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

oqm@egbc.ca

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;”

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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

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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

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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

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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

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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.

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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

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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,

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WHY RETAIN DOCUMENTATION? CONT’D

• Document decision making,

• Defend claims,

• Facilitate undertaking future work, or

• Make intellectual property readily retrievable for future

solutions.

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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?

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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

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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

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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

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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?

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RETAINING PROJECT DOCUMENTATION 2 OF 2

• Are appropriate records retained for

required retention period?

• Can it be demonstrated that

documents and records are

trustworthy?

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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

oqm@egbc.ca

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PRACTICE ADVISORSpracticeadvisor@egbc.ca