INTRODUCTION

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

References:

- University of California, Policies on Records Management and Privacy.
- University of California Records Disposition Schedules Manual.

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 along with retention time is available on the University Records Management Disposition Schedule. The Physical Plant section of this schedule is most commonly used for records related to Capital Projects. Explanation and symbols used in the Records Disposition Schedules Manual can be found at the Information Technology Services page.

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 must be retained for the life of the structure. 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. Records that are part of an environmental impact investigation and monitoring program are retained indefinitely.

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.)

1. Bidding documents (as issued for bids)
2. Minutes of pre-bid conference
3. Prequalification or qualification data (if used)
4. Completed Bid Forms
5. Completed Bid Bonds
6. Bid Summary
7. Notice of Selection as Lowest Responsible Bidder
1. Contractor's Statement of Experience and Financial Condition
2. Name and qualifications of superintendent
8. Contract documents (as executed)
1. Agreement
2. General Conditions (in bidding documents)
3. Supplementary Conditions (in bidding documents)
4. Certificates of Insurance
5. Payment Bond
6. Performance Bond
7. Specifications (in bidding documents)
8. List of Drawings (in bidding documents)
9. Drawings (filed separately)
10. Addenda (in bidding documents)
11. List of Subcontractors and List of Changes in
    Subcontractors Due to Alternates Contained in the
    Completed Bid Form
9. Contract documents (issued after execution)
1. Notice to Proceed
2. Change orders
3. Field orders
4. Applications for Payment
5. Escrow Agreement for Deposit of Securities in
   Lieu of Retention and Deposit of Retention
6. Submittal schedule
7. Executed waivers and release forms
8. Cost proposals
9. Notice of Completion
10. Amendments to the contract
10. List of all subcontractors on the project
11. Contract schedules
12. Telephone conversation notes
13. Correspondence
14. Inspector's Daily Report
15. Quality control inspection reports
16. Minutes of project meetings
17. Shop drawings and product data
18. Material on product substitutions
19. Certificates for Payment
20. Claims (with supporting data)
21. Change requests
22. Photographs
23. Diskettes
24. Inspection video tapes
25. Certificates of Beneficial Occupancy
26. Certificate of Substantial Completion
27. Guarantees

Revised April 6, 2012 (Change # FM 12-004-D)

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