Standard Work for New/Changing Employee Form



[pic] Real Estate and Construction Services (RECS)

RECS-SW-16 Standard Work

for Archiving Project Documents and Non-Project Documents in PWA (Project Web Application/ Project Management Software System) & Documents Pre-PWA/Post File Net

Standard for:

Archiving of project and non-project documents in the division’s project management software system.

Purpose:

To achieve consistency in the types of electronic documents to be filed and by whom and to have a document retrieval source that meets record retention requirements

Background:

The division has a software application for managing construction projects. This system has document storage capability and was designated the source for project and non-project document archiving and retrieval.

References or related documents:

MN Statute Section 15.17 and 138.17 – Records Retention & MN Data Practices Act

Estimated time for completion:

When documents are finalized or prior to closeout of project.

Process for revising standard:

Submit electronic document of this standard with tracked and redline changes.

Attachments:

Attachment A: Document Types, Archiving Responsibilities and file location

Attachment B: Electronic Document Naming Standards

RECS Records Retention and Archiving Policy dated 8/16/2016

Date:

August 9, 2013

Revision Date:

11/22/2016

Standard:

|Step |TASK |TIME |

| | | |

|1 |Review the Attachment (A) to this Standard of Work for the documents that are to be filed / archived in|As occurs |

| |the division’s project management software system; the staff who is responsible for filing the | |

| |document; and the location to file the electronic document. | |

| | | |

|2 |File the final version of project and non-project document(s)* in the system using Attachment |As occurs or prior to project|

| |B-Electronic Document Naming Standards. |closeout |

|3 |Contracting staff (for P/T consultant related contracts) or Accounting staff (for construction related | |

| |contracts) will print appropriate Contract Checklist and attach to contract file. Persons responsible |At time of filing for each |

| |for filing documents should review, initial and date checklist found in the file folder once documents |contract |

| |have been appropriately filed. Accounting will scan into PWA when final pay is complete and contract is| |

| |closed. | |

| | | |

| |Project Checklist will be added to PWA by Accounting staff. Project documents should be verified by all| |

| |appropriate persons, initialed and dated so project can be closed out. |After project closeout |

|Notes: |Contracts for non-Construction Services projects are in the Non Project Contract Data tab in PWA in the| |

| |Contract section and archived (attached) by line item. | |

| |Grants, Joint Powers Agreements and other special agreements are entered in the Agreements List in the | |

| |Non Project Contracts tab in PWA. The documents are saved in the Non Project Archive Data tab, in | |

| |separate Libraries based on the agreement type. | |

| |RFPs for non-project contracts are in the Non Project Contract Data tab in PWA in the RFP section and | |

| |archived (attached) by line item. | |

| |Master Contract documents are located in the Master Contract section in the Non Project Archive Data | |

| |tab with just data entry in the Non Project Contract Data tab in PWA. | |

| |Predesigns for are located in the Predesign section in the Non Project Archive Data tab. | |

| |PBEEEP RECS projects in PWA, box up PBEEEP MNSCU and keep indefinitely | |

|Contracting File | | |

|Folders | | |

| |Accounting Tech moves file folders from active contract files after the entire project is final paid. | |

|1 | |After Final Pay |

|1a |For those files archived in PWA: | |

| |Accounting Tech to verify documents in contract file folders are in PWA by reviewing closeout | |

| |checklist. | |

| |Put in cabinets or boxes for storage. | |

| |Keep for five (5) years plus current fiscal year for audit access. | |

| | | |

| |How to know if contract archived in PWA: | |

| |Accounting Clerk’s “Archived” stamp will be in the file on the final pay document. | |

| |Prior to using the stamp, Accounting Clerk initialed final pay document, which indicates it was | |

| |archived in PWA. Accounting Clerk also puts a colored flag on the folder tab that says “Closed” with | |

| |the Date. The flag color will be changed each fiscal year. | |

| |For those files not archived in PWA or the previous FileNet system (May 2011 and earlier), move to | |

|1b |“Archived” file cabinets and keep for eleven (11) years. | |

|Notes: |Vendor invoices to be kept for five (5) years plus current fiscal year. | |

| |Bundled projects – filed with first project number listed. | |

| |Since PWA archiving began, files are archived by contract file, not by project. | |

| |Construction related contracts must be retained for eleven (11) fiscal years after the end date of the | |

| |contract or the last payment date, whichever is later. A paper copy of a contract must be retained for| |

| |five (5) plus current fiscal year years for auditing purposes. However, a paper copy is not needed if | |

| |there is an electronic copy, that is backed up and easily retrievable. | |

| |Beginning 2/1/2014, archiving pay requests in PWA commenced. When a contract is final paid, the pay | |

| |requests are scanned by project and saved in PWA under the project number. (See Attachment A for file | |

| |location.) | |

| |Documents needing to be archived should NOT be placed in the shelving area outside of conference room | |

| |C. This is no longer an archive collection area and instead is used for archiving file storage. See | |

| |Attachment A for staff responsible for archiving electronically. | |

End of Standard

Attachments

Attachment A: Document Types, Archiving Responsibilities and file location

Attachment B: Electronic Document Naming Standards

ATTACHMENT A – Document Types, Archiving Responsibilities and File Location

PROJECT CONTACTS - in PWA under Project Number > Project Documents

|Contract File |Document |Filed By |Folder |

|Consultant Design & Study (red files) |  |  |  |

|  |Contract |Support |03 Contracts - 01 Consultants |

|  |Supplemental Agreements |Support |03 Contracts - 01 Consultants |

|  |DEs |Support |03 Contracts - 01 Consultants |

| | | |(at the end of applicable SA) |

|  |Insurance Certificate |Support |03 Contracts - 01 Consultants (with contract) |

| |Cover Sheets |Support |03 Contracts - 01 Consultants |

|  |Certification Form |Contracting |03 Contracts - 01 Consultants |

|  |RFP/RFQ |Contracting |03 Contracts - 01 Consultants |

|  |State Register Notices, if applicable |Contracting |03 Contracts - 01 Consultants |

|  |Successful RFP response |Contracting |03 Contracts - 01 Consultants |

|  |RFP Evaluation documents |Contracting |03 Contracts - 01 Consultants |

|  |SDSB documents (use SDSB File Checklist at |Contracting |03 Contracts - 01 Consultants |

| |S:\SDSB\FORMS\RFP related forms\Current Forms| | |

| |for full list of documents) | | |

|  |Pay Requests |Accounting |  |

|  |16A/C |Support |03 Contracts - 01 Consultants |

|Consultant - Construction Testing | | | |

| |Same as Consultant red file above |Support |03 Contracts - 04 Testing |

|CM at Risk or Design Build (blue files) |  |  |  |

|  |Same as Consultant red file above |  | |

|  |Payment & Performance bonds |Support |03 Contracts - 02 Contractors |

|Consultant - other (green files) |  |  |  |

|Specialty consultant files such as: Owners |Same as Consultant red file above |  |03 Contracts - 01 Consultants |

|Representatives, contract workers, annual | | | |

|contract/Master Design contract | | | |

|Construction/Contractor (yellow files) |  |  |  |

|  |Contract |Accounting |03 Contracts - 02 Contractors |

|  |Supplemental Agreements |Support |03 Contracts - 02 Contractors |

|  |DEs |Support |03 Contracts – 02 Contractors (at the end of |

| | | |applicable SA) |

|  |Payment & Performance bonds |Accounting |03 Contracts - 02 Contractors |

|  |Insurance Certificate |Accounting |03 Contracts - 02 Contractors |

|  |Notice to proceed letter |Accounting |03 Contracts - 02 Contractors |

|  |Pay requests & Invoices (includes FFE, all |Accounting |06 Closeout Documents - 01 Documents |

| |back-up & TG info) | | |

|  |Asbestos POs & back-up |Accounting |03 Contracts - 05 Environmental / Haz Mat |

|  |POs & back-up |Accounting |06 Closeout Documents - 01 Documents ; If for |

| | | |FF and E - 01 Budget and Financial - 03 FF and|

| | | |E |

|Abatement Consultant (blue files) |  |  |  |

|Standalone Haz Mat project |Same as Consultant red and Construction |  |03 Contracts - 05 Environmental/Haz Mat |

| |yellow files above. | | |

|Part of a construction project |  |  |03 Contracts - 05 Environmental/Haz Mat |

|All Projects |  |  |  |

|  |Original PIF |PM |01 Budget and Financial - 01 PIF |

| |Updated PIFs |Accounting |01 Budget and Financial - 01 PIF |

|  |CAPRA Request - approved form |PM |01 Budget and Financial - 01 PIF |

|  |Design kick-off and design meeting notes |PM |04 Communications - 02 Design |

|  |Design guideline checklist sign-offs |PM |04 Communications - 02 Design |

|  |Precon checklist and meeting notes |PM |04 Communications - 04 Construction |

|  |Construction meeting notes |PM |05 Construction Documents-06 Meeting Notes |

|  |Letters authorizing consultant to proceed to |PM |04 Communications - 02 Letters |

| |DD-CD-Bidding phases | | |

|  |Legislative/Bonding Bill language |PM |04 Communications - 02 Legislative |

|  |Legislative notification letters |PM |04 Communications - 02 Legislative |

|  |Legislative response letters |PM |04 Communications - 02 Legislative |

|  |Emergency Authorization Form - Approved |PM |01 Budget and Financial - 01 PIF |

| |version | | |

|  |Intent to Award letter |PM |04 Communications - 03 Bidding |

|  |Bid request form (completed version) |PM |04 Communications - 03 Bidding |

|  |Bid award/rejection memo |Accounting |04 Communications - 03 Bidding |

|  |Bid results (tabulation) |PM |04 Communications - 03 Bidding |

|  |Consultant's recommendation to award letter |PM |04 Communications - 03 Bidding |

|  |Project Directory |PM |04 Communications - 02 Project |

|  |Final Project accounting worksheet |PM |01 Budget and Financial - 02 Project Budget |

|  |Test results |PM |03 Contracts - 04 Testing |

|  |Building permit and other permits |PM |06 Closeout Documents - 01 Documents |

|  |Code, Fire Marshal, SHPO authority letters |PM |06 Closeout Documents - 01 Documents |

|  |Certificate of Occupancy w/punchlist |PM |06 Closeout Documents - 01 Documents |

|  |Certificate of substantial completion |PM |06 Closeout Documents - 01 Documents |

| |(w/punch list) | | |

|  |Signed off punch lists from contractor |PM |06 Closeout Documents - 01 Documents |

|  |Acceptance by agency |PM |06 Closeout Documents - 01 Documents |

|  |Final Report (if predesign, study, |PM |07 Reports - 01 Project Reports |

| |investigative work, geotech report) | | |

|  |As-Built Record Documents (CD of both plans |PM |RECS PLANNING |

| |and specs); Note; A CD of the bid set goes to| | |

| |RECS planning | | |

|  |Documentation on any claims & disputes |PM |04 Communications - 10 Conflict Resolution, |

| | | |Mediation, Litigation |

|  |Significant correspondence (decision making |PM |04 Communications - 02 Design or 04 |

| |correspondence) | |Construction |

|  |Specialty docs: FF&E packages, move company,|PM |Small Projects: 01 Budget and Financial - 03|

| |etc. | |FF and E |

| | | |Large Projects: Obtain IT Support to create |

| | | |new Document Group 08 FF and E |

NON PROJECT ARCHIVE DATA – in PWA

|Contract File |Document |Filed By |Folder |

|Predesign |Predesign Manual, Letters | Project Operations|In Predesign section, organized by Department |

| | |Manager |or other Government Entity |

| Master Contracts |Contract |Support |In Master Contract section -> Type of Master |

| | | |Contract -> Program Year -> Original Contract |

|Master Contract SAs |Contract |Support |In Master Contracts section -> Type of Master |

| | | |Contract -> Program Year -> Supplemental |

| | | |Agreement |

NON PROJECT CONTRACTS – in PWA under Non Project Contracts tab

|Contract File |Document |Filed By |Folder |

|Non Project Contracts (Assignment Agreements, Land, |  |  |  |

|Grants, Interagency Agreements, MOU’s, JPA’s, and | | | |

|License Agreements) Please note that only Master | | | |

|Contract Data is entered in this section. See above | | | |

|for location Master Contracts and SAs. | | | |

|  |Contract |Support |Add document to contract line item |

| |Contract Coversheet |Support |Add document to contract line item |

|  |Insurance Certificate |Support |Add document to contract line item ( with the |

| | | |contract) |

|  |Supplemental Agreements |Support |Add document to Supplement Agreement line item|

|  |DEs |Support |Add document to Supplement Agreement line item|

| | | |(at the end of applicable SA) |

|  |16A/C |Support |Add document to contract line item |

|  |Pay Requests |Accounting | Add document to contract line item |

| |RFP & Addenda |Contracting |Add document to awarded vendor/first RFP line |

| | | |item |

|  |State Register Notices, if applicable |Contracting |Add document to awarded vendor/first RFP line |

| | | |item |

| |RFP Evaluation Material |Contracting |Add document to awarded vendor/first RFP line |

| | | |item |

| |Successful RFP response |Contracting |Add document to awarded vendor/first RFP line |

| | | |item |

| |Certification form |Contracting |Add document to awarded vendor/first RFP line |

| | | |item |

| |Grants |Support |Add document to Agreement line item |

| |Interagency Agreement |Support |Add document to Agreement line item |

|  |Joint Powers Agreement |Support |Add document to Agreement line item |

| |Memorandum of Understanding |Support |Add document to Agreement line item |

| |License Agreement |Support |Add document to Agreement line item |

ATTACHMENT B

|Electronic Document Naming Standards for PWA |

|General Notes |Using two digits for number allows 01 to proceed 10. If a single digit is used 10 comes before 1 in a list because the computer reads from the left. |

|  |  |  |

|  |Number symbols ## do not work in PWA. Other characters to avoid: / : * ? < > [ ] & $ |

|  |  |

|  |Computers do not like spaces, an underscore is the preferred separation. Spaces are translated to %20 in a web environment. |

|  |If a file is named "Addenda 11" it may appear as "Addenda%2011" when printed or copied. |

|  |  |  |

|  |"BBC" throughout this document represents the vendor's initials |  |

|  |  |

|Project Number |G02RC02HP0003 this is the SWIFT number for the project and must be used as the primary project name. |

|  |  |

|Project Name |02HP0003_REPLACE_WINDOWS |

|  |Files will also be searchable if documents are abbreviated with 02HP0003_REPLACE_WINDOWS |

|Executed Contract |BSA_Design_BBC_45576_Executed ("BBC" represents vendor's initials) |

|  |  |

|Master Contracts |MC_IHS_BBC_45576_Executed | |

| | | |

|Work Orders |WO_Testing_BBC_45576_Executed |

|  |  |  |

|Work Order Amendment |WO_Testing_BBC_45576_SA_01_Executed |

|  |  |

|Supplemental Agreements |SA_01 thru SA_99 BSA_Design_BBC_45576_SA_01_Executed (or PT_Study_BBC_45576_SA_01_Executed or MC_Testing_BBC_45576_SA_01_Executed) |

| |If construction contract with multiple bid packages, add "BP1" or BP2" to the end. |

|  |When a DE is included in an SA, the signed copy of the DE should be scanned/attached with the SA to fulfill MN Stat. 16C.05, subd.2(d) |

|  |  |  |

|CM @ Risk Executed Contracts |CMR_BBC_45576_Executed |  |

|  | |  |

|CM @ Risk Supplemental Agreements |CMR_BBC_45576_SA_01_Executed |  |

|  |  |  |

|Developing Encumbrances |DE_BBC_01 thru DE_BBC_99 |

|  |  |  |

|Bid Request Form |Const_Bid _Request |  |

|  |  |  |

|Award Recommendation |Const_Award_VendorName |  |

|  |  |  |

|Construction Agreements |Constr_BBC_45576_Executed |  |

|  |  |  |

|Construction Supplemental Agreements |Constr_BBC_45576_SA_01_Executed |  |

|  |  |  |

|PO |PO_BBC_PO# |  |

|  |  |  |

|Invoices |Inv_3-1234_VendorName_12345 (3-1234 represents the PO# and 12345 represents the invoice #) |

|  |  |  |

|PIF |PIF_Project Name ie: PIF_02HP0003_REPLACE_WINDOWS |  |

|  |  |  |

|RFI |RFI_01 thru RFI_99 |

|  |  |

|RFQ |RFQ_01 thru RFQ_99 |

|  |  |

|RFQ Addenda |RFQ_ADDENDA_01 |

|  |  |

|SWIFT Consultant RFP |RFP_Design_1234 φ(SWIFT Event ID) |

|  |  |  |

|SWIFT Consultant RFP Proposal |RFP_Design_1234_Proposal_BBC |  |

|  |  |  |

|SWIFT Consultant RFP Evaluation Summary |RFP_Design_1234_Evaluation_Summary |  |

|  |  |  |

|SWIFT Consultant RFP Evaluation Score Sheets|RFP_Design_1234_Evaluation_Score_Sheets |  |

|  |  |  |

|SWIFT Consultant RFP Non Award Letters |RFP_Design_1234_NonAward_Letter_BBC |  |

|  |  |  |

|Mandatory Meeting Sign In Sheets for RFP’s |RFP_Design_1234_Sign_in_sheet | |

| | | |

|SWIFT Certification Forms when w/RFP |RFP_Design_1234_Certification_Executed (won't be signed, approved in SWIFT) |  |

|  |  |  |

|Consultant RFP (pre-SWIFT) |RFP_Design |

|  |  |  |

|Consultant RFP Proposal (pre-SWIFT) |RFP_Design_Proposal_BBC |  |

|  |  |  |

|Consultant RFP Evaluation Summary |RFP_Design_Evaluation_Summary |  |

|(pre-SWIFT) | | |

|  |  |  |

|Consultant RFP Evaluation Score Sheets |RFP_Design_Evaluation_Score_Sheets |  |

|(pre-SWIFT) | | |

|  |  |  |

|Consultant RFP Non Award Letters (pre-SWIFT)|RFP_Design_NonAward_Letter_BBC |  |

|  |  |  |

|Certification Forms when w/RFP (pre-SWIFT) |RFP_Design_Certification_Executed |  |

|  |  |  |

|Certification Forms when no RFP |BSA_Design_BBC_45576_Certification_Executed |  |

|  |  |  |

|Pay Requests |Pay_Request_BBC_1234 ("1234" represents contract number); If saved as separate documents, add pay request number at the end |

| | |  |

|Substantial Completion Form |Substantial_Completion_2012_01_12 |  |

|  |  |  |

|Dates |2012_01_12 |

|  |  |  |

|Email attachment or scan |Site_visit_2012_01_12 Use a naming strategy that identifies the content. Project number can be included. |

|  |  |  |

|Memo, Letters, Reports |Sign_in_sheet_2012_01_12 Use a naming strategy that identifies the content. Project number can be included. |

|  | |

|Bundled Projects |Each project number will have its own file. File notes will list other project numbers bundled with each other. |

| | |

|Pre Design Submittals | Facility_Building_Document Type_Project_Date (General Format) (Document type is generally Predesign, Submittal_Ltr Response_Ltr, or Narrative)  |

| | | |

|Joint Powers Agreement |JPA_BBC_Project_Contract#_Executed_Date ( Where BBC is who agreement is with and Contract # is if applicable) For Example: |

| |JPA_UofMN_B3_111578_Executed_2016-07-01 |

| | | |

|Grants |Grant_Grantee_Project_Contract#_Executed Date |

| |For Example: Grant_Hastings_Vets_Mem_15657_Executed_2016-07-01 |

| | | |

|Additional source information | |

| | | |

|Following these standards will allow for |For other documents, use a consistent naming convention, similar to those above. | |

|consistency and better file searching in the| | |

|future. | | |

|Draft files should not be saved in PWA. | | |

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