Volume 3, Chapter 6
Official project file records must be retained after a project has been completed. The contents of a project file are enumerated in 6.1.1 (below).
6.1 RECORD RETENTION
- University of California, Policies on Records Management and Privacy.
- University of California Records Retention Schedule.
- Records Retention and Disposition: principles, processes, and guidelines.
This chapter provides guidance on records retention for University projects. Campuses are encouraged to check for updates regarding the Records Disposition Schedules Manual housed under the Information Technology Services department on the Office of the President website.
Campuses must contact their campus Records Management Coordinators if they have additional questions.
A list of records to be retained for Capital Projects, along with their retention time is available on the University Records Management Disposition Schedule, under Capital Resources Records.
The University retains official project file records for at least 10 years in case a defect is discovered after the project is completed. Certain records used for a structure's operation and maintenance and that are part of an environmental impact investigation and monitoring program must be retained until the Regents no longer own the building and its surrounding property. As-built drawings are vital records and there are special requirements for their protection. Asbestos removal and disposal records must be retained for 50 years.
The project manager must consider record retention when executing an agreement with the design professional. The design professional's project records are maintained for a minimum of five years (preferably longer) after the project is completed. Records to be transferred to the University regarding operations and maintenance should be formatted to Facility requirements. Any special or high-risk portions of the project must be thoroughly documented and follow more stringent record retention requirements.
Some projects may have very long term or other special records retention requirements based on the project funding source, including bonds and grants. Those requirements are set forth in the funding agreement.
6.1.1 Project File Contents
During bidding and construction administration, the following items either issued by the Facility or received from the contractor should be placed in the Facility's project file. (This list is not meant to be all-inclusive.)
- Bidding documents (as issued for bids)
- Minutes of pre-bid conference
- Prequalification or qualification data (if used)
- Completed Bid Forms
- Completed Bid Bonds
- Bid Summary
- Notice of Selection as Lowest Responsible Bidder
- Contractor's Statement of Experience and Financial Condition
- Name and qualifications of superintendent
- Contract documents (as executed)
- General Conditions (in bidding documents)
- Supplementary Conditions (in bidding documents)
- Certificates of Insurance
- Payment Bond
- Performance Bond
- Specifications (in bidding documents)
- List of Drawings (in bidding documents)
- Drawings (filed separately)
- Addenda (in bidding documents)
- List of Subcontractors and List of Changes in Subcontractors Due to Alternates Contained in the Completed Bid Form
- Contract documents (issued after execution)
- Notice to Proceed
- Change orders
- Field orders
- Applications for Payment
- Escrow Agreement for Deposit of Securities in Lieu of Retention and Deposit of Retention
- Submittal schedule
- Executed waivers and release forms
- Cost proposals
- Notice of Completion
- Amendments to the contract
- List of all subcontractors on the project
- Contract schedules
- Telephone conversation notes
- Inspector's Daily Report
- Quality control inspection reports
- Minutes of project meetings
- Shop drawings and product data
- Material on product substitutions
- Certificates for Payment
- Claims (with supporting data)
- Change requests
- Inspection video tapes
- Certificates of Beneficial Occupancy
- Certificate of Substantial Completion
Revised November 15, 2013 (Change # FM 13-013-P)