.7.2
Retaining Project Documentation20
CRITERIA TO MEET
• Have a documented process for
controlling and retaining complete
documentation appropriate to work
undertaken (including emails)
• Choose one of the options for filing
and storing documents
• Have a standard filing system in use
• Make sure users can find documents
easily during project or work
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OQM CRITERIA TO MEET
• Make sure retained records
retrievable, readable and trustworthy
throughout retention period
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RETAINING PROJECT DOCUMENTATION 1 OF 2
• Can documentation (including email)
be found when needed?
• When needed, can engineering or
geoscience work be handed off
effectively and efficiently to others?
• Do retained records demonstrate
client and professional obligations
have been met?
23 Retaining Project Documentation
RETAINING PROJECT DOCUMENTATION 2 OF 2
• Are appropriate records retained for
required retention period?
• Can it be demonstrated that
documents and records are
trustworthy?
24 Retaining Project Documentation
LEARN MORE ABOUT THE 7 QM REQUIREMENTS
• Burnaby – April 19, 2018
• Kelowna – May 16, 2018
• Fort St. John – June 6, 2018
• Duncan – June 20, 2018
• Quesnel – June 26, 2018
OQM Training Sessions
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QUESTIONS?
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PRESENTER
Kelly Dayman, AScT, Eng.L.,
Organizational Quality Management (OQM)
Engineers and Geoscientists BC
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PRACTICE [email protected]