Petroleum Development Oman L.L.C.

UNRESTRICTED Document ID : CP-102

October 1998 Filing key : A.24

Data and Document Management

Code of Practice
Keywords: Best Practice

This document is the property of Petroleum Development Oman, LLC. Neither the whole nor any
part of this document may be disclosed to others or reproduced, stored in a retrieval system, or
transmitted in any form by any means (electronic, mechanical, reprographic recording or otherwise)
without prior written consent of the owner.
Data and Document Management Code of Practice Version 2.0

Authorised For Issue 31/10/1998

Signed :............................................................
Tony Allwright, TSD
Director, Technical Services

CP-102 Page i October 1998

Version 1.0 Data and Document Management Code of Practice

Contents

1. Introduction...........................................................................................................................1
1.1 Background.......................................................................................................................1
1.2 Purpose..............................................................................................................................1
1.3 Target Audience................................................................................................................1
1.4 Structure of This Document..............................................................................................1

2. Scope and Objectives............................................................................................................2

2.1 Scope.................................................................................................................................2
2.2 Aims & Objectives............................................................................................................2
2.3 Fundamentals for this Code of Practice............................................................................3
2.4 Related Standards..............................................................................................................3
2.5 Review and Improvement.................................................................................................4

3. Roles and Responsibilities....................................................................................................5

3.1 Document Ownership........................................................................................................5
3.2 Document Authority..........................................................................................................6
3.3 Document Author..............................................................................................................6
3.4 Document Custodian.........................................................................................................7
3.5 Document Holder /Target Audience.................................................................................7
3.6 Document Management Standards Co-ordinator.............................................................7
3.7 Line Management.............................................................................................................8
3.8 Line staff............................................................................................................................8
3.9 Libraries.............................................................................................................................8
3.10 Audit...........................................................................................................................9

4. Practices to be Followed (Lifecycle Management Activities)........................................10

4.1 Identify Need...................................................................................................................10
4.2 Create/Update..................................................................................................................11
4.3 Approval..........................................................................................................................12
4.4 Publish and Distribute/Issue............................................................................................12
4.5 Use 13
4.6 Index................................................................................................................................14
4.7 Store.................................................................................................................................15
4.8 Retrieve...........................................................................................................................15
4.9 Review.............................................................................................................................16
4.10 Delete........................................................................................................................17
4.11 Maintaining a Register of (Document) Assets.........................................................18
4.12 Confidentiality Maintenance....................................................................................18
4.13 Vital/Essential Records Protection..........................................................................18

5. Application and Step-Out Approval.................................................................................19

5.1 Application......................................................................................................................19
5.2 Step-Out Approval..........................................................................................................19

Appendix 1 Glossary of Terms, Definitions and Abbreviations.........................................20

Appendix 2 Business Control Documents.............................................................................21

Appendix 3 Document Classes...............................................................................................22

A3.1 Business Controls................................................................................................22
A3.2 Business Records.................................................................................................22
A3.3 Reference Documents.........................................................................................22

Appendix 4 Document Templates & Content.......................................................................23

A4.1 Business Control Documents..............................................................................23
A4.2 Business Records.................................................................................................25

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Data and Document Management Code of Practice Version 2.0

A4.3 Reference Documents.........................................................................................26

Appendix 5 File Formats........................................................................................................27

Appendix 6 Content Management.........................................................................................28

A6.1 Version Control...................................................................................................28
A6.2 Document Status.................................................................................................28
A6.3 Document Numbering / Coding..........................................................................28
A6.4 Document Inspection / Quality Assurance.........................................................29

Appendix 7 Vital Documents..................................................................................................31

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Data and Document Management Code of Practice Version 2.0

1. Introduction
1.1 Background

PDO data and documentation are important business assets, which form the company's
information asset. Managing this asset throughout its life cycle, as required under PDO's
policy for Information Management, is an important business process. This Code of
Practice is derived from the Information Management Policy (PL-39).

The key activities in this process, applicable to data and documents, are described in detail
in this Data and Document Management Code of Practice. These activities are based on
PDO experience and expertise, legislative requirements, Shell Group guidelines and
recognised industry best practice. They also embrace the established principles and tasks
associated with sound Records and Information Management (RIM). PDO's Data and
Document Management specifications, procedures and guidelines are based on this Code
of Practice.

1.2 Purpose

PDO generates a significant quantity of data and documentation in the course of

transacting its business. The purpose of this document is to recommended practices that
can be applied consistently and repeatedly to manage data and documents throughout their
life cycle.

1.3 Target Audience

This Code of Practice is intended for use by all PDO staff (including contractors)
responsible for managing data and documents at any point in the life cycle process. It
applies to data and documents in any format (ie paper, electronic, microform, etc) and may
also be used by auditors to inspect the effectiveness of any data or document management
process that in turn supports asset management or business process activity execution.

1.4 Structure of This Document

This Code of Practice comprises the following elements:

Section 1 contains an introduction to the Code of Practice.

Section 2 defines the scope and objectives upon which the Code of Practice is based.
Section 3 contains the roles and responsibilities that apply to managing data and
documents.
Section 4 details the practices to be followed when executing an activity in the
data/document management process.
Section 5 contains information about the application of the Code of Practice and
rules governing non-compliance and obtaining authorised step-out
approval.

Appendix 1 contains a glossary of terms, definitions and abbreviations.

Appendix 2 defines the hierarchy for Business Control Documents.
Appendix 3 defines the 3 major classes of documents in use in PDO.
Appendix 4 outlines the generic content of authorised document templates.
Appendix 5 describes recommended electronic file formats for managing documents
throughout their life cycle.
Appendix 6 defines key practices for managing document integrity.
Appendix 7 contains a list of recommended Vital documents for PDO

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2. Scope and Objectives

This section provides a description of the fundamentals upon which the recommended
practices are based and broadly outlines the boundaries within which these are set.

2.1 Scope

The scope of data and document management is determined by :

· the data and document management process which is concerned with all aspects of
managing data and documents throughout their life cycle, together with:
· the data /document classes to which the process applies.

2.1.1 Data and Document Management Process

The data and document management process is concerned with all aspects of managing
data/documents throughout the (10) lifecycle stages. This lifecycle is indicated in the
model below. Stages (1-3) represent the 'live' or changeable phases for data or a document
and stages (5-8 + 10) represent the 'finalised' phase. Stages (4+9) are the phase cross-over
points.

1 2 3

START Identify need Create/Update Approve

10 9 4

Delete Review Distribute/Issue

8 7 6 5

END Retrieve Store Index Use

To ensure the integrity, confidentiality and availability of certain data or document assets,
the management process outlined above needs to include 3 additional stages that impact
the whole process:

· maintaining data/document Confidentiality

· protecting Vital/Essential data/documents
· maintaining a (data/document) asset register.

2.1.1 Document Classification

The document management process applies to all documents owned by PDO, which can be
considered in three groups:

· Business Control Documents

· Business Records
· Reference Documents

These classes are defined in greater detail in Appendix 3.

2.2 Aims & Objectives

The aims and objectives for documenting this Code of Practice are :

· To describe the activities needed to implement PDO's information management

policy in the area of data and document management;

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· To capture and record accepted best practices for all activities in the data/document
management arena;
· To convey common, consistent advice on data/document management practices to
all practitioners;
· To establish the basis for effective knowledge and information management.

2.3 Fundamentals for this Code of Practice

The key guiding principles upon which this code of practice is based are listed below:

· Data/documents (and records) are important business assets which must be

managed accordingly.
· All data/documents (and records) generated/obtained in the course of transacting
PDO business belong to PDO, not to the individuals or groups that are involved in
their creation.
· Data/documents (and records) are a product of executing PDO business processes,
executing activities and managing assets. Business process owners and asset
holders are therefore responsible and accountable for both the quality of
data/documents and the control of data/documents generated by the management of
both processes and assets.
· This Code of Practice is founded on the following :

EP 94-1680 Guidelines for Improving Management of Data (Roles/Responsibilities)

EP 94-0950 Guidelines for Improving Management of Data (Maturity Model)
ISO 9000 Series
PDO Security Guide
ISO 8402 : Quality Management and Quality Assurance - Vocabulary
A Code of Practice for Information Security Management, IC-93-084
IC91-002 Quality Management for System Development
Shell Group Business Communications Procedures
SIPM Workskills (Appendix to the Project Management Guide)
Cranfield University's Code of Practice for the Publishing of Information in
Electronic Format

2.4 Related Standards

The following documents specifically relate to this Code of Practice in the standards
hierarchy:

Business Control Description Document ID

Policy Information Management Policy PL-39

Specification Document Management Service Definition

Document Management Service Level Agreement
EDMS Service Level Agreement
Network CD-ROM Tower Service Level Agreement

Procedure EDMS User Registration Procedure

Guideline EDMS User Guide

In addition to the above, all the above documents fall within the scope of PDO's Corporate
Management Framework (CMF).

2.5 Review and Improvement

This document is normally reviewed and updated annually by the Data/Document

Management Standards Co-ordinator. However, should it so warrant, a review will be

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undertaken at any time and the updated version issued immediately. Constructive
comments and feedback from all practitioners, is welcome at any time. Such feedback
will be reviewed upon receipt and a decision will be communicated back to the
provider as to whether the feedback will result in a review and update of the existing
standard and when this will occur.

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3. Roles and Responsibilities

3.1 Document Ownership

All documents and records generated/obtained in the course of transacting PDO business
belong to PDO, not to the individuals or groups that are involved in their creation. This
principle determines the starting point for defining roles and responsibilities in respect to
document management.

However, Process Owners and/or Asset Holders, nominated by PDO, inherit the
management responsibility for documents belonging to those processes and/or assets. The
Process Owner and/or Asset Holder inherits the role of Document Authority and is
responsible for appointing all subordinate roles as follows:

· Document Author(s)
· Document Custodian(s)
· Document Holder(s)

The full application of ownership and management roles is outlined in the following
diagram:

Document Ownership & Responsibilities

owner
Document PDO
appoints

Document Authority

appoints

Document Author(s) Document Custodian

Document Holder/Target Audience

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3.2 Document Authority

The document authorities in PDO for Business Control documents are as follows:

Business Control Document Authority

Policy Managing Director
Code of Practice Director
Specification CFDH or Asset Manager
Procedure CFDH or Asset Manager
Guideline CFDH or AssetManager

The Document Authority is accountable for all aspects of managing the process/asset
documents throughout their lifecycle, including the integrity of their contents. Specific
roles and responsibilities for each of these Authorities include:

Role Responsibility
Identify Required Documents · identify and specify the process/asset documents in
a retention schedule.

Identify Criteria for Managing · specify system for managing the documents
the Documents
· specify life of the document (in years);
· specify reason for retaining (usually Legal, &/or
Operational; may also be Safety Case);
· specify priority of the record (Vital or Essential);
· specify security class (PDO Security Guidelines)
· specify allowable media (eg paper, electronic, etc)

Appoint Authors, Custodians · identify/ nominate document author(s) (note: the

and Identify the Target owner can also be the author).
Audience
· identify/nominate custodian(s).
· identify/nominate copy holders/target audience.

3.3 Document Author

For Business Control Documents, the Document Author is the Document Authority
appointed individual or individuals responsible for the creation and maintenance of the
contents of a given document. Specific roles and responsibilities include:

Role Responsibility
Create/Update Document · identify the information source(s) from which the
document content will be formed/updated.
· co-ordinate liaison with review and approval
parties
· prepare content in accordance with defined
templates and content integrity management.
· establish appropriate publishing/printing
mechanisms

3.4 Document Custodian

For Business Control documents, the Document Custodian is the Document Authority
appointed individual responsible for the day-to-day implementation of the management
system for business control documents. Specific roles and responsibilities include:

Role Responsibility

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Co-ordinate Document Issue · confirm the target audience and issue documents on
behalf of the Document Authority.
· maintain distribution lists as necessary

Safe Handling & Storage of · manage the master original from which copies are
Master Documents taken/distributed (electronic & hard copy).

Implement Retention Practice · authorise destruction of documents in line with the

authorised Retention Schedule.
· authorise changes to the storage medium in line
with the authorised Retention Schedule

3.5 Document Holder /Target Audience

The recipient of a Business Control Document issued on behalf of a Document Authority is

responsible for ensuring the content is relevant to their role and implemented accordingly.
Specific roles and responsibilities include:

Role Responsibility
Review Content · review the document and confirm the content is
relevant.
· advise the Document Authority of any errors,
discrepancies or ambiguities noted in the document.
· If the content is not relevant, advise the Document
Authority and return unwanted copies.

Apply Content · implement the instructions contained in the

document, as necessary.
· comply with all security and confidentiality
requirements.

3.6 Data/Document Management Standards Co-ordinator

The Data/Document Management Standards Co-ordinator is responsible for establishing the

generic framework for managing data/documents in PDO. This framework encompasses
standards for managing the data/document management process and the establishment of
the Business Controls hierarchy. Specific roles and responsibilities include:

Role Responsibility
Establish Business Need · liaise with line management to establish document
management process requirements.

Create/Establish a Document · develop, maintain, promote and monitor the

Management Framework implementation of PDO's Document Management
Framework

Define Practices to be Used · create/maintain the Document Management Code

of Practice

Define Procedures to be · create/maintain generic Document Management

Followed Procedures

Review/Improve the Document · identify appropriate technologies to implement the

Management Process Code of Practice
· review (industry) best practice and apply to the
Document Management framework as necessary
· maintain an awareness of changing statutory and

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legal requirements regarding retention of

documents.
Provide Consultancy/Advice · provide document management consultancy and
advice to PDO management and line staff.

3.7 Data Manager

The Data Manager is responsible for defining, promoting and ensuring adherence to this
Code of Practice and related Specifications, Procedures and Guidelines in addition to the
selection and application of data management tools and technologies appropriate to the
business need.

3.8 Data Administrator

The Data Administrator is responsible for the quality control of data models (i.e. the
definition, structure and format of the data, to ensure adherence to this Code of Practice
and related Specifications, Procedures and Guidelines), to prevent uncontrolled duplication
of data and for the administration of meta data (i.e. data about the data including the
recording of data definitions, format and ownership)

3.9 Database Administrator

The Database Administrator is responsible for the quality control of the physical
implementation of the data and for the administration of relevant information about all
computerised data.

3.10 Line Management

Line management are responsible for implementing this Code of Practice in respect of the
data/documents they generate, use and/or maintain. This will entail adopting the various
Data/Document Management roles (Document Authority, Document Author, Document
Custodian, Document Holder, Data Manager, Data Administrator), as appropriate. Line
management are also responsible for ensuring that sub-ordinate staff implement the Code of
Practice and that the following additional responsibilities are discharged for their area:

Role Responsibility
Manage data/document security · Ensure Security Guidelines are understood and
followed; in particular that the security
classification scheme (as described in the Security
Guide) is followed and that data/documents are
managed accordingly (including disposal).

Manage legal/business need to · maintain awareness of changing statutory and

retain data/documents. business requirements regarding retention of
data/documents.

Manage data/document storage. · Ensure data/documents are stored and indexed

adequately to allow effective and economic
retrieval; in particular that:
- active vital and essential data/document types
are identified, are easily retrievable, and 'masters'
are backed-up as appropriate.
- data/documents are transferred to archives and/or
microfilm as appropriate.

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3.11 Line staff

Line staff are responsible for implementing this Code of Practice in respect of the
data/documents they generate, use and/or maintain.

3.12 Libraries

Provide day-to-day support for the implementation of the Document Management

Framework by providing a cost-effective document management service to all staff within
their designated business area. Specific roles and responsibilities include:

Role Responsibility

Provide document management · manage (eg, catalogue, distribute, store, and

services arrange destruction) specific documents
collections throughout their lifecycle
commensurate with their value to the business

Provide Search and Retrieval · Conduct searches related to both PDO document
Services collections and to external sources, as appropriate.

Provide document loan services · Manage borrowing and loans as necessary.

Promote effective and efficient · Provide local advice regarding document

document management practices management best practices

3.10 Audit

Independent, systematic reviews of the data/document management process is

recommended every 2 years to help ensure they are still appropriate to business need, being
applied as intended and continue to be efficient and effective. Procedures and a checklist
for conducting such an audit can be found in related Data/Document Management
Procedures.

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4. Practices to be Followed (Lifecycle Management

Activities)
This section covers the (10) individual data/document management lifecycle activities,
together with the (3) activities that form the protective envelope for lifecycle management.

4.1 Identify Need

This activity is concerned with the identification and definition of data/documents that are
deemed necessary to execute a given business process or manage a given business asset.

4.1.1 Business Control Documents

The need for Business Control Documents, according to the Corporate Management
Framework, emanate from the requirement to manage risks that might otherwise prevent
the company from achieving its objectives. The first step in managing these risks is to
establish the Policies that state PDO's attitude on a particular subject. Each Policy is
assigned to an action party, who must :

· Identify the need for and determine the required content of those Business Control
Documents (see Appendices 2, 3 and 4) that cascade the Policy into active
implementation on an ongoing basis. These requirements should be primarily based on
legal, operational or safety considerations.
· Ensure proposed new documents do not conflict with existing Business Control
Documents.
· Design and document the hierarchy for the Business Control Documents in the
Management System guideline. Maintain the hierarchy as necessary.
· Define each document in the hierarchy individually. Only those documents defined in
the Management System Guideline constitute a Business Control Document.
· Identify local, national and international standards that will be deployed in preference
to the creation of internal Business Control Documents.
· Register in a retention schedule each Business Control Document (see activity 4.11
below).
· Appoint individuals to create and maintain each document in the hierarchy.

4.1.2 Business Records

Business Records are required to provide evidence of PDO business transactions (including
obligations and commitments), to convey details of decisions taken and to create factual
records that provide the foundation for business development. When identifying the need
to capture and retain Business Records :

· Ensure proposed new documents do not conflict with existing Business Records.
· Register in a retention schedule each new type of Business Record (see activity 4.11
below).

4.1.3 Reference Documents

The need for Reference Documents is primarily driven by the business requirement to
implement mandatory practices or acquire knowledge or expertise from sources external to
the business. When identifying the need for Reference Documents :

· Ensure processes exist to identify and obtain all mandatory Reference Documents (eg
legislation, local authority regulations, authorised agency mandates, etc).
· Ensure new Reference Documents add value to the business.
· Register in a retention schedule each new Reference Document (see activity 4.11
below).

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4.1.4 Data

Identify the data items required to operate the business effectively and efficiently, which is
primarily driven by the business requirement to implement mandatory practices or acquire
knowledge or expertise from its activities, processes and asset

4.2 Create/Update

This activity is concerned with the process of gathering information and subsequently
creating or updating data/documents and records.

4.2.1 Business Control Documents

The responsible individual must:

· Investigate and obtain required information from valid sources. Conduct interviews
as necessary based on pre-defined checklists.
· Create documents using the defined Business Control Document templates to
establish uniformity in style, presentation and structure.
· Inform and obtain commitment from all parties involved for the review/authorisation
process and establish an agreed timetable to complete the process. Document the
review process and obtain confirmation of approval, when necessary, from all
participants.
· Establish the file formats (refer Appendix 5) required to store and publish the
approved document in electronic and paper form.
· Register and store the master electronic document in EDMS.
· Establish fallback arrangements to ensure availability of the document in the event of
a disaster or unavailability of the electronic source.
· Classify documents in accordance with the Security Guide, so that information assets
receive an appropriate level of protection. Apply this classification to the title page
of each document.
· Obtain a Document Series number from the Series Register (see Appendix 6) and
apply this to the title page and footer of all pages in each document.
· Identify and apply keywords to the document, as appropriate.
· Establish the distribution list or target audience for the document.
· Write the document in English. Use plain, clear and concise language based on the
Oxford English Dictionary [ISBN number ...]. Avoid the use of jargon. Maintain a
glossary of all terms, acronyms and abbreviations. Obtain an Arabic translation of the
document, as and where necessary.

4.2.2 Business Records

The responsible individual must:

· Create all business records in accordance with Business Control document

requirements.
· Register and enter all master business records in EDMS (if the electronic source is
available). Alternatively register business records in EDMS and store the non-
electronic master file in the authorised local library or archive (refer to local
departmental procedures or General Office Services Procedures manual as
appropriate).
· Establish fallback arrangements to ensure availability of the document in the event of
a disaster or unavailability of the electronic source.
· Submit selected documents to document inspection, structured walkthroughs or
quality assurance reviews, if appropriate (see Appendix 6).

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4.2.3 Reference Documents

Control of the creation/upkeep of these documents is normally outwith the influence of the
business.

4.2.4 Data

Ensure that data is created in accordance with data definitions and that it is only created
once at the agreed master source. Ensure data is not duplicated unless absolutely necessary
and only then under the control of a Data Sharing Agreement or related standard.

4.3 Approval

This activity is concerned with the validation of data according to agreed business rules or
the circulation of document drafts/revisions through a pre-defined route to obtain approval
of the content.

4.3.1 Business Control Documents

The responsible individual must:

· Review the process for validating the document and ensure appropriate controls are in
place to safeguard content integrity.
· Validate the content within agreed boundaries prior to final authorisation. Any
deviation from established standards requires the approval of the authority for that
business control document. All such deviations shall be documented alongside
evidence of formal authorisation for the deviation.
· Submit draft documents to either document inspection, structured walkthroughs or
quality assurance reviews (see Appendix 6).
· Ensure documents have been developed using the defined Business Control
Document templates.
· Authorise the document for publication and issue by signing the authorisation page
(paper documents) or register a separate authorisation notification with the Document
Custodian. The authorisation page must have any reference to 'Draft' removed for
signature.

4.3.2 Business Records

The responsible individual must:

· Confirm all business records have been developed in accordance with Business
Control Document requirements.
· Submit selected Business Records to document inspection, structured walkthroughs or
quality assurance reviews, if appropriate (see Appendix 6).
· Validate the content within agreed boundaries (business rules) prior to final
authorisation.
· Initiate investigation or audit action in the event of a significant deviation from the
anticipated or desired result.
· Authorise Business Records by signing the appropriate form or completing a covering
endorsement notice.

4.3.3 Reference Documents

Approval of these documents is out with the influence of the business.

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4.3.4 Data

Data approval against agreed business rules should be achieved through validation of data
at the point of collection /entry into a database or application. Where appropriate, pick
lists should be used to narrow options the required subset of data items allowed.

4.4 Publish and Distribute/Issue

This activity is concerned with the publication of the final master version of data or a
document and distribution/issue of copies.

4.4.1 Business Control Documents

The responsible individual must:

· Remove all references to 'draft' from the final master version of the document.
· Confirm the distribution list or target audience, as appropriate.
· Publish copies for issue/distribution, including copies for safe storage (for disaster
recovery / emergency back-up) as necessary (refer para 4.13).
· Ensure that only currently authorised versions are available for use, that users are
informed of any changes, and that the progress of revisions is auditable. Ensure that
the master version is updated in EDMS and notify the users that the update has
occurred.
· Distribute documents in a manner that minimises the production of copies and ensure
the use of appropriate media and format.

4.4.2 Business Records

The responsible individual must:

· Remove all references to 'draft' from the final master version of the Business Record,
where relevant.
· Confirm the distribution list or target audience, as appropriate.
· Publish copies for issue/distribution, including copies for safe storage (for disaster
recovery / emergency back-up) as necessary (refer para 4.13).
· Ensure that only currently authorised versions are issued, that users are informed of
any changes and that the progress of revisions is auditable, where necessary.
· Distribute documents in a manner that minimises the production of copies and ensure
the use of appropriate media and format.

4.4.3 Reference Documents

The responsible individual must:

· Confirm the distribution list or target audience, as appropriate.

· Distribute copies of Reference Documents to designated copy holders, as appropriate.

4.4.4 Data

The responsible individual must:

· Ensure data is accessible only to those require it to do their job.

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4.5 Use

This activity is concerned with the use of data/documents authorised for issue and
published thought the appropriate channels.

4.5.1 Business Control Documents

The responsible individual must:

· Comply with all stated requirements of the Business Control Document. In the event
that circumstance prevent compliance, seek the advice and if necessary the approval
of the document authority for step-out approval.
· Use and practice effective reading techniques (e.g. speed reading).
· Report all noted defects to the document authority.

4.5.2 Business Records

The responsible individual must:

· Use and practice effective reading techniques (read the introduction, contents, etc)
· Practice speed reading (eg avoid sub-vocalising text - that is, to read one word at a
time and repeat it silently to yourself whilst reading)
· Report all noted defects to the document authority.

4.5.3 Reference Documents

The responsible individual must:

· Comply with all stated requirements of the Reference Document, especially if used in
place of a PDO Business Control Document. In the event that circumstance prevent
compliance, seek the advice and if necessary the approval of the document authority
for step-out approval.
· Use and practice effective reading techniques (read the introduction, contents, etc)
· Practice speed reading (eg avoid sub-vocalising text - that is, to read one word at a
time and repeat it silently to yourself whilst reading)
· Note defects and retain in a related file. Report these to the publisher, if appropriate.

4.5.4 Data

The responsible individual must:

· Use the data in conjunction with legitimate, authorised company activities.

· Not disclose the data to unauthorised individuals.

4.6 Index

This activity is concerned with the indexing of data/documents for storage and subsequent
retrieval.

4.6.1 Business Control Documents

The responsible individual must:

· Index all Business Control Documents individually in the EDMS Business Control
Document catalogue to ensure effective, efficient and economic retrieval by all those
who need access.

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· Comply with the EDMS Business Control Document catalogue indexing requirements
when registering the document in EDMS.
· Establish a separate indexing system for hard copy documents that may be used as a
back-up in the event of an emergency.

4.6.2 Business Records

The responsible individual must:

· Index all vital and essential Business Records (see para. 4.13) in the EDMS Business
Records catalogue to ensure effective, efficient and economic retrieval by all those
who need access. Business Records may be indexed individually or referenced as a
collection or series, if appropriate (for example, it may be efficient and effective to
simply invoices in a series ranging from xxxx to zzzz as a single record entry in the
system).
· Comply with the EDMS Business Records catalogue indexing requirements when
registering the document in EDMS. Avoid the use of generic terms (such as General
File, etc) in free text fields.
· Establish a separate indexing system for hard copy documents that may be used as a
back-up in the event of an emergency.

4.6.3 Reference Documents

The responsible individual must:

· Index all Reference Documents (see para. 4.13) in the EDMS Business Control
Document catalogue or the Business Records catalogue as appropriate to ensure
effective, efficient and economic retrieval by all those who need access. Reference
Documents which equate to Business Control Documents must be indexed
individually. Reference Documents which equate to Business Records may be
indexed individually or as a collection or series, if appropriate.
· Comply with the EDMS Business Control Document catalogue or the Business
Records catalogue indexing requirements when registering the document in EDMS.
· Establish a separate indexing system for hard copy documents that may be used as a
back-up in the event of an emergency.

4.6.4 Data

The responsible individual must:

· Ensure that data is entered into the appropriate authorised source application or
database.
 Ensure that details about the data including its on-line and back-up location, definition,
sharing agreeement and ownership is documented in appropriate system specification
documents.

4.7 Store

This activity is concerned with the storage of data/documents for safe keeping until they
are required for use, review or ultimate disposal.

4.7.1 Business Control Documents

The responsible individual must:

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· Ensure there shall be one (and only one) agreed master source document for each
Business Control Document including version of a document. The document may,
however, be made up of 1 or more master files.
· Store the master source document in the EDMS Business Control Document
catalogue.
· Ensure that a back-up copy of the master source document is taken and stored at a
secure location remote from the master source document itself.

4.7.2 Business Records

The responsible individual must:

· Ensure there shall be one (and only one) agreed master source document for each
Business Record, including version of that record. The document may, however, be
made up of 1 or more master source files.
· Store the master source document in a format that is legally and operationally
acceptable, as designated in the retention schedule. The majority of Business Records
should be stored in the EDMS Business Records catalogue, or alternatively on CD-
ROM provided this is legally acceptable alternative. Certain Business Records may
only be stored in paper form, if they contain handwritten evidence (such as signatures)
that may be required legally. These records and others including microfilm may be
stored in hard copy libraries.
· Ensure that a back-up copy of all Vital/Essential Business Record master source
documents is taken and stored at a secure location remote from the master source
document itself.

4.7.3 Reference Documents

The responsible individual must:

· Ensure there shall be one (and only one) agreed master source document for each
Reference Document that equates to a Business Control Document. The document
may, however, be made up of 1 or more master files. The master source document
shall be stored either in the EDMS Business Control Document catalogue (if an
electronic master is available) or in a secure, properly managed hard copy library.
· Ensure that a back-up copy of all Vital/Essential Business Record master source
documents is taken and stored at a secure location remote from the master source
document itself.

4.7.4 Data

The responsible individual must:

· Ensure there is one (and only one) agreed master source for the data.
· Ensure the master source is backed-up on a regular basis.

4.8 Retrieve

This activity is concerned with the retrieval of data/documents for subsequent review or
use.

4.8.1 Business Control Documents

The responsible individual must:

· Ensure they have appropriate access to the relevant information sources (EDMS, hard
copy Library, Archives, etc) or identify a authorised party through whom access may
be granted.

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· Establish appropriate criteria for retrieving the document(s) based on the pre-defined
attributes available from EDMS, the hard copy library or Archives.
· Identify and retrieve the selected document.
· Establish the retrieved document is up to date (ie the current approved version) and
that the master source copy is not under review or revision.

4.8.2 Business Records

The responsible individual must:

· Ensure they have appropriate access to the relevant information sources (EDMS, hard
copy Library, Archives, etc) or identify a authorised party through whom access may
be granted.
· Establish appropriate criteria for retrieving the document(s) based on the pre-defined
attributes available from EDMS, the hard copy library or Archives.
· Identify and retrieve the selected document.
· Establish the retrieved document is the required version.

4.8.3 Reference Documents

The responsible individual must:

· Ensure they have appropriate access to the relevant information sources (EDMS, hard
copy Library, Archives, etc) or identify a responsible party through whom access may
be granted.
· Establish appropriate criteria for retrieving the document(s) based on the pre-defined
attributes available from EDMS, the hard copy library or Archives.
· Identify and retrieve the selected document.
· Establish the retrieved document is up to date (ie the current approved version) and
that the master source copy is not under review or revision.

4.8.4 Data

The responsible individual must:

· Ensure they have recovered the relevant, correct data from the correct application or
database.
· Check to ensure the data is unique, is not duplicated and that it has a valid status (i.e.
not in the process of being updated) for use.

4.9 Review

This activity is concerned with the review of data/documents for update or deletion.

4.9.1 Business Control Documents

The responsible individual must:

· Conduct the review in accordance with the agreed review process for the given
document.
· Ensure all participants in the review process are available to complete the review in
the allocated timeframe.
· Ensure the content is reviewed and that the document is fit for purpose.
· Determine if the review will result in a major or minor update (see Appendix 6).
· Maintain a records of the review process, including review timescales to complete the
review exercise.

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4.9.2 Business Records

The responsible individual must:

· Conduct the review in accordance with the agreed review process for the given
document.
· Ensure all participants in the review process are available to complete the review, if
required.
· Ensure the content is reviewed and that the document is fit for purpose.

4.9.3 Reference Documents

The responsible individual must:

· Conduct the review in accordance with the agreed review process for the given
document, as appropriate.
· Ensure all participants in the review process are available to complete the review,
where necessary.
· Ensure the document is still fit for purpose, where relevant.

4.9.4 Data

The responsible individual must:

· Review data in accordance with agreed business rules and requirements, and ensure
that any updates are posted in a timely and appropriate manner.

4.10 Delete
This activity is concerned with the destruction of data/documents at the end of their life
cycle.

4.10.1 Business Control Documents

The responsible individual must:

· Prepare documents for destruction in accordance with the authorised Document

Retention Schedule.
· Destroy the master version together with all copies, including the back-up copy, in
accordance with the Security Guide classification and GOS (General Office Services)
Procedures.
· Ensure that copies issued to authorised third parties and contractors are recovered and
processed in an identical fashion.

4.10.2 Business Records

The responsible individual must:

· Prepare documents for destruction in accordance with the authorised Document

Retention Schedule.
· Destroy the master version together with all copies in accordance with the Security
Guide classification and GOS Procedures.
· Ensure that authorised third parties and contractors who have been issued with copies
are advised to discontinue their use and destroy them with immediate effect.

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4.10.3 Reference Documents

The responsible individual must:

· Prepare documents for deletion/destruction in accordance with the authorised

Document Retention Schedule.
· Destroy the master version together with all copies in accordance with instructions
provided by the third party owner or authority for the documents. Alternatively,
dispose of the documents in accordance with and GOS Procedures.
· Ensure that authorised third parties and contractors who have been advised to use
these in relation to work conducted on behalf of PDO, are informed of discontinue
their use and destroy them with immediate effect.

4.10.4 Data

The responsible individual must:

· Prepare data for deletion/destruction in accordance with its authorised Retention

Schedule.

4.11 Maintaining a Register of (Document & Data) Assets

Create, maintain and implement a retention schedule, listing all data items/documentation
requiring preservation.

All data/documentation requiring preservation and management, (because of their value to

the business, or because they are required for legal or other statutory reasons) shall be
specified in an authorised Retention Schedule, and managed accordingly. Maintaining this
inventory in a single Retention Schedule per Policy ensures all important (data/document)
assets related to the implementation of the policy can be adequately identified.

4.12 Confidentiality Maintenance

Maintain appropriate confidentiality for all data/documents classes throughout their life
cycle.

Whilst maximising the sharing of data/documents amongst those who 'need to know', all
data/documents belonging to PDO must be classified using the PDO Security Classification
scheme and managed in accordance with the this scheme throughout their life cycle
(creation, use, maintenance through to final disposition) to provide protection from loss,
distortion, misuse or unauthorised disclosure.

4.13 Vital/Essential Data/Records Protection

Identify Vital/Essential data/records and ensure they are adequately protected and
safeguarded throughout their life cycle.

Vital data/records are deemed to be those information items without which PDO could
not :

· meet its commitments to its stakeholders.

· meet its obligations and commitments to its employees.
· meet its legal and contractual obligations.
· re-construct its operations within a reasonable period of time after a disaster.
· replace without incurring exceptionally high cost.

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Essential data/records are deemed to be those information items without which a PDO
department could not :

· meet its commitments to the business, senior management and other departments.
· continue to operate or function effectively and efficiently

Data/documents that would be necessary to support the reconstruction of PDO's business

operations in the event of a disaster must be identified and where necessary appropriate
steps taken to ensure that a copy of these are held in an accessible form at a separate,
secure location remote from current operational site(s). A recommended list of Vital
documents is to be found in Appendix 7.

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5. Application and Step-Out Approval

5.1 Application

This Code of Practice is applicable to all PDO business activities, including those activities
undertaken by contractors on behalf of PDO. Although certain practices may not be
applicable in every circumstance, any deviation from this Code of Practice should be fully
justifiable in the event of an audit. Most practices are suitable for everyday use.
Therefore, when generating, distributing, filing, retrieving and disposing of
data/documentation, all PDO staff must follow this Code of Practice and related, relevant
procedures and guidelines which in turn are based on this Code of Practice.

5.2 Step-Out Approval

In certain circumstances, although it is desirable to do so, it may not yet be feasible to

implement the practices outlined in this Code of Practice. Subject areas which do not
conform to this Code of Practice must, after identification, be recorded as non-conforming
and allocated to action party. The action party must identify the cause of the non-
conformance and initiate a plan of action to achieve conformance. This plan of action
must be documented and submitted for approval to the appropriate Data
Manager/Document Authority.

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Appendix 1 Glossary of Terms, Definitions and Abbreviations

Asset Holder The company appointed position accountable for the
performance of an asset (or group of assets).

CFDH Corporate Functional Discipline Head

Data Factual information (as measurements or statistics) used as a

basis for reasoning, discussion or calculation.

Document data (including text, graphics, images, sounds, etc) organised in

a defined structure intended to convey information to the
recipient, usually stored in electronic, paper or microform
format. Documents can therefore include manuals/reports,
notes/letters, drawings/viewgraphs, video/sound recordings and
samples (fluid/physical).

Document Management comprises the controlled handling of documents during all

phases of their life cycle.

Essential Documents Those records which if lost or found to be incomplete would

make it very difficult or impossible for a Business Area within
PDO to continue operating.

Electronic Document comprises the controlled handling of documents during all

Management (EDM) phases of their life cycle with the aid of computers.

HOS Office Services

Information knowledge obtained from investigation, study or instruction.

Microfilm/Microform Generic terms used to describe various film media formats such
as microfich, rollfilm, aperture cards, etc

Process Owner The company appointed position accountable for the

performance of a business process (or processes).

Record Any recorded item of information or evidence of actions

completed (regardless of the storage medium used).

Vital (Corporate) Those documents/records which if lost or found to be

Documents incomplete would make it very difficult or impossible for PDO
to continue operating.

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Appendix 2 Business Control Documents

The Document Management Framework consists of the following hierarchy of standards
that relate to one another and together provide the complete information required to
implement effective document management. The hierarchy consists of the following
documents:

Policy

statement of PDO’s
attitude on a particular
subject

Code of Practice
defined list of practical
activities for common
and repeated use

Procedure
Specification
step by step instructions
requirements to be met confirming what is to be
by a product, service or done
process

Guideline
advice, etc, especially
in the absence of any
of the above

Management System A structured framework of business activities designed to provide

the assurance that business needs at all levels within the company
are being satisfied in accordance with requirements.

Policy A concise statement defining PDO's attitude on a particular

subject in response to business needs.

Code of Practice Statements translating ideals expressed in a policy into practical

activities to be executed repeatedly. These statements are based
on PDO experience and expertise, legislative requirements, Shell
Group advice and recognised industry best practice.

Specification Prescribes requirements to be fulfilled by a product, process or

service in line with a Code of Practice. Each specification must
identify the appropriate procedure(s) which, through their
execution, ensure the specified requirements are fulfilled.

Procedure Formal description for executing an activity to achieve a result in

accordance with a specification. Usually, a step by step
description of actions to achieve a defined result.

Guideline Conveys advice or guidance aimed at resolving, clarifying or

interpreting a particular standard or conveying advice in the
absence of a standard.

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Appendix 3 Document Classes

All PDO documents may be classified into one of 3 distinct categories, as follows:

A3.1 Business Controls

Those documents (Business Control Documents) that define how business transactions are
to be conducted and managed.

A3.2 Business Records

A business record comprises any document, sample or completed form which is owned by
PDO and obtained or produced as a result of executing a business activity or managing a
business asset, in accordance with documented business controls. Excluded from this
group are any third party owned documents.

A3.3 Reference Documents

Reference documents are those documents produced externally to PDO and owned by any
third party that are utilised by PDO. Legislation and other forms of binding controls are
included in this class of documents, as are publications provided by vendors, suppliers and
individuals. Sources include local, national and international organisations, agencies and
governments, in addition to the Shell Group. Such documents may be acquired and only
managed in a limited manner since PDO has no ownership or authority over the content,
structure, presentation or style of these documents. Many of these documents are also
copyright protected in accordance with Royal Decree 47/96.

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Appendix 4 Document Templates & Content

This appendix sets out the generic content requirement for all Business Control Documents
and a number of Business Records. Consistency in style, presentation, structure and
content assists both in the creation and subsequent use of Business Control Documents.
Electronic document templates for each Business Control Document, encapsulating all
these elements, are available in Microsoft Word Version 2.0 .doc format from all
Computing Department helpdesks. Templates for Business Control Documents have been
designed, insofar as possible, to be ISO 9000 compliant. In addition, these templates
provide all necessary formatting and layout to enable rapid development of Business
Control Documents.

A4.1 Business Control Documents

A4.1.1 Policy Document

Policy documents shall have the following content as a minimum :

POLICY STATEMENT
Impact
Purpose
Critical Success Factors
Related Standards

A4.1.2 Code of Practice Document

Code of Practice documents shall have the following content as a minimum :

SCOPE AND OBJECTIVES

Scope
Aims and Objectives
Fundamentals for This Code of Practice
Related Standards
Review and Improvement
ROLES AND RESPONSIBILITIES
PRACTICES TO BE FOLLOWED
Activity Description
APPLICATION AND STEP-OUT APPROVAL
Application
Step-out Approval

A4.1.3 Specification Document

Specification document content shall vary have the following content as a minimum :

SPECIFICATION (SERVICE)

SCOPE
Service Definition
Service Provision
Service Security
Service Level
Availability
Fall-back Arrangements
Performance Indicators
Performance Monitoring
ROLES AND RESPONSIBILITIES
Service Provider Responsibilities
Customer Responsibilities

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Service Planning
New Service Development
Operational Service
Fault Reports
CONTROLS
Reporting
Infringement and Escalation
Review and Improvement

SPECIFICATION (PROCESS)

SCOPE
Process Definition
Process Deliverables
Process Owners Responsibility
Performance Indicators
Performance Monitoring
Effective Period
Review and Improvement

SPECIFICATION (ASSET/PRODUCT)

SCOPE
Asset/Product Definition
Asset/Product Lifecycle
Design
Operation
Maintenance/Inspection
Disposal
Performance Indicators
Performance Monitoring
Review and Improvement

A4.1.4 Procedure Document

Procedural documents shall have the following content as a minimum :

PROCEDURE
Scope
Description
Roles and Responsibilities
Frequency and Timing
Required Forms and Record Keeping
Related Standards
Review and Improvement

A4.1.5 Guideline Document

Guideline documents shall have the following content as a minimum :

GUIDELINE
Scope
Description
Related Standards

A4.1.6 Management System Guideline Document

Management System documents shall have the following content as a minimum :

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DESCRIPTION AND OVERVIEW

Management System Structure
Management System Scope
Policies to be Implemented by This Management System
Process Definition
Overview of Management System Activities
MISSION, VISION AND OBJECTIVES
Mission Statement
Vision Statement and Core Values
Basis for Target-Setting
Objectives and Targets
ORGANISATION AND RESPONSIBILITIES
Organisational Structure
Roles and Responsibilities
Resources
RELATED STANDARDS
Overview of Related Standards
PLANNING, IMPLEMENTATION AND CONTROL
Planning
- General Principles
- Planning Process
Performance Indicators
Performance Appraisal
Business Controls
- Types of Control
- Step-out Approval
AUDIT AND ASSESSMENT
Internal Audit
External Audit
MANAGEMENT SYSTEM IMPROVEMENT
Review Process
Improvement Process

A4.2 Business Records

Consistency in style, presentation, structure and content assists both in the creation and
subsequent use of business records. The following indicates the recommended content for
certain categories of business record.

A4.2.1 Report Document

Report documents should have the following content as a minimum :

REPORT
Management Summary
Introduction
Terms of Reference
Report Description / Observations
Results / Discussion
Conclusion
Recommendations
References

A4.2.2 Plan Document

A plan document should contain the following elements as a minimum :

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PLAN
Activity List
Priorities
Start/End Dates
Milestones and Critical Path
Contingency Arrangements
Resources Schedule

A4.2.3 Strategy Document

A strategy document should contain the following:

STRATEGY
Background
Objectives
Principles
Benefits and Costs
Timetable
Options Considered
Chosen Solution
Recommended Action Programme

A4.2.4 Presentation Slide Document

Presentation slides should contain the following elements as a minimum :

PRESENTATION
Title
Date
Authority or Author

A4.3 Reference Documents

The style, presentation, structure and content of most Reference documents cannot be
directly influenced by company requirements. However, as customers for the information
contained in these documents, in certain cases it may be possible to offer constructive
comments, suggestions and feedback to the relevant third party supplier.

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Appendix 5 File Formats

It is important to generate master source documents in an electronic form that can be easily
manipulated and adapted throughout the lifecycle of the document. Therefore, authors
should use accepted file formats which take this overview into account rather than publish
documents using a format which delivers a richer output at the expense of portability and
longevity. Recommended practice is to create/store electronic documents in one or a
combination of the following formats (which are also supported by EDMS and may
therefore be shared more readily in this form):

[ this list is incomplete, to be completed later]

Product Acceptable Format

Text Files Microsoft Word Version 2.0a or below doc, rtf
Microsoft Excel Version 4.0 or below xls, xlw
Microsoft Notepad txt
Netscape Gold htm

Graphics Microsoft Powerpoint Version 3.0 or below ppt

Freelance
AutoCAD

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Appendix 6 Content Management

A6.1 Version Control

Maintaining version control is an important element for ensuring the integrity of data or a
document, especially those that are subject to frequent update. Each new issue of a
document should therefore incorporate a version number and for Business Control
Documents this is a mandatory requirement. Versions of data should be time stamped.

A6.1.1 Business Control Documents

Version control for Business Control Documents is based on an incremental numeric

series, which for each document always commences with the baseline designation Version
1.0. This number is increased by one whole number for each major re-issue (ie Version
2.0, Version 3.0, etc) and by fractions of the original number for each minor re-issue (ie
Version 1.1, Version 1.2, etc). The baseline version number (Version 1.0) is incorporated
in the header of all Business Control Templates.

A6.1.2 Business Records

The recommended version control series for Business Records is the same one that is
mandatory for Business Control Documents. If so desired, however, it may also be based
on an alphabetical, alphanumeric or other series determined by the author.

A6.2 Document Status

Establishing the status of a document is an important factor in determining its suitability

for use. Most documents should contain a status indicator in addition to a version number.
Business Control Documents which are still in draft must contain the word 'Draft' in the
header of each page next to the Version Number. When final approval has been received,
this comment should be removed prior to the document being issued or published.

A6.3 Document Numbering / Coding

Attaching a number or a code to a document is a useful way to reference the document in a

unique way. Provided the number or code is truly unique, it can also serve to identify a
document without reference to other leading particulars such as its full title, author, etc.
To be effective, a numbering or coding system must embody three key characteristics.
Firstly, each generated number/code must be unique. Secondly, the number/code must be
free from embedded coding that may change at some future point in time. Thirdly,
number/coding systems must be applied uniformly to a discreet set of documents.
Consequently, business critical numbering/coding systems (eg contract numbering) are
administered through a single source and according to a single set of defining rules.

A6.3.1 Business Control Documents

All Business Control Documents shall be uniquely numbered using a 6 or 7 digit code,
drawn from one of the following series :

Series Business Control Level Register Custodian

PL-000 Policy CBM
CP-000 Code of Practice CBM
SP-0000 Specification CBM
PR-0000 Procedure CBM
GU-0000 Guideline CBM

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A single central register shall be established for each of the above series, maintained by a
Register Custodian (CBM). This register will carry only summary details of the Business
Control Documents at that level and will be used to allocate unique numbers which must
appear on the title page and in the footer of all other pages of the Business Control
Document (in place of the XX-XXX code in the associated document templates). Each 6
or 7 digit code is made up of the following elements:

· 2 digit series level code (for example PL for Policies)

· 3 or 4 digit sequential number allocated from a central register in the series 000-9999

Series Register

The Series Register must be maintained by a Register Custodian (CBM). The prime
purpose of the register is ensure that unique numbers are allocated for all Business Control
Documents. The following is an example of such a register :

Document Issue Ref. Ind. Document Title/Description

Number Date

CP-006 20/09/97 TCP Information Planning Code of Practice

CP-005 15/08/97 FCT Financial Accounting Code of Practice
CP-004 30/07/97 AOM Asset Maintenance Code of Practice
CP-003 08/07/97 TSEM HSE Code of Practice
CP-002 10/04/97 BEZ Project Management Code of Practice
CP-001 28/01/97 BOM Production Operations Code of Practice

A6.4 Document Inspection / Quality Assurance

Any document will benefit from careful inspection to verify that it meets its requirements.
The purpose of such inspections is to locate and eliminate defects and, whenever possible,
to prevent their occurrence during the 'Create/Update' process. A special meaning of the
word 'defect' is used in Document Inspections - a defect is an instance in which a
requirement is not satisfied.

In practice, inspections may range from informal checks and reviews conducted by the
author during the 'Create/Update' activity to formal reviews such as Structured
Walkthroughs, Document Inspections and Quality Assurance Reviews (ref. Quality
Management Guide, IC91-002) which may involve many individuals and are usually
repeated on a regular basis. The choice of review should be based on the cost/benefit case,
whereby the cost of the review is likely to be outweighed by the benefits.

Inspection Requirements for Business Control Documents

All business control documents shall be subjected to a formal inspection process, since the
cost of review is likely to be outweighed by the benefits. The review shall determine the
degree to which the document meets its specified requirements. These requirements are
specified at the 'Identify Need' stage of the document management process. The choice of
inspection method and degree to which it is carried out shall be commensurate with the
value of the document to the business.

Inspection Requirements for Business Records

A significant number of Business Records should be subjected to a formal inspection

process to determine the degree to which they meet specified requirements. These
requirements are specified at the 'Identify Need' stage of the document management
process. The choice of review should, however, be based on the cost/benefit case and the
degree of inspection should be commensurate with the value of the document to the
business.

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Appendix 7 Vital Documents

The following is a recommend list of Vital documents for PDO:

· All Contracts and Tender Documents

· Major Agreements (Concessions, etc)
· Property Records
· Well Files
· As-Built Drawings
· Asset Design & Modification Records
· Transport Records (Flight /Shipping Manifests, etc)
· Business Control Documents
· Production Records (Metering Calibration, Production Statistics, etc)
· Insurance Records (Policies, etc)
· HSE Statistic
· Accident/Incident Records
· Personnel Records
· Audit Documents
· Board Meeting Agendas/Minutes
· Financial Accounting Records

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