Section F
Filing and Archiving
This may be a boring subject, but keeping the paper under control is crucial. Ideally a company will have a filing system that is consistent on all projects so that full-time or part-time personnel are familiar with the system regardless of the project. It doesn't matter whether the system is electronic or physical; a system such as this is still required.
1 The Filing System
1.1
The filing system should be designed so as to reduce multiple filing of documents and ensure a complete set of predetermined master files for archiving.
1.2
The system should be based on origin and destination for all correspondence and by subject for all other documents.
1.3
In order to keep the system simple, limit it to three levels, using a decimal numbering system: major categories (1.0.0), minor categories (1.1.0), and specific subjects (1.1.1).
1.4
The major categories should primarily be organized around functional or departmental groups:
| 1.0.0 | Project management |
| 2.0.0 | Correspondence/minutes of meetings |
| 3.0.0 | Legal and insurance |
| 4.0.0 | Finance and accounts |
| 5.0.0 | Administration |
| 6.0.0 | Project controls/project office |
| 7.0.0 | Design/engineering |
| 8.0.0 | Procurement |
| 9.0.0 | Installation/construction |
| 10.0.0 | Commissioning/start-up |
1.5
In order to minimise the number of files, it is suggested that subject-specific files are only created as they become necessary. That is, the filing list can be edited down to suit the size of project by omitting unwanted files. However, the standard file numbers should not be changed, e.g. 4.3.3 is always, say, letters of credit – if used.
1.6
Unless there is a central filing system, the master files should be the responsibility of the functional supervisor for the appropriate category. Project management is responsible for the first three major categories. If there is no finance and accounts function, then this becomes the responsibility of project controls or the project office. The administration category is also the responsibility of project controls or the project office.
1.7
The major category master files should contain the original documents or master copies of key documents relating to that subject. They are the official project files and should not be used as working documents.
1.8
When a project group requires copies of material from another major category master file, the copies should be kept in a secondary file, not the group's own major category file.
1.9
The format for secondary files is up to the individuals concerned. However, it would be sensible if they followed the numbering system of the major categories concerned.
1.10
Secondary files are for working convenience and should never contain original documents or master copies. The difficulty is getting people to transfer any marginal comments or relevant working papers to the master file in order to ensure a complete archive record.
1.11
Documents generated within the project should use the subject or minor category as a heading, and the file number should be allocated at the time of generation by the originator.
1.12
Correspondence and action logs should always list the reference number of the relevant subject file.
1.13
In general, documents should only need filing once. The exception is client correspondence and minutes of meetings. These are filed under the appropriate origin–destination file as well as under the relevant subject file category.
1.14
Get company and client approval/agreement and issue a dated list with the revision status.
2 Archiving
2.1
There are three reasons for archiving: (1) statutory requirements; (2) contractual requirements; and (3) as an historical record so that, hopefully, we can learn and transfer know-how for the future.
2.2
Conventionally, archiving occurs at the end of a project. However, consider archiving progressively at key stages of a project if this is possible, particularly whilst key personnel are still available.
2.3
If the master files have been maintained complete, and the secondary files have been kept independent from the master files, then the secondary files can be destroyed at project end. The master files are retained as the project records and can be archived accordingly.
2.4
There are three categories of ‘retention’, and the file labels should be colour coded accordingly: red, white, and blue (see section 3 following).
2.4.1
Red files should be retained as hard copy up to the end of any project warranty period and can then be transferred to the appropriate archive medium, e.g. DVDs.
2.4.2
Blue files are only retained as hard copy up to the end of the warranty period and can then be destroyed. However, do not forget that the warranty period may, for various reasons, get extended, and you may have to stop admin people from destroying the files prematurely.
2.4.3
White files can be destroyed at project end when the project is handed over to the client.
2.5
The retention of original legal/contract documents should be the responsibility of a company's legal or contracts department. Thus, any original documents of this nature that were not handed over should be transferred before archiving.
2.6
The same principle applies to original insurance documents or other documents, which for legal reasons have to be retained as hard copy. Similarly, all financial documents that are required to be retained for statutory reasons should be transferred to finance and accounts. Thus the project files can be destroyed at the end of the project.
2.7
If material requisition files and purchase order files have been strictly maintained and they are complete with all relevant correspondence and so on, then these files form the prime documents for archiving. Other files, for example internal correspondence files, can be destroyed at the end of the project.
3 Master File Index Recommended Minor Categories and Suggested Subjects
| 1.0.0 | Project Management | |
| Colour Code | File No. | Title |
| White | 1.1.0 |
Memos: To and from project management, to and from management, and to and from other key departments |
| Blue | 1.2.0 |
Coordination procedures: Client coordination procedure, procedures manual, coordination procedure third parties. |
| White | 1.3.0 |
Policies and personnel: Employment conditions, assignments, recruitment, immigration, work permits, visas, resumes, vacations, and rest and relaxation schedules |
| White | 1.4.0 |
Public relations: Press releases, presentations, VIP visits |
| White | 1.5.0 |
Quality assurance: Audits |
| Red | 1.6.0 |
Commissioning/Handover: Precommissioning, mechanical completion, material certificates, client acceptance certificates, start‐up |
| White | 1.7.1 |
Training: Technology transfer, training client personnel |
| Colour Code | File No. | Title |
| Red | 1.8.0 |
Matters of concern. When problems occur it is often difficult to track down all the relevant documentation. Consequently, if you, as the project manager, decide that an issue should be highlighted as a ‘matter of concern’ then a separate secondary subject file is raised under this number. Obviously personnel need to be made aware that a matter of concern has been raised and an extra copy of all the subject documents made available. This should be the only area of multiple filing copies but it saves a lot of hassle if the issue becomes serious. |
| Hard Copy | 1.9.0 | Project Historical Report. |
| 2.0.0 | Correspondence/Minutes of Meetings | |
| Colour Code | File No. | Title |
| Red | 2.1.0 |
Client correspondence: Letters to and from client home office, to and from site, and to and from another location. The second copy of a letter should be copied to the relevant subject file. Letters should be complete with all attachments. Bulky attachments can be filed in a separate letter supplement file, properly cross referenced to the letter file. |
| Red | 2.2.0 | Letters to and from client's technical advisor/managing contractor. |
| Red | 2.3.0 | Letters to and from company entities. |
| Red | 2.4.0 | Letters to and from partners, associates, or local office. |
| Red | 2.5.0 |
Letters to from finance lenders: Letters to and from banks. |
| Red | 2.6.0 | Letters to and from consultants/licensors/third parties. |
| Red | 2.7.0 |
Letters to and from others. Letters to or from contractors, subcontractors, or vendors should be filed in the procurement material requisition, purchase order, or contract files as appropriate. |
| Red | 2.8.0 |
Minutes of meetings with client: Filed by subject, e.g. engineering/design, procurement, and installation/construction. Alternatively, file by office or location. |
| Red | 2.9.0 | Minutes of Meetings with client's technical advisor/managing contractor. |
| Red | 2.10.0 | Minutes of meetings with company entities. |
| Red | 2.11.0 | Minutes of meetings with partners, associates, or local office. |
| Red | 2.12.0 | Minutes of meetings with finance lenders or banks. |
| Red | 2.13.0 | Minutes of meetings with consultants/licensors/third parties. |
| Red | 2.14.0 | Minutes of meetings with others. |
| Red | 2.15.0 | Internal project management minutes of meetings. |
| white | 2.16.0 |
Internal engineering/design minutes of meetings. Meetings with vendors and subcontractors are filed in the appropriate purchase order file. |
| 3.0.0 | Legal and Insurance. | |
| Colour Code | File No. | Title |
| White | 3.1.0 |
Memos: To and from legal/contracts and memos to and from insurance. |
| White | 3.2.0 |
Tender/proposal: Pre‐contract correspondence. |
| White | 3.3.0 |
Contract (official copy): Contract changes/variations client approved change orders, confidentiality agreements. Remember the originals should always be passed to the corporate legal/contracts department. |
| Red | 3.4.0 | Force majeur. |
| Hard copy | 3.5.0 | Client job/project specification. |
| White | 3.6.0 |
Inter‐company agreements: Agreements with consultants, partner, and other third parties, associated confidentiality agreements. |
| Red | 3.7.0 |
Statutory authorities: Planning permission. |
| White | 3.8.0 |
Insurances: Policies, insurance claims |
| 4.0.0 | Finance and Accounts | |
| Colour Code | File No. | Title |
| White | 4.1.0 |
Memos: Memos to and from finance and accounts. |
| White | 4.2.0 |
Invoicing: Accounting authorisation and funds/cost flow chart, advance funds requests, fee invoices, cost invoices – home office and site, back charges, interoffice and intercompany. |
| White | 4.3.0 |
Finance: Banking relationships/lenders, bank accounts, letters of credit, bank guarantees. Correspondence see 2.5.0 All financial records that have to be retained for statutory reasons should be passed to the finance and accounts department |
| White | 4.4.0 |
Costs: Approval authorities, cash flow, irrecoverable costs, recoverable costs, chart of accounts, foreign exchange, payroll, telephone charges, agency timesheets/invoices, personal accounts, overtime requests. Individual cost files by contractor for materials and services by others. This is usually a site function. |
| White | 4.5.0 |
Taxes: Taxes and tax laws, manufacturing taxes, income tax, VAT. |
| White | 4.6.0 |
Payroll: Home office, site, other locations. |
| Blue | 4.7.0 |
Audit: Client, internal, queries raised. |
| Colour Code | File No. | Title |
| Blue |
Reports: ccounts/receivables due of special significance, payables, multi‐loan reports, financial statements, earned revenue calculation, costs and commitments (this will form part of the project manager's report) |
|
| 5.0.0 | Administration | |
| Colour Code | File No. | Title |
| White | 5.1.0 | Organization charts |
| White | 5.2.0 |
Project Roster Personnel requests & approvals |
| White | 5.3.0 | Forms |
| White | 5.4.0 |
Documentation distribution Circulation lists, transmittals. |
| White | 5.4.0 | Travel requests |
| White | 5.5.0 | Reproduction |
| White | 5.6.0 | Leases |
| White | 5.7.0 | Furniture and equipment |
| 6.0.0 | Project Controls/Project Office | |
| Colour Code | File No. | Title |
| White | 6.1.0 |
Memos: Memos to and from project controls/project office. |
| Blue | 6.2.0 |
Cost estimates: Proposal estimate, cost codes, budgets and adjustments, trend base estimate, definitive estimate, updates, cost studies. This file should be passed to the main estimating department at project completion for their retention or disposal. |
| Blue | 6.3.0 |
Cost trends: Home office trends, site trends, trends back‐up, change orders. The master copy of agreed change orders and the associated back‐up material must be filed in the appropriate contract sub‐file of 3.3.0. |
| White | 6.4.0 |
Cost forecasts: Home office forecasts, site forecasts. |
| Hard Copy | 6.5.0 |
Reports: Monthly progress report, monthly cost report (costs and commitments), non‐reimbursable costs report, man hour report, design/engineering progress, critical items, historical cost report. The historical cost report forms part of the main project historical report 1.9.0 |
| White | 6.6.0 |
Programmes/Schedules: Proposal schedule, project master schedule (original and latest computer update), summary schedules (design/engineering and manufacturing/construction), 30‐, 60‐ or 90‐day schedules, detailed schedules (design/engineering and manufacturing/construction), manpower schedule. |
| Colour Code | File No. | Title |
| White | 6.7.0 |
Status Reports: Material requisitions, major equipment list, outstanding requisitions, status of commitments, critical activities list, traffic/shipping report, other reports. |
| White | 6.8.0 |
Computer Services: Data processing. |
| 7.0.0 | Design/Engineering | |
| Colour Code | File No. | Title |
| White | 7.1.0 |
Memos: Memos to and from design/engineering. |
| White | 7.2.0 |
Administration: Personnel and staffing, manpower planning and loading, overtime. |
| White | 7.3.0 |
Cost and schedule: Design/engineering budget and schedule, definitive estimate, overtime. |
| White | 7.4.0 |
Reports: Weekly technical man hours, design group's progress, holds lists, requirements lists. |
| Red | 7.5.0 | Process design/engineering. |
| Blue | 7.6.0 | Studies. |
| Red | 7.7.0 | Design data and calculations |
| Red | 7.8.0 |
Technical Reports: Sub‐categories for each design/engineering discipline. |
| Blue | 7.9.0 | Specifications. |
| Red | 7.10.0 | Data sheets. |
| Red | 7.11.0 |
Requisitions: Material requisitions by number (include all data, correspondence, specifications and so on) material requisition control document. |
| Red | 7.12.0 |
Drawings: Drawing record control file, latest print control record. |
| Red | 7.13.0 |
Vendor print index: Vendor drawings. |
| Blue | 7.14.0 |
Spares schedules: Start‐up spares, operational and/or two‐year spares. |
| Blue | 7.15.0 |
Lubrication schedules: Flushing oils, operating oils. |
| Blue | 716.0 |
Special subjects: Technical audits. |
| 8.0.0 | Procurement | |
| Colour Code | File No. | Title |
| White | 8.1.0 |
Memos: Memos to and from procurement. |
| Colour Code | File No. | Title |
| White | 8.2.0 |
Reports: Subcontract status report. |
| White | 8.3.0 |
Vendors: Supplier surveys, tender lists, cost and commitment register. |
| Red | Original copies of tender analyses/summaries. | |
| Red | 8.4.0 |
Purchasing by purchase order: Includes the master material requisition. |
| Red | 8.5.0 | Inspection by purchase order. |
| White | 8.6.0 | Expediting by purchase order. |
| White | 8.7.0 |
Traffic by purchase order: Logistics studies, inspection release certificates, air freight. |
| Blue | 8.8.0 |
Customs: Shipment numbers, bills of lading. |
| Red | 8.9.0 |
Subcontracts by number: Transfer each master file to site after award of the subcontract. |
| Red | 8.10.0 |
Site requisitions: Material requisitions from site requiring home office action. |
| 9.0.0 | Construction (Home Office) | |
| Colour Code | File No. | Title |
| White | 9.1.0 |
Memos: Memos to and from home office construction, memos to and from site. |
| White | 9.2.0 |
Administration: Personnel and staffing non‐manual, personnel and staffing manual, messing and accommodation. |
| White | 9.3.0 |
Cost and Schedule: Construction budget, definitive estimate, master construction schedule, 30‐, 60‐ or 90‐day schedule. |
| White | 9.4.0 |
Reports: Daily/weekly progress, site labour costs, pinch/checklists. |
| Hard copy | photographs. | |
| Blue | 9.5.0 |
Site Materials: Materials requiring home office action. Receiving reports, overages – shortages and damage, back‐charge claims, warehouse, inventory and disposal of surplus material. |
| Blue | 9.6.0 |
Subcontracts: Subcontract plan, correspondence, minutes of meetings, extras, changes, insurance, warranties, progress payments, claims. Sited filed by subcontract number post award. |
| Blue | 9.7.0 |
Safety: Incentive scheme. |
| Blue | 9.8.0 | Security. |
| Blue | 9.9.0 |
Industrial/Labour Relations: Site agreement. |