PPM Document and

Records Management

Practice

Linda Iggulden

Practice Lead July 2019

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Table of Contents

Table of Contents ........................................................................................... 1

Document & Records Management .............................................................. 3

Overview .................................................................................................... 3

Scope ................................................................................................... 3

Order of Precedence ........................................................................... 4

Related Documents & Information ...................................................... 4

Intended Audience ............................................................................... 6

Requirements ...................................................................................... 6

Organizing Principle ............................................................................ 7

Security ................................................................................................ 8

Roles & Responsibilities ............................................................................ 8

Document & Records Guidance .............................................................. 12

Documents and Records Created Internal to BC Hydro ................... 13

Collaborating with External Parties ................................................... 13

Documents and Records of External Origin ...................................... 13

PPM Workspace Libraries and Lists ................................................. 14

Document & Records Procedures .............................................................. 15

Filing Documents ..................................................................................... 15

Metadata, Record Types & Repositories ........................................... 15

PPM Workspace Folders ................................................................... 16

Shared Network Drives (J: drive) ...................................................... 17

Personal C: drive or H: drive ............................................................. 17

Creating a Document ............................................................................... 17

Document Templates ........................................................................ 18

Document Naming ................................................................................... 22

Document Name and Title ................................................................. 22

Document Versioning ........................................................................ 25

Revision History ................................................................................. 26

Collaborating on a Document .................................................................. 26

Check-in / Check-out of Documents .................................................. 26

File Types ................................................................................................. 27

Use of .PDF Files .............................................................................. 27

Use of .Zip Files ................................................................................. 27

Use of .Pst and .Msg Files................................................................. 27

Release Governance ............................................................................... 27

Document Checking, Reviewing & Approval ..................................... 27

Document Distribution ....................................................................... 28

Publishing a Document ............................................................................ 29

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Signatures.......................................................................................... 29

Multiple Media Formats and Copies .................................................. 31

Deletion of Documents ...................................................................... 31

Project Media ..................................................................................... 31

Project Documentation Close-out ............................................................ 31

Retention & Disposal................................................................................ 33

Physical Record Storage ................................................................... 34

Disposal ............................................................................................. 35

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Document & Records Management

Overview

This Practice lays out the overall Project and Portfolio Management (PPM) Document and Records Management approach as it relates to BC Hydro’s business groups, projects, programs, portfolios and assets within PPM Practices activities. It is agnostic with regards to organizational structure.

The intention of the Practice is to:

Provide guidance to our Project Delivery project teams on how to create, manage and retain quality, trustworthy and reliable documentation in support of the delivery of projects, programs and portfolios.

To comply with BC Hydro policies and standards so that the information created during a project will be available and usable by those who need to operate and maintain the asset.

It’s also a fundamental business requirement to be able to provide an auditable trail of documentation that can be located and retrieved to support information requests (warranty, claims, Freedom of Information, litigation, e-Discovery).

By following and applying Records Management policies, standards and practices, it minimizes risks to BC Hydro:

Legal and Regulatory non-compliance - inability to produce records to demonstrate compliance

Financial - inability to produce authoritative records to support project work resulting in delay or inability to deliver work

Safety - not providing the accurate version of records and drawings can result in injury to BC Hydro employees and/or the public; and

Reputational - the ability for BC Hydro to produce authoritative records in response to public, regulatory, litigation and e-Discovery requests.

Scope

This Practice addresses Document and Records Management for CIPD managed projects using the PPM Solution. This document considers the Engineers & Geoscientists of BC (EGBC Quality Guidelines) and covers:

Roles and Responsibilities

Document and Records Guidance

Creating, Naming and Filing Documents

Collaboration (both internal and external to BC Hydro)

Deletion of Documents

Use of Electronic Signatures

Filing and Retaining Project Media

Documentation Close-out and Archiving

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Retention and Disposal

This document does not address:

Signing authority and governance for content release, as this is determined on a case by case basis by the record and by the department. Functional managers and Project Managers will have the most current information.

Engineering Standards: Refer to the Engineering Standards Program for more information

Drawing issuance and management: Drawing management is documented in Section A of the Technical Documentation Engineering Standards ES-10 A0020 Drawing Control Engineering Drawing Numbering System describes naming and numbering. (Log into FileNet to view).

Order of Precedence

In case of conflict, the following order of precedence applies:

1. Corporate Records and Information Management (RIM) Policy Statement

2. Corporate Records Management Policy

3. Specific Instructions related to Document and Records Management that are unique and required by a project as described in the Project Plan

4. Document and Records Management information contained in the PPM Practices.

Related Documents & Information

Information Management Manual

The Records Information Office is responsible for developing and updating records management policy, standards and guidelines and provides expert advice on Records Management. The policies and standards located in the Information Management Manual (IMM) are in place to ensure the responsible, consistent and compatible management of records across BC Hydro at all stages of a record’s lifecycle - from creation or receipt to disposition. The policies apply to all phases of capital projects including investment planning, project management, performance measurement, standards development, budgeting, asset management, service provisioning, procurement, security and other activities related to effective information management.

Additional records information management initiatives may impact Document and Records Management in the future, and these changes will be incorporated into this Practice as they arise.

SharePoint Support Resources

SharePoint sites are used to support collaboration for project teams during the life of the project. Documents are created, edited and managed in the SharePoint workspace until they are finalized and then at project completion they are declared as records and archived to FileNet.

General information and guidance on the use of SharePoint can be found in the HydroShare Support Resources web site. This site is the official source for all enterprise resources and support materials related to SharePoint. For information and guidance on the use of PPM Workspace or Supply Chain Workspace, training materials are available in the PPM Information Centre.

For the purpose of this document, see the explanations that follow for the difference between SharePoint, HydroShare, PPM Workspace and Supply Chain Workspace:

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HydroShare, PPM Workspace and Supply Chain Workspace all use the SharePoint 2010 platform and each has an “intranet” and “extranet” site. There is also an option on PPM Workspace to set up “breakout room” for each contractor.

The intranet is typically used for internal information and only users with BC Hydro log-in credentials get access to these sites.

The extranet is typically used to securely and confidentially transmit information to/from external contractors. Users with BC Hydro log-in credentials can also use these sites, and external contractors must be granted access through Partnernet.

HydroShare provides generic SharePoint functionality and is where many corporate departments collaborate on documents, and manage corporate/department specific projects and initiatives.

PPM Workspace is part of the PPM “suite of tools” and has been customized to support document management and collaboration on Lines, Stations and major Distribution engineering and construction projects. It’s also being used to support various corporate projects that have chosen to use the PPM Solution. This is where all project documents are created, uploaded, filed, managed, revised, and published during the lifecycle of a project. At project completion, documents are declared as records and archived to FileNet. [FileNet is BC Hydro’s Enterprise Content Management System (ECM)].

Supply Chain Workspace has been customized to support supply chain and contract management activities on Lines, Stations and major Distribution engineering and construction projects. This is where the procurement lifecycle is managed, with all new contracts being set up and all post-award contract correspondence created, uploaded, filed, managed, revised, and published during the life of the contract. At contract close, documents are automatically declared as records from Supply Chain Workspace to FileNet.

(Note: All inflight contracts will continue to be managed in PPM Workspace until complete.)

FileNet Support Resources

FileNet is used to support archival and retention of corporate records for many business groups across BC Hydro.

PPM FileNet is where all PPM project administrative records are stored.

Asset and Engineering Records (AER) FileNet is where all PPM project asset records are stored.

FileNet Media Space is used for filing and managing corporate and CIPD managed project media during the life of the project (i.e. audio, video, photos). It can be accessed from the project PPM Workspace home page. At project closure, all media files are declared as records and archived to FileNet.

PPM Information Centre

Training materials for PPM Workspace, Supply Chain Workspace and FileNet Media Space are located in the respective System Instructions section on this site.

PPM Practices

PPM Practices are stored in the PPM Information Centre and this collection of practices has supporting procedures, guidelines, and templates that describe the methods to deliver projects,

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programs and portfolios. PPM Practices are intended for Lines, Stations and major Distribution projects requiring engineering or project management services.

PPM Practices are predicated on a lifecycle model with practices that are flexible and scalable so they can be applied to projects and programs regardless of size or complexity. The PPM Practices lifecycle and practices documentation refer to, and are consistent with, corporate and business group policies and procedures where they exist.

All the templates available in the PPM Practices have metadata characteristics already identified that will help with naming and filing during uploading, publishing, storing, managing and will assist in determining the correct retention period.

Intended Audience

This Practice was developed to provide support to the following audience:

Project Managers (BC Hydro internal)

Project Managers (External Service Providers)

Work Package Managers and Functional groups

Engineering (Generation & Transmission), Regulatory, Environment, Social, Properties, Safety, Indigenous Relations, Contract Management, Construction Management, Supply Chain, Finance, Integrated Planning, Corporate Affairs, Legal, and Generation Operations

Project Team Members (Schedulers, Project Cost Analysts, etc.)

Document Control Support Services (BC Hydro internal)

Document Coordinators (BC Hydro internal)

Document Coordinators (External Service Providers)

Functional Managers

Standards, Controls & Tools; Commercial Management and Portfolio Management.

Requirements

Corporate records are any type of information in any format (documents, images, media, email, data) that are needed to control, support and document the delivery of projects, programs and portfolios, to carry out operations, to make decisions, and to account for activities of BC Hydro.

It is important that corporate records are identified so they can be systematically managed, made available, and protected for as long as needed as defined in the BC Hydro Records Retention Schedules.

Projects are time-bound activities that design and build new assets, or modify, replace or dispose of existing assets.

Projects create records about the design, build and operation of our assets.

Most of our assets are long lived (e.g. transmission lines, dams, substations) and the records must be managed over the life span of the asset, which for BC Hydro, is typically measured in decades, and spans many successive projects.

Records must be easily located and retrieved either by project, contract, or asset information, and the management system should support a single source of truth for that information.

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Requirements are as follows:

The BC Hydro Technology group provides the necessary tools (e.g. SharePoint, FileNet, FileNet Media Space, etc.) to manage documentation and media during the life of the project and throughout an asset’s lifecycle.

All BC Hydro employees, consultants and contractors working on CIPD managed projects using PPM Workspace, Supply Chain Workspace and other PPM tools and systems must follow the policies and procedures in the PPM Document and Records Management Practice. These are aligned with the corporate Records Management Policies and the Records Information Office initiatives.

All BC Hydro employees, consultants and contractors working on CIPD managed projects must use the PPM tools and follow the business rules as laid out in the PPM Practices and the PPM Information Centre.

All BC Hydro employees, consultants and contractors must take the appropriate PPM Workspace and Supply Chain Workspace tools training.

All BC Hydro employees, consultants and contractors are responsible for identifying, classifying and restricting access to confidential information.

PPM Workspace users must create, receive, collect and maintain documents in electronic format in the approved BC Hydro system to ensure traceability of all project records (documents, media, data).

Any document, including e-mail, that contains a decision related to the project must be stored and managed in PPM Workspace and archived to FileNet at project completion.

Note: PPM Workspace is used for “document management and collaboration” and once documents are identified and declared as ‘corporate records’ they get archived to FileNet which is BC Hydro’s enterprise content management system. Project media (photos, video, audio) are managed in FileNet Media Space.

Organizing Principle

Company restructuring can happen frequently, so the PPM Workspace document management solution is based on content and function and is agnostic of organizational structures.

PPM Workspace is a document management and collaboration tool based on the standard SharePoint platform.

A PPM Workspace intranet site will be created for all new CIPD managed projects that have a SAP code and a Project Manager.

The collection of project documentation typically starts at the beginning of the project’s Identification phase and usually decreases at the end of the project’s Implementation phase, once the project has reached its in-service date.

Documents may still be created and collected until all project deficiencies have been completed and the Project Completion & Evaluation Report has been completed and filed in the PPM Workspace site.

PPM Workspace is not used to manage records related to the asset once the asset build has been completed and moves into the sustainment / operational phase.

PPM project documents received, created, collected, collaborated, and published must be filed and managed in the project PPM Workspace or Supply Chain Workspace site.

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All project documents must have information included that identifies its purpose. This information will be captured in a combination of the document name, title, footer, and / or cover sheet (when required).

Where possible and practical, physical copy documents are to be scanned and uploaded into the site as well.

A PPM Workspace extranet site with breakout rooms can be created to securely and confidentially transfer information to / from external contractors, however it’s best to use Supply Chain Workspace for exchanging contractor correspondence due to the advanced functionality for automatic filing of transmittals/submittals and automatic archiving to FileNet.

Any submittals received via e-mail must be stored in the PPM Workspace/Supply Chain Workspace upon receipt and also tracked in the Correspondence log which should also be managed in the system of record.

All electronic documents must have metadata attached to them for retention and retrieval purposes. Metadata fields, also referred to as ‘document properties’ are pre-defined by the PPM Workspace structure. To support the goal of a single source of truth, predetermined storage repositories in FileNet have also been defined, and final documents declared as records will be archived in FileNet.

Security

Most projects using PPM Workspace will be accessible to BC Hydro employees (and contractors with a BC Hydro log-in) to enable search capabilities and the transfer of knowledge across projects, programs and portfolios. However, there will be circumstances when access to project PPM Workspace sites may need to be restricted.

It is the responsibility of the Project Manager to identify these circumstances in a Document Management strategy in the Project Plan. To also ensure that access to documents in the project’s PPM Workspace are appropriately controlled, and confidential documents are identified, classified and secured in a confidential folder with restricted access based on who needs to see the information to do their work. Project team members may or may not have access to the final records in FileNet depending on the security classification.

The PPM Workspace allows for different levels of security protocols to be applied - at the site, folder, or document level. The best practice is to file confidential documents in a confidential folder by Practice area and restrict access accordingly.

Roles & Responsibilities

The following role descriptions are considered key for the successful management of documents and records in PPM Workspace. For smaller projects, a single individual may take on some or all of the roles. For larger projects, it is typical for one or more individuals to carry out each of these roles. The descriptions below pertain only to those elements of an individual’s role related to document and records management on a PPM project.

Project Manager (BC Hydro Internal)

The Project Manager is accountable for:

Using PPM Workspace to manage and collaborate on documents unless an exemption is approved by the Project Director. In the event that the PPM Workspace cannot meet the needs of the project or a hybrid solution is required, then a Document Management strategy must be documented by the Project Manager in the Project Plan. It must be

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signed off as part of the phase gate approval process, and communicated to the project team accordingly.

Ensuring that the necessary contract language related to document management is included in the relevant project contracts. This includes the use of the PPM Workspace, Supply Chain Workspace, the Drawing Management processes, and how electronic and physical records will be delivered to BC Hydro.

Planning the document management activities required for the project.

The PPM Workspace site and FileNet Media Space elements are set up as per the needs of the project. This includes all Project Management and Performance Lists, the Hazard Log, the folder structure, and Extranet component (PPM or Supply Chain).

Governing permissions and security of all PPM Workspace elements and ensuring confidential documents are filed in a confidential folder with restricted access.

Ensuring all project team members are trained and understand their role and responsibilities.

Ensuring all project documents (and contractor correspondence) are filed on the project specific PPM Workspace site as per the Project Deliverables Checklist.

Ensuring all BC Hydro electronic and physical records (documents, images, media, email, data) are in BC Hydro’s possession (e.g. not on flash drives, personal devices, mailboxes or other unapproved locations).

Submitting the project for archiving through the PPM Archiving Request workflow at project completion, and ensuring all project records get archived to FileNet and transitory information is destroyed. Also ensuring all physical records get boxed up and sent to Asset and Engineering Records for off-site storage.

Ensuring the PPM Workspace site status is changed to “closed” and permissions are changed to “read only” for all project team members.

The Project Manager may assign some of these tasks to a delegate (e.g. Document Coordinator) as necessary.

Project Manager (External Service Provider)

The Project Manager is accountable for:

Using PPM Workspace for project documentation and collaboration unless an exemption is approved by the BC Hydro Program Manager. In the event that the PPM Workspace cannot meet the needs of the project or a hybrid solution is required, then a Document Management strategy must be documented by the Program Manager.

Ensuring that the necessary contract language related to document management is included in the relevant project contracts. This includes the use of the PPM Workspace, Supply Chain Workspace, the Drawing Management processes, and how electronic and physical records will be delivered to BC Hydro.

Planning the document management activities required for the project.

The PPM Workspace site and FileNet Media Space elements are set up as per the needs of the project. This includes all Project Management and Performance Lists, the Hazard Log, the folder structure, and Extranet component (PPM or Supply Chain).

The Correspondence Log being used to capture and track all transmittals and submittals going to/from external contractors.

Governing permissions and security of all PPM Workspace elements and ensuring confidential documents are filed in a confidential folder with restricted access.

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Ensuring the Document Controls team and all project team members are trained and understand their role and responsibilities.

Ensuring all project documents (and contractor correspondence) are uploaded and filed on the project specific PPM Workspace site as per the Project Deliverables Checklist (at least monthly).

Ensuring all BC Hydro electronic and physical records (documents, images, media, email & data) are in BC Hydro’s possession (e.g. not on flash drives, personal devices, mailboxes or other unapproved locations).

At project completion, submitting the project for archiving through the PPM Archiving Request workflow.

The Project Manager may assign some of these tasks to a delegate (e.g. ESP Document Coordinator) as necessary.

Document Control Support Services (Internally Managed Projects)

The objective of this team is to provide “shared services” support for PPM Workspace, Supply Chain Workspace and FileNet Media Space if there is not an assigned Document Coordinator, as well as the following:

Responsible to set up all new CIPD managed projects with a PPM Workspace site (Lines, Stations and Distribution Major internally managed projects) – intranet and extranet sites, breakout rooms, Correspondence Log template including permissions and a confidential folder for each Practice area.

Setting up the FileNet Media Space for the project. Responsible to set up all PPM Workspace sites for external service provider managed projects and setting up the permissions for their contact person (who will manage and maintain permissions for their organization).

Providing guidance to project team members with the application of Document and Records Management policies, standards and practices.

Performing document / quality audits on all external service provider managed projects to ensure:

o The Project Deliverable documents by stage / phase are on PPM Workspace

o A regular transfer of information is occurring

o Documents are filed correctly and metadata is applied consistently.

If corrective action with external service provider project team members is required, it will be escalated to the BC Hydro Document Control Services Manager so it can be brought to the attention of the external service provider’s Project Services Manager. (The external service providers are responsible to do corrective active with their own users. BC Hydro may provide refresher training as required.)

Performing document audits at project completion to ensure BC Hydro is in custody of all project documentation (project deliverable documents in any format plus all contractor Correspondence logs).

Providing guidance on how to submit a project for archiving through the PPM Archiving Request Workflow.

Note: The external service provider’s Document Controls team is responsible to manage project documents during the lifecycle of the project; to regularly transfer PPM project documents from their systems to PPM Workspace; and to provide user support to their teams as required.

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Document Coordinator (Internally Managed Projects)

The Document Coordinator is responsible for:

Managing the PPM Workspace site for all CIPD projects (plus Distribution major projects) at the direction of the Project Manager. (Note: All other Distribution projects are set up on PPM Workspace by support resources provided by that business group.)

This includes applying the folder structure, making sure Project Management and Performance List components are set up and synched properly, and permissions and security for lists and folders are enabled or restricted as required, i.e. ensuring confidential documents are filed in a confidential folder with access restricted as per the direction of the document author.

Setting up the PPM Workspace Extranet and breakout rooms at the direction of the Project Manager, and managing the site permissions for external contractors.

Setting up the Supply Chain Workspace Extranet at the direction of the BCH Representative (or delegate) and managing the site permissions for external contractors.

Ensuring documents are filed properly in both PPM Workspace and Supply Chain Workspace and have appropriate metadata applied, by performing quality checks for compliance on a regular basis and performing corrective action with users.

Assisting the Project Manager and BCH Representative (or delegate) with tracking information on the Project Deliverables Checklist to ensure they are filed on PPM Workspace and / or Supply Chain Workspace.

Assisting with the transmittal / submittal process in PPM Workspace for inflight contracts or in Supply Chain Workspace for new contracts, i.e. creating transmittal packages and filing the documentation received in submittal packages, distributing documents for review, as well as keeping the Correspondence log updated on a weekly basis.

Providing user support and coaching to project team members as required on both PPM Workspace and Supply Chain Workspace.

Providing guidance to project team members with the application of Records Management policies, standards and practices.

Monitoring site usage and notifying the Project Manager if there are any issues.

Managing the PPM Workspace and Supply Chain Workspace close-out activities to ensure the site is ready to be archived and submits the archiving request at the direction of the Project Manager. The Document Controls Archiving team (in consultation with Project Manager) is responsible for archiving project records to final FileNet repositories at the end of a project and for purging the PPM Workspace of any transitory documents, e.g. draft versions and convenience copies as per the Records Management policies.

Document Author (Work Package Managers & all other Project Team Members)

Document Authors are typically project team members and are responsible for:

Forming the content of the documents and for the integrity, quality and consistency of the information within. This includes references or links, titles, cover pages, header and footer information.

Uploading and filing documents in the correct folder with the appropriate metadata and the applicable security classification applied (i.e. confidential, BCH internal or public) and for ensuring confidential documents are filed in a confidential folder with access restricted.

Ensuring that adequate checking and reviewing occurs.

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Collecting any relevant signatures required for publication.

Publishing documents when final and converting to .pdf format.

All project team members have a role to play in managing their documents during the lifecycle of the project – from creation / receipt to preparing for archiving at project close.

Gathering physical corporate records in their possession and sending to the Document Coordinator for archiving. (Work Package groups typically prepare their own physical records for sending to Asset and Engineering Records Services.)

Functional Manager

Functional Managers are accountable for:

The integrity and quality of all information being developed and disseminated by members of their teams.

Ensuring that their employees and consultants working on CIPD projects take the appropriate tools training (i.e. PPM Workspace, Supply Chain Workspace and FileNet Media Space) as well as the PPM Document and Records Management Practice methodology as these fit hand in hand for success with navigating the PPM tools and understanding the business rules.

Ensuring compliance with Document and Records Management policies, standards and practices. This may be done through sampling project PPM Workspaces or by doing occasional departmental compliance reviews.

Standards, Controls & Tools

Ensures project teams adhere to the PPM practices and procedures, including those pertaining to Document and Records Management by performing quarterly PPM Practice Compliance Reviews (including external service provider managed projects)

Communicates the results to the Project Directors, Functional Managers and all project team members, including the external service providers.

Performing and guiding corrective action if required.

Document & Records Guidance

Documents are generally created and collaborated on in their native format (e.g. Word, Excel, etc.) These are also known as source documents.

Source documents must be controlled in order to preserve the integrity of the information, especially in cases where a document evolves throughout the project lifecycle and multiple published versions may be produced (e.g. the Project Plan).

Generally only the final version is saved as the corporate record, however, there may be cases in which all major versions are declared as corporate records.

A signed and scanned document in pdf format is considered a master record and must be stored and maintained in PPM Workspace until such time as it gets archived to FileNet.

Once the source document is saved in pdf format as the final corporate record, the source document is considered transitory and can be disposed of when no longer required (e.g. the Word version of the Project Plan will get replaced with the signed pdf format).

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For a complete listing of the deliverable documents that are required on PPM Workspace, refer to the Project Deliverables Checklist available in the PPM Information Centre.

Documents and Records Created Internal to BC Hydro

All project documents created to support the delivery of PPM projects regardless of the format used to create them (Word, Excel, Email) shall reside in PPM Workspace until such time as they are declared as records and moved to their final FileNet repository. Where possible the document should be in an electronic format.

Corporate Record - Any record that is created or received by a BC Hydro employee, contractor, or service provider, that is required to control, support or document the delivery of projects or programs, to carry out operations, to make decisions, or to account for activities of BC Hydro.

Transitory Record – Are records that have no lasting value and only required to carry out a routine action or to prepare on ongoing corporate record. These short-lived records are not necessary for documenting BC Hydro’s business.

A document’s content and context is what determines whether a record is transitory, rather than its form (paper, electronic document, or email).

Emails, attachments and all past versions of documents are open to legal discovery so it’s important that transitory information is disposed of when it’s no longer needed.

Copies and dissemination of internal information must be controlled to ensure the integrity of security protocols at BC Hydro.

Managing Emails that are Corporate Records

E-mails and attachments containing decisions or business transactions (or information that supports decisions or business transactions) or of lasting value (i.e. legal, fiscal, historical) shall be stored in the project PPM Workspace as published documents in accordance with BC Hydro Records Management Policies and Retention Schedules.

Remaining project emails are transitory and only kept for their useful life or the end of the project.

Email chains can be evidence of project decisions and approvals and if so, these should be retained in the source format. These may be summarized in formal correspondence as long as they are signed off by all parties involved.

Collaborating with External Parties

Many projects have a need to collaborate with parties external to BC Hydro. Projects will have the ability to create PPM Workspace Extranet sites with breakout rooms or to use Supply Chain Workspace so secure and confidential collaboration can take place. This exchange of information must be recorded in the project Correspondence Log. This will help with tracking information in discrete packages as it flows back and forth between BC Hydro and the external party. It’s best to use Supply Chain Workspace for exchanging contractor correspondence due to the advanced functionality for automatic filing of transmittals/submittals and automatic archiving to FileNet.

Documents and Records of External Origin

Documentation and records received from a source external to BC Hydro must be recorded in the project Correspondence Log and filed in the project PPM Workspace. (Similarly, all transmittals sent to an external contractor must also be recorded in the project Correspondence Log.)

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o As with internal information, it is preferable that external information is received in electronic format. When documents are received as a submittal through the Extranet, the transmittal / submittal process should be followed.

o In some cases an external contractor will supply both electronic and physical copies of information. Where conflicts arise between the electronic and physical copy versions, the electronic copy in .pdf format shall be deemed the official record unless confirmation from the sender or BC Hydro policy indicates otherwise. The errant copy is to be destroyed.

o For most documents, there is no Records Management requirement to keep a physical copy if an electronic copy is deemed to be the record. However, if a physical record (e.g. drawing or engineering report) has been sealed and signed by a professional of record, the physical record shall be retained.

o All project records received through the PPM Workspace extranet site will be transferred and filed in the PPM Workspace intranet site for archiving to FileNet. New contracts and contractor documentation in Supply Chain Workspace will also be archived to FileNet.

o If documents are submitted through email instead of the PPM Workspace (or Supply Chain Workspace) extranet submittal process, the document receiver should record as much relevant metadata as possible to align with PPM Workspace requirements. The document should also be filed in the project PPM Workspace and the information noted in the Correspondence Log.

o The minimum requirement for physical copies, is to identify the originator’s company name and include any security classification (e.g. confidential access restrictions), relevant project reference information, the contract number, and the document name or purpose in the Correspondence Log.

Note: Documents received from external sources must be properly controlled so that they aren’t shared with other external parties without permission being granted by the owner.

PPM Workspace Libraries and Lists

Project records are also found in PPM Workspace libraries and lists. The Project Document Library is where all documents must be filed and this is the only library that has functionality to archive project records directly to FileNet.

Lists are like databases and can be used for collecting a variety of information including:

Logging project risks, change notices, project performance indicators, post-project deficiencies (Generation only), and lessons learned, as well as non-conformances and user requirements.

In some instances, the records will include treatment options or associated actions that require related information to be attached.

Methods for attaching documents or other records within PPM Workspace lists are available in the PPM Workspace training guides located in the PPM Information Centre.

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Document & Records Procedures

Filing Documents ........................................................................... 15

Creating a Document ..................................................................... 17

Document Naming ......................................................................... 22

Collaborating on a Document......................................................... 26

File Types ...................................................................................... 27

Release Governance ..................................................................... 27

Publishing a Document .................................................................. 29

Project Documentation Close-out .................................................. 31

Retention & Disposal ..................................................................... 33

Filing Documents

Metadata, Record Types & Repositories

Metadata

Metadata is referred to as “data about data” or “attributes” about the document. In PPM Workspace and Supply Chain Workspace, metadata is referred to as the “properties” of the document. This information stays with the document and provides additional information to the search engine that makes document retrieval more efficient.

Examples of metadata: content type, document type, activity type, document name, document title, author, date the document was created, facility, etc.)

Metadata is the core structure of SharePoint and provides sorting and filtering options to create standard and customized views, navigation and searchability benefits.

Metadata is vital information that must be applied when documents are uploaded to PPM Workspace, Supply Chain Workspace or media is uploaded to FileNet Media Space.

When metadata is used consistently, it supports filtering and search functionality so that documents, media and records can be stored and retrieved more easily within the system of record, across projects, and in the future when searching in FileNet.

Some metadata fields are mandatory and are denoted with an asterisk, and others are optional. Best practice is to fill out optional metadata fields as well, as this will increase the searchability.

Metadata, including the document name and title, can be edited after a document is uploaded in PPM Workspace or Supply Chain Workspace by using the edit properties feature.

Metadata stays with the document when it is declared as a record (from PPM Workspace or Supply Chain Workspace) and archived to FileNet, so it does not need to be re-entered. It is imperative that all relevant metadata is entered for a document upon publication so that the benefits of metadata can be realized.

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Record Types & Repositories

PPM Workspace and Supply Chain Workspace were configured with specific content types and corresponding document types which are also metadata about the document.

The content, document and activity types are a way of classifying the documents into categories that allow users in PPM Workspace and Supply Chain Workspace to create views, and to use filter and search techniques.

When project records are archived to FileNet, the content and document types provide categorization into specific retention classifications based on Project, Asset and Procurement.

There are several FileNet repositories at BC Hydro which may have permissions restricted to specific users in that Practice area, i.e. Indigenous Relations, Finance, Properties, and Safety. For success with search results, ensure you are in the correct FileNet repository. For more information on FileNet search, see the Asset and Engineering Records Services website.

PPM Workspace Folders

The folder structure is applied to each new PPM Workspace when the new site is set up by the Document Control Support Services team, whether it is a BC Hydro managed project or an external service provider managed project.

Note: Supply Chain Workspace uses the document type to group documents by metadata instead of using folders.

Additional folders should not be added to the PPM Workspace folder structure. This reduces the uncontrolled proliferation of subfolders and the usability of the document path (URL), as the folder path combined with the document name makes up the URL (maximum 255 characters).

View the Metadata & Filing job aid (filed on each PPM Workspace homepage) which will help with choosing the appropriate metadata and file location.

Once a document has been created or uploaded, and checked in to PPM Workspace, it is ready for collaboration. All documents and folders default to full visibility of the project team. Documents or folders that need their access restricted must be approved by the Project Manager. Once approved, the Project Manager or Document Coordinator will make the required changes to ensure the right level of security has been applied. All confidential documents must be filed in the confidential folder by Practice area and access restricted.

BC Hydro will benefit from reduced risks from legal, financial, safety and regulatory challenges by being able to locate and retrieve the relevant evidence contained in documents and records in PPM Workspace, Supply Chain Workspace, FileNet Media Space and FileNet. If the records cannot be found – they are useless. Consistent document naming and filing, as well as providing the appropriate metadata will help in locating documents and records – during the life of a project, across projects and programs, and in the future once the project is closed.

Filing by Phase

In order to drive consistency for those documents which are prepared for a specific phase, they should be filed under the phase in which they were prepared for.

For example:

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Project Plan for the Implementation (IMP) phase should be filed in the IMP folder – even if it’s prepared during the Definition (DEF) phase.

Shared Network Drives (J: drive)

Shared network drives are not to be created to store or to manage project information for Capital projects as they do not provide an auditable trail (i.e. version control). This includes all project documents prescribed in the PPM Practices as project, program or portfolio deliverables.

Files that are exempt from PPM Workspace are:

Engineering calculations

Engineering drawings including

Design files [computer aided design (CAD)] and Shape files; and signed, sealed drawings – these typically exceed the SharePoint document upload size of 2GB.

Signed and sealed drawings which are managed in McLaren FileNet. Copies of drawings in pdf format (which are considered transitory records) may be stored on PPM Workspace or Supply Chain Workspace for reference and collaboration purposes and must be deleted when no longer required.

Input / output data files required for engineering software or other software used to support the development of solutions.

Files containing ongoing databases of information, such as market information or actual costs compared to estimates, are not considered PPM project information. These remain under the control of the responsible departments.

Engineering files that need to be controlled outside of PPM Workspace should be stored in network drives controlled by the responsible engineers and departments.

Personal C: drive or H: drive

PPM project information must not be stored permanently on personal C: drives or H: drives. This creates unnecessary and uncontrolled copies with potential threats to the intellectual property of BC Hydro. The C: drive is also not backed up and will not be recovered if the computer malfunctions. Also the C: drive (local draft folder) is only intended to be used to work on temporary copies of documents when access is not available to PPM Workspace (e.g. airline flights to the project site or remote locations where connectivity is poor).

Best practice when working on temporary copies of documents, is to check the document out of PPM Workspace or Supply Chain Workspace so it is protected against other team members making changes. Once revisions are complete, the document should be checked back into PPM Workspace when connectivity is available ensuring the document name remains the same so it can be checked-in as a newer version of the existing document.

Creating a Document

A document has a lifecycle just like a project has a lifecycle. The document and records lifecycle consists of discrete phases covering the life span of a document beginning with the creation or receipt of a document and following through with revision, collaboration, publishing, retention, archiving, and eventual disposal.

The document collection starts at the beginning of the Identification phase and typically finishes at the end of the Implementation phase once the Project Completion & Evaluation Report is done and project deficiencies are complete. See diagram1 and 2 below.

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Diagram 1: Project Lifecycle and Document Collection

Diagram 2: Document and Records Lifecycle

Document Templates

Templates are currently available for many of the PPM document types, and it is best practice to use templates whenever available to ensure consistency in the way information is conveyed.

PPM Practice templates provided in the PPM Practices must be used unless an exception is approved by the Project Manager or Program Manager.

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Where a PPM Practice template does not meet the needs of the project, the Project Manager should consult with the Practice Lead to determine whether revisions to the template should be made or an alternate template should be used.

Best practice is for users to access templates directly from PPM Workspace. This will allow users to create all of their documentation in PPM Workspace which will save time and create efficiencies and consistency with PPM project documentation.

As PPM Practices templates are needed, they can be downloaded with the “PPM Practices download template” feature directly into the PPM Workspace site. Not all documents will have existing templates from which to work. In this case documents can be created using a blank word, excel or power point template which can also be downloaded using the “PPM Practices download template” feature. Instructions for downloading templates directly into a PPM Workspace are available in the PPM Templates section of the PPM Workspace Survival Guide.

Using a new template ensures that users are always taking advantage of the latest version of PPM record criteria, metadata and format.

Old templates should not be used because they commonly have references to old document properties and hidden metadata.

“Copy and paste” should be used judiciously and only from portion of a document to another. It is poor practice to copy an entire document from one project, change the name, and then save it to the new project as there is a risk of leaving references to the old project, and issues with hidden metadata.

The copy / paste feature should only be used if the information is known to be relevant and specific to the project at hand.

If a particular section of a template is not appropriate for a project, it is recommended to include a note such as, “not applicable” rather than deleting the section to retain the integrity of the template.

For templates that require additional information to meet the needs of the project, additional sections can be added at the discretion of the Project Manager and Practice Lead.

All documents created by BC Hydro staff or dependent contractors should include BC Hydro branding (where practical). The following link contains information on where to retrieve the latest logo and branding information, and how to use them appropriately. View Brand Hub for the latest info on branding and logos. (Where applicable, PPM templates will be pre-populated with the new BC Hydro branding as templates get updated.)

Note: Requests for new templates should be sent directly to PPMPractices@bchydro.com.

Footer Information

The intention of the footer is for the document author to populate it with useful information about the specific document. Information should be added to the footer if the document is expected to be shared outside of PPM Workspace/Supply Chain Workspace, or outside of BC Hydro.

A document cover sheet may be used on documents or records that cannot accommodate footers.

The reason for adding information to the document itself, in addition to the document properties is to provide a reference for persons not using PPM Workspace to access the document.

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The information in the footer should identify the reason for creation (project, program, or contract) and enough information to be useful to the end recipient or user.

Footers must also be included on signature pages in order to maintain the integrity of the document.

Where practical and not already defined by a template, the following information should be included in the footer of each page. Where multiple assets or contracts are involved, discretion should be used to either identify them as a known grouping or leave this information out.

Project SAP Code and Document Name, or

Contract Number and Document Name

Project or Program Asset Detail & Facility(if applicable)

Document Owner/Author

Release Date

Version - "draft" or "final"

Page number

While PPM Workspace and Supply Chain Workspace will assign a version electronically, it does not enter it onto the document itself. It is important that this be done manually by the document author, so that the version (draft or final) is known even when the document is copied, printed, transmitted, or archived and the versioning cannot be referenced. Where the information in the electronic versioning system differs from that on the document itself, the version on the document shall be deemed to be correct, therefore, it is critical that this information be maintained as the document evolves.

Avoid the use of “auto populating” fields for the release date. The date on the document should be entered manually so it captures the relevant information.

Footers should also contain the version reference – either “draft” or “final”, and any security or confidentiality statements, and a statement that printed copies are not controlled.

It is good practice to have a line above the footer to separate it from the main content.

Sample footer:

Cover Sheet

A document cover sheet may be used on documents that cannot accommodate footers. The following information should also be provided by external parties submitting information to BC Hydro wherever reasonable and practical. When used, the cover sheet should include:

1. Project SAP code and Document Name

2. Project or Program Asset Detail (includes facility), if applicable

3. Contract number (if applicable)

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4. Descriptive title

5. Version “draft” or “final”

6. Date of Release

7. Security Level – as determined by BC Hydro’s Information Security Classification Policy (i.e. Confidential, BC Hydro Internal or Public).

For example:

Project: TY-1234 Construction Mgmt Plan Assets: Substations aa, bb, and cc

Contract: CO #abc

Version: Final

Released: 2014-07-20

Security: BC Hydro Internal

Drawings Embedded in Documents

If a drawing or image is embedded in a document, it does not require a separate drawing number and is exempt from the McLaren Drawing Management system. The drawing or image (e.g. figure or table) will be controlled as part of the document that contains it.

Controlled BC Hydro Engineering drawings should not be copied into a document; they should be referenced by their drawing number and revision. It is the responsibility of the document owner to ensure the correct drawing revision is being referenced in the document and to be aware that the drawing may be revised and reissued at a later date.

Linking Documents

When referencing active information (e.g. a policy) from another source such as a website, a hyperlink can be used to reference the information instead of copying the information.

It is not necessary to provide a link to every item or every instance of the same item that is referenced.

Links provide a mechanism for keeping a document current as the active information evolves but discretion should be used to ensure the document remains readable and does not send the reader in too many directions.

Care should also be taken to ensure the intended audience will have access to the source information, otherwise the link will not work (e.g. contractors may not have access to the project PPM Workspace site so documents going to those contractors should not include links to documents in PPM Workspace.)

If documents being sent to contractors do include such links, then the source information must be copied and sent along with the original document or record.

It is good practice to validate that all links are pointing to the right sources prior to publishing the document.

To reference static information, such as that found in other documents or records, the pertinent section of information should be copied with a reference to the source included in a footnote. Or the document and section in which the source information is located could be described in the verbiage of the document or record (e.g. see Engineering Standard 1234, Section 3.2).

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Copies should not be used as source data as they are not controlled and could be obsolete.

It should be noted that links always carry a risk of being broken if the source information moves, becomes corrupted, or is deleted.

Note: Project and Engineering reports such as the Project Completion & Evaluation Reports should not contain any links, as links will be broken when the document is archived to FileNet. Best practice would be to include the source information as an Addendum to the report. For example, the Business Case and the Statement of Objective are already filed on the PPM Workspace site and archived to their respective Filenet repositories.

Document Naming

The methods for document naming and version control covered herein only apply to PPM project documents and records - not to Drawings, Engineering Standards, or Operating Orders.

Document Name and Title

Documents are given a mandatory name and title by the document author when the document is created in PPM Workspace and Supply Chain Workspace.

The key is to be consistent with the document naming approach throughout the life cycle of the project or contract.

The document name and title remain with the document and do not change with version updates or when the document gets declared a record into FileNet. (The only exception is at Archiving – the document title may get changed by the Document Controls Archiving team if the document title is not indicative of the content because the “document title” is what comes up in FileNet search results.)

The document name and title are intended to be meaningful both during and after a project, program or contract is complete, and must be unique enough for another document to reference it.

The document name should consist of a short description (abbreviations or common acronym) of the content within and be unique enough so the project reference and content of the document is clear.

The length of the document name should not exceed 40 characters.

Avoid the use of special characters, such as @, #, %, /, etc., as these have special meaning in SharePoint and can cause unexpected behaviour in PPM Workspace and Supply Chain Workspace.

Separating words in the document name with underscores is best practice (this eliminates the “%20” that is seen in URLs), because the folder path combined with the document name makes up the URL and this can easily become too long and exceed system limitations (255 characters).

While the document version is an essential piece of information, it is not considered part of the document name. The document version is its own entity and is described in the Version section that follows.

The document title should align with the document name.

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Any short descriptions or acronyms should be spelled out in full.

The length of the document title can be 255 characters and does not need underscores to separate words.

The document title is what shows up in PPM Workspace, Supply Chain Workspace and FileNet search results so it is important that it is meaningful and complete.

The table below shows the differences between the document name field and the document title field in PPM Workspace and Supply Chain Workspace:

Document Name Document Title

SAP Code and Contract Order (CO) are the unique identifiers and must be expressed as TY-1234, GY-4567, CO1234 or CR1234 at the beginning of the document name (the SAP code must include the hyphen to enable search)

Same rule applies

Used for the SharePoint URL of the document (eg. link to the document)

Used to search for the document

Used for the file name in ‘Explorer View’

Used to map to the FileNet ‘Document Title’ to search for records after the project is complete

Must use only alpha numeric characters. Avoid the use of special characters such as @, #, %, &, /, etc. as these have special meaning in SharePoint and can cause issues

Some special characters inhibit search in FileNet, so it’s best practice to avoid using special characters except for underscores _, hyphens -, and plus signs +

Underscores must be used to separate words (no spaces) – this eliminates the “%20” in the URL

Spaces should be used to separate words (underscores are not necessary)

Should not exceed 40 characters in length May be up to 255 characters in

length

PPM Practice template acronyms or abbreviations should be used to shorten words

All words should be fully spelled out to enable search

Provide enough description to uniquely identify the document.

Provide as much description as possible so that the record’s content and context can be understood by anyone and not just its author.

Note When downloading any PPM Practice templates, the SAP code will be automatically added as a ‘prefix’ to the document name and title field in the document properties.

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Internal document naming for CIPD projects: SAPCode_Document_Description

Document Name: GY-1234_Compl_Rpt Document Title: GY-1234 Completion Report

Document Name: TY-5678_MNT_Proj_Pln Document Title: TY-5678 MNT Project Plan

Note: Transmission projects may continue to include their project short name (i.e. MNT – Metro North Transmission).

Note: Some projects that are put “on hold” end up repeating phases. This means that there could be multiple deliverable documents for each stage and phase. Identifying the “old” documents before the project was put on hold, and which are the new versions of the document could be a challenge. The naming of duplicate deliverable documents should follow these guidelines: • Include the words “old” with a date (YYYY-MM-DD) at the end of each file name, for example: TY-0639_OLD_SoO_2015-01-01.

Document Naming for External Documents:

Naming for documents being transmitted to an external contractor (either through PPM Workspace or Supply Chain Workspace) should follow a similar naming convention. It’s not necessary to rename documents submitted by an external contractor unless the document name is not indicative of the content. Best practice is to leave these documents with their source naming intact.

The document name should consist of a short description (abbreviations or common acronym) of the content within and be unique enough so the project or contract reference and content of the document is clear.

The document title should align with the document name and any short descriptions or acronyms should be spelled out in full.

The length of the document title can be 255 characters and does not need underscores. The document title is what shows up in PPM Workspace, Supply Chain Workspace and FileNet search results so it’s important that it is meaningful and complete.

While the document version is an essential piece of information, it is not considered part of the document name. The document version is its own entity and is described in the section on “Document Versioning” that follows.

Other Requirements:

Use the Contract Order number (CO) or Contract Requisition (CR)

Include abbreviation for external contractor name (i.e. ‘AND’ for Andritz)

Tracking number if necessary to track the transmittals / submittals

The length of the document name should not exceed 40 characters

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Avoid the use of special characters, such as @, #, %, /, etc., as these have special meaning in SharePoint and can cause unexpected behaviour in PPM Workspace and Supply Chain Workspace

Separate words in the document name with underscores.

External Document Naming for CIPD Projects: CO/CRNumber__AbbreviatedContractorName_Document_Description

Document Name: CO1234_HMI_Risk_Mgmt_Plan Document Title: CO1234 HMI Risk Management Plan

Document Name: CR123456_Ln_Fdn_Cont_Rel Document Title: CR12345 Line Foundations Contingency Release

Additional Guidelines for the Document Name and Title:

Avoid using the ‘date of publication’ unless meaningful to the document, i.e. Meeting Minutes, Daily Diary, etc. If the date is needed, it must be expressed as YYYY-MM-DD (and must include hyphens to enable search)

Avoid using the ‘phase’ unless meaningful to the document, i.e. Statement of Objectives, Work Package Agreements, etc. If the phase is needed, it can be expressed as follows:

o Initiation = INI

o Identification = IDN

o Definition = DEF

o Implementation = IMP

Do not include file extensions in the document name or title - the file extension is the suffix at the end of the document name (e.g. doc, jpg, xml, .pdf, docx, bmp, txt, gif) that indicates the file format or the application used to create or access the file. Using file extensions adds to the length of the document name and should not be used.

Do not include “Draft”, “Final”, “Author” or “Signed” in the document name – these are not necessary as draft and final can be captured in the status field of the document properties and in the footer of the document. When a document is still in draft, a “watermark” can be placed within the document itself. The Author can be added to the optional “Author” field as additional metadata. Documents that have been signed should be converted to .pdf format.

Avoid using the terms ‘confidential’ and ‘sensitive’ in document names and titles - do not include anything that would indicate that the document is sensitive or confidential in the document name or title. ‘Confidential,’ ‘Sensitive’ and ‘Personal’ should not be included in Document names or titles. You can add this information in the Security Classification fields in the document properties and it will stay with the document when archived to FileNet.

The first letter of each word in the document name and title should be capitalized on a consistent basis.

Document Versioning

To increase visibility and searchability of project documents on PPM Workspace, “minor versions” will no longer be an option when checking in a document to PPM Workspace.

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Users will only have the option of “retaining a check out after checking in”. When documents get checked into PPM Workspace they will automatically become a “major” version (1.0, 2.0, 3.0) – there will be no more minor versions (1.1, 2.4, 3.7).

All documents, whether they are major or minor versions, will become searchable and visible to BCH authenticated users. This means users will have visibility and will be able to search for the latest version of the document as previously minor versions were not searchable.

Revision History

When a document is expected to be shared outside of BC Hydro, a “Revision Log" should be included in the document summarizing changes that have been included as new versions are developed.

Best practice is to keep all major release changes logged and a maximum of four minor versions.

If four minor versions are exceeded then the oldest minor version should be dropped from the history log.

Minor version changes between major releases can be removed once the next major version is released.

The Revision Log is typically at the beginning of a document or record.

Revision history is automatically tracked for every major version document in PPM Workspace. Revision information should be entered into the “comments” field each time revisions are made on the document. This information is important if deciding which previous version should be reinstated to replace the current one. This could occur if a document version needs to be rolled back for some reason.

Collaborating on a Document

Check-in / Check-out of Documents

To edit a document in PPM Workspace or Supply Chain Workspace, it must first be “checked out”. Once this happens, the document is no longer available to others for editing until it is checked back into the system. In addition, changes to the document will not be visible to others until it is checked back in.

When checking documents into PPM Workspace there is now only one option available. As documents are now automatically checked-in as a “major version”, the only option available to users is to “retain the check-out after check-in”. This means the document gets checked-in to PPM Workspace and edits saved, and allows the user to keep the document checked out in order to make further edits.

This is a good option to use when making extensive edits to a document as it ensures edits are captured in the system and allows the user to continue to work on the document, It also ensures no one else can make edits to the document while work is being done on it in the draft stage.

Note: If a document is checked out in error it should be checked back in untouched, and the “discard checkout” option in PPM Workspace should be used. It is not necessary to check out a document to just read it. All documents can be “viewed” by clicking on the document name in PPM Workspace. See the “Check-in / Check-out” section of the PPM Workspace Survival Guide for details on how to check documents in and out of the PPM Workspace.

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File Types

Use of .PDF Files

Final project records should be converted to .pdf format by the document author and filed in PPM Workspace (this strips off past versions of the document) and it indicates that the record is ready to be archived to FileNet.

Note: The Archiving team is responsible to convert all records to .pdf format prior to archiving final records to FileNet as this significantly reduces the chance of corruption in the future.

Use of .Zip Files

The .zip file format is not an approved BC Hydro archival file type.

Final project records should not be stored in .zip file format because they are prone to corruption and limit the ability to search.

Records should be saved and filed in their original format in PPM Workspace to enable search during the life of the project, and converted to .pdf once final.

Zip files may be used in PPM Workspace for transitory record use only (for sharing draft documents, drawings etc.) until such time as they are no longer required.

If project records are received from a third party in .zip format, the uncompressed records should be saved to PPM Workspace in their original format.

Use of .Pst and .Msg Files

Pst files are regularly used to manage emails and to solve email storage issues. When emails are saved to .pst files or network drives, the records cannot be managed and the content cannot be searched.

SharePoint and FileNet do not support .pst files because this type of file is prone to corruption which leads to data loss and issues with recovery.

PPM project records should not be stored in .pst files and if emails contain important project information, then best practice is to upload the .msg file to PPM Workspace or Supply Chain Workspace. This makes the record accessible and searchable for the project team and it can then be archived to FileNet.

Release Governance

PPM Workspace allows users to search for documents within and across projects and programs. Security can be applied at the site, folder or document level as required, to ensure sensitive documents do not get published until they are ready.

Best practice is to file confidential or sensitive documents in the project confidential folder by Practice area with access restricted to only those who need to see it to do their work, and to ensure the document is tagged with the applicable security classification.

Document Checking, Reviewing & Approval

Checking ensures that information contained in a document is accurate.

Reviewing ensures that the purpose of the document is met and that the information contained therein is relevant and is an appropriate response to the original request for information.

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Best practice is to always have someone other than the document author review it, especially if the document is going to be released to a party outside of BC Hydro.

There are professional obligations surrounding checking and reviewing of Engineering information.

The Checking and Reviewing procedure in the PPM Practices should be followed for such documents.

Where a Checking and Reviewing Record is obtained for a document, the record should be stored as a major version in the same folder as the associated document or record.

To facilitate searching for this record, it is recommended that the document name mirror the source document with additional identification to indicate that it is a checking a reviewing record.

Example:

Source document: TY1234_CB_Design Checking & Reviewing Record: TY1234_CB_Design_CR_Record

Checking and Reviewing procedures are described in the Design Practice. There is no formal workflow or automatic routing embedded in the PPM Workspace solution.

Document Distribution

There is no automated distribution of copies in PPM Workspace or Supply Chain Workspace, however, options do exist to receive notifications (i.e. alerts) for new documents or changes and deletions to documents or lists. Information on how to set up these notifications can be found in “Create and Manage Alerts” for PPM Workspace.

Draft documents should only be distributed for the purposes of collaboration, review, or approval and should be marked as “DRAFT”.

Best practice is to send a link to the document to those who need to collaborate, review, or approve the document rather than sending an attachment.

Each person who works on the document should check it back into PPM Workspace or Supply Chain Workspace so others can view it. This maintains the version tracking.

While PPM Workspace or Supply Chain Workspace should be used for collaboration within BC Hydro when practical, it is not always effective for large groups collaborating in a compressed time frame. There are a few options available:

Set PPM Workspace notification alerts so users know when other reviewers are done with the document.

Split and save the document into different sections then merge back into the master document.

E-mail a copy of the document to the respective parties, then all reviewers should use tracked changes or provide feedback. The document can then be manually recompiled, and uploaded back into PPM Workspace as a new version.

When sending documents externally, the transmittal / submittal process in the PPM Workspace Extranet and Supply Chain Extranet should be followed because of the audit trail it provides. Only published documents should be transmitted unless there is intent to collaborate with the external contractor receiving the information.

All transmittals, submittals, and email communication must be recorded in the project’s Correspondence Log.

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More information on the PPM Extranet is available in the PPM Extranet section on the PPM Information Centre.

Publishing a Document

Once collaboration is complete and all appropriate checking and reviewing has been done, the document is ready to be published. Different documents will require different signing authority before release. Check with the Project Manager or Functional Manager for appropriate signing requirements for your document.

Signatures

After a document is reviewed, the document author has three options of collecting signatures, depending on the document type:

1. Physical copy signatures

2. Email approvals (internal documents only)

3. Electronic signatures

a. Basic Electronic Signature - the method used in Project Delivery is a digitized image of the person’s signature (refer to Electronic Signature Guideline)

b. Digital Certificate - if a document or drawing must be sealed and signed by a professional of record (refer to Electronic Signature Policy)

The DRAFT watermark should be removed from the document when it’s printed for circulation of physical copy signatures. The DRAFT watermark must be removed once the document is final, whether signed in physical copy, approved by email or by electronic signature.

Once all signatures have been gathered and converted to .pdf, the document is published. It should also be determined if a permanent physical copy of the document is required in addition to the electronic version. The default will be to destroy any physical copies at project close unless the document is sealed.

Physical Copy Signatures

After signatures are applied to a physical copy document, it must be scanned and converted to .pdf. The document name on the .pdf and the source document must be the same - aside from the file extension. The version number noted on the document must also match (i.e. if the source document is being published as version 4.0, then the footer on the .pdf document should also be 4.0).

Note: The signature page of a document must contain a footer in order to maintain the integrity of the document.

Email Approvals

Internal documents approved by e-mail should include annotations within the document indicating who has approved by e-mail and the date. For ease of searching on the related approval e-mails, it is recommended that the e-mail title indicate the document name and the request for approval (e.g. APPROVAL REQ: document xyz).

E-mail approvals are to be converted to .pdf and retained as major versions in PPM Workspace as supporting evidence that the document was approved.

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These emails are to be stored in the same folder as the approved document.

Electronic Signatures

Electronic signatures can be used to sign internal documents, and on documents created by BC Hydro that must be signed by BC Hydro and an external party. Following are the business rules that will apply:

1. A signatory of BC Hydro must have a valid BC Hydro LAN ID and must be an employee, approved service provider or approved contractor.

2. There is an agreement or contract in place between BC Hydro and a third party that permits use, and the signed record is managed in an approved BC Hydro records repository.

3. Signatories must create their basic Electronic Signature using a pen (ink).

4. Signatories are responsible for keeping their basic Electronic Signature stored in a safe place (H: drive). Your signature is not to be given to anyone else for their use. For example, if you are going on vacation and have a delegate, the delegate should be using their own electronic signature or wet signature to sign documents “on your behalf” – not your electronic signature.

5. The basic Electronic signature may be applied directly to the document being signed, or it may travel apart, as long as the association with the document is clear and the link between the document and the signature is maintained to satisfy any future legal and audit requirements.

6. The Document owner or delegate (may or may not be the signatory) is responsible for saving the signed document in .pdf format in PPM Workspace or Supply Chain Workspace until such time as the document is declared a record into FileNet.

7. Network shared drives (C, H, J drives) are not to be used to manage the basic Electronic Signature process because they do not provide version control, or check-in and check-out audit functionality. .

8. The document owner or signatory must convert the document to .pdf after applying their basic electronic signature to reduce the risk of their signature or the content from being altered. Similarly, after multiple electronic signatures are collected, the final document must also be converted to .pdf and filed in the project PPM Workspace site until such time as the document is declared a record into FileNet.

9. Basic electronic signatures do not provide the following certainty to a record:

a. Authentication (a process such as use of a password that determines whether someone or something is, in fact, who or what they / it are declared to be)

b. Non-repudiation (the ability to ensure that a party to a contract or a communication cannot deny the authenticity of their signature on a document or the sending of a message that they originated).

10. When working with an external contractor, BCH must be the last party to apply the electronic signature on the document. Only the final .pdf version of the document should be transmitted outside of BC Hydro to prevent content and electronic signatures from being altered after sign-off. Another method would be to “lock” the signature space.

11. Use of the Adobe Reader “EchoSign” service and similar services are not permitted at BC Hydro because the service records and stores the document and the signature details outside of Canada.

12. Professional Engineers must comply with EGBC Quality Guidelines and signature processes, and therefore, signing and sealing professional documentation and drawings

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cannot be done using basic electronic signatures unless there is an approved BC Hydro procedure in place to permit its’ use.

13. For more information, view the Project Delivery Electronic Signature Work Instruction and Electronic Signature Frequently Asked Questions (FAQs).

14. Also refer to the Electronic Signature Policy, Guideline and Procedure in the Information Management Knowledge Centre Electronic Signature Library.

Multiple Media Formats and Copies

When creating a copy of a document in another format (e.g. .pdf), the new format must have the same document name as the source document.

Whenever possible, only one version of a document should exist (with the exception of a .pdf copy) and this should be considered the source document.

When the source copy is circulated for signature and converted to .pdf, the .pdf will be considered the master copy.

The source document may be retained for re-use during the life of the project. However, at the end of the project, only the .pdf version will be retained and sent to FileNet, and the source document will be deleted. (Unless the Project Manager has a unique requirement to retain the source copy.)

Where there are electronic copies and duplicate physical copies, the duplicate physical copies should be stamped COPY or DUPLICATE if there is a need for these to be retained as per any unique document management requirements.

Deletion of Documents

Documents or List items should not be deleted from PPM Workspace unless there is a justifiable business reason (i.e. project close), and this should only be done by the document owner, Project Manager or their delegate.

Note: If a document gets uploaded into the wrong folder, there is no need to delete the document and re-upload it. The Explorer View option in PPM Workspace can be used to move the document to the correct folder. More information on using the “Explorer View” can be found in the PPM Workspace Search system instruction.

Project Media

Project media typically comprises of photographs, video and audio files. These types of media are considered project records and should be tagged with the appropriate metadata, filed, and retained as evidence of project work. Photos are valuable and contain useful information, and must be retained as a project record.

FileNet Media Space was developed to manage, store and easily archive project media for long term retention in FileNet. The tool allows media to be uploaded in batches and key descriptions to be captured to enable searchability. Media can also be archived by folder or by the project site.

View the FileNet Media Space FAQs for more information.

Project Documentation Close-out

Once a document is final and no further changes will be made, the document should be converted to .pdf so it’s clear to users that it is a final record. By converting to .pdf, all past

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versions of the document are deleted and the record is ready to be archived to FileNet. It is best practice to send records to FileNet in .pdf format as this significantly reduces the chance of corruption in the future.

Once the project is complete and the Archiving request has been submitted through the PPM Archiving Workflow, the Archiving team will determine which documents are corporate records and must be retained, and which are transitory and must be deleted.

Corporate records will be archived to FileNet. It’s important to note that when documents get declared as records into FileNet, all past working versions are stripped off, and only the most recent major version is transferred over.

Transitory records must be retained until they have served their useful purpose (usually until project close) then confidentially destroyed.

As part of the documentation close-out, all minor version (draft) documents will be reviewed to determine if they need to be destroyed or retained.

The decision to retain draft documents (or past minor versions of documents) rests with the document owner. If the document owner can’t be reached, this decision is made by the Project Manager.

If a decision is made to retain the draft document it should be watermarked with “draft” or have “draft” in the footer so that it has some protection under the Freedom of Information (FOI) Act and is treated as “advice and recommendations”. However, if the draft document gets published at some point, or the Project Manager is relying on the draft version to make business decisions, then the FOI protection diminishes significantly.

Draft versions of documents that need to be retained will be moved to the Reference Library on PPM Workspace and will not be archived.

All draft documents are open to legal, privacy, regulatory and other discovery so best practice is to not keep draft versions unless it is necessary or it’s a specific requirement of the project.

The only time draft documents would be archived to FileNet is if they have significant precedential value (for example, if a lawyer provides significant interpretation or advice on items in the document. Or there are protections under FOI against disclosing legal advice under the solicitor-client privilege.)

Note: It is important to retain any information that may be required to defend or support potential legal action, e-Discovery, warranties, claims or contractual disputes. Refer to the Corporate Records Guideline and the Disposal of Transitory Records Policy.

The PPM Workspace Archiving and Project Close-out process is as follows:

1. Once the project meets the in-service date (ISD), the project should be submitted for Archiving through the PPM Archiving Request Workflow which is found on PPM Home.

2. Project Managers must allow a minimum of:

a. 6 months’ notice after reaching ISD for projects over $50m

b. 3 months’ notice after reaching ISD for projects under $50m

c. Project archiving must be completed and charged prior to the financial close of the project.

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3. The Archiving Work Lead provides the Project Manager with a detailed cost estimate which includes the start and end date of archiving.

4. The Archiving Team performs the document analysis and declares the documents as records into FileNet.

5. Transitory documents will be purged from PPM Workspace, either by being deleted by the document owner or delegate, or retained in the PPM Workspace Reference Library (if necessary).

6. Documents sent to FileNet are replaced with a “stub link” to the record in FileNet (i.e. the record now lives in FileNet).

7. The stub link will be kept in PPM Workspace in perpetuity to facilitate the access of complete project records.

8. Data in Lists (Risk Register, Change Log, Hazard Log, and Lessons Learned) will stay intact on PPM Workspace, and a copy of the data records will be extracted into an Excel spreadsheet and archived to FileNet.

9. Physical records are collected in Iron Mountain boxes and Records Transfer Lists (RTLs) are prepared. Boxes and RTLs are sent to Asset and Engineering Records Services (AERS) for off-site storage. (More information available on the AERS website).

10. PPM Workspace Extranet sites and breakout rooms will be closed and contractor permissions removed.

11. The PPM Workspace site status is changed to “closed” and project team member permissions are changed to “read only”.

For more detailed information, view the “PPM Workspace Pre & Post Archive Checklist” on the PPM Information Centre.

A PPM Workspace site may remain active beyond the project financial close date in order to facilitate the finalization of the project completion and evaluation reports, close out of non-conformances and/or deficiency list items that may still exist. If there is a requirement to add further documents to a closed PPM Workspace site, contact the PPM Archiving Work Lead.

The goal is to have only one version of each document and the final document being declared as a record into FileNet. For more information refer to the Records Retention Schedules which are owned by the Records Information Office.

Retention & Disposal

BC Hydro Records Retention Schedules indicate how long we need to keep records and provides direction on how to deal with the record or group of records once its retention period has elapsed. Due to the nature of some projects, some of the records could be classified as ‘historical’ and transferred to the BC Hydro Archives (e.g. Public Records Search).

The retention period is dependent on the content and context of the record – not its format or medium (i.e. paper, electronic document, or email). Both physical and electronic records are retained for the same length of time as defined in the Records Retention Schedule for the record type. The official BC Hydro record may be either the electronic document managed in PPM Workspace or Supply Chain Workspace and declared to FileNet, or it may be the physical copy (i.e. the Project Manager’s project binder or sealed and signed reports, etc.).

The “Content type” in PPM Workspace and the “Contract Activity” in Supply Chain Workspace has been predefined to direct all project records to a Project, Asset, or Procurement repository in FileNet where the records are managed until disposition.

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Indigenous Relations, Properties, Finance, and Regulatory documents have their own corporate repositories defined for legal documents that live beyond the life of the project.

The PPM Workspace Project Archiving & Closure section provides information on requesting the archival of project workspace documents.

The following shows the PPM Workspace “Content type”, the corresponding FileNet repository, and the retention period for project records:

PPM Workspace Content Type

FileNet Repository Retention Period

Project Management PPM Project Minimum of 10 years past the end of the project

Design Asset & Engineering Records

Minimum of 10 years after the asset is disposed of, or decommissioned. [Includes Engineering documents as defined by the Engineers & Geoscientists of BC (EGBC)].

Construction & Contract Management (eg. post-award documentation)

Procurement (eg. pre-award documentation)

Procurement / Supply Chain

Minimum of 10 years after the asset is disposed of, or decommissioned

Regulatory, Environment, Social Issues & Properties (RESP)

Regulatory documents go to Regulatory

Properties documents go to Properties

Environment and Social do not have dedicated FileNet repositories so these documents go Asset & Engineering Records

Regulatory, Environment and Properties records – permanent retention Social records – minimum of 10 years

Indigenous Relations (IR) IR FileNet Permanent

In cases where a record fits into more than one category, it shall be classified into the records class with the longer of the retention period requirements.

Where a document is superseded by a newer document, the older document should be destroyed in accordance with the Disposal of Transitory Records Policy.

Note: All documents in Supply Chain Workspace will be automatically archived to the Supply Chain FileNet repository.

Physical Record Storage

For some documents, the physical copy document is the official BC Hydro corporate record and projects are responsible for managing these records in accordance with the procedures found on the Asset and Engineering Records Services HydroWeb site.

• If an electronic version is also received, it should be saved to PPM Workspace.

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• In some cases, for high value documents, if no electronic version is received, best practice is to scan and upload the document to PPM Workspace. In this case, the electronic version is a convenience copy, and will be archived to FileNet to ensure a complete project record is available in electronic format. Metadata is entered into FileNet to indicate there is an electronic and physical version.

High value records include, but are not limited to:

• Sealed and signed Engineering or Geoscience Reports

• Project Completion & Evaluation Reports

• Operations and Maintenance (O&M) Manuals

Physical records are retained as follows at:

• The Asset and Engineering Records Centre (all Engineering reports regardless of line of business)

• The BC Hydro Corporate Library and Archives (for records with historical archival value as identified in the BC Hydro Retention Schedules) or

• Off-site storage at Iron Mountain.

The method to submit information to these repositories can be found on the Asset and Engineering Records Services HydroWeb site.

All physical copies created during the life of the project and considered transitory (i.e. not master documents or records) should be confidentially destroyed at the end of the project following the Disposal of Transitory Records Policy. This will reduce storage requirements (costs and effort).

Disposal

Once a record has exceeded its useful life as defined in the BC Hydro Records Retention Schedule, a decision is made on whether to extend the Retention Schedule or dispose of the record(s).

When this situation occurs, the Records Information Office will determine if there are any legal holds on the records, and contact the Project Manager to discuss potential further retention. If the Project Manager cannot be reached or is no longer at BC Hydro, the responsible Program Manager or Director in the respective business group will be contacted.

If you have any questions, please contact:

Linda Iggulden Document and Records Management Practice Lead BC Hydro linda.iggulden@bchydro.com