I

COLORADO DEPARTMENT OF TRANSPORTATION

Subject

POLICY DIRECTIVE n PROCEDURAL DIRECTIVE

Number

Central Files -- Construction Project Filing System

Effective Supersedes Originating office

21.1 Central Files

6/1/98

2/1/89

PURPOSE To promote continuity and integrity of CDOTs construction project records by ensuring originating offices deposit important project documents and by microfilming such documents for permanent retention. This directive will ensure the microfilm is of high quality and acceptable in legal issues. To have the official CDOT construction project records readily available for use by CDOT officials. To reduce storage space requirements, speed document retrieval, and reduce costs by eliminating duplication and permanent retention of unnecessary records. AUTHORITY Executive Director Human Resources and Administration Director C.R.S. Title 24, Article 72 as amended, Open Records Law C.R.S Title 24, Article 80 as amended, State Archives Law 49 CFR Part 18c Sec.18. 42 DEFINITIONS Official Records Custodian: The CDOT official responsible for the maintenance, care and keeping of CDOT records, regardless of whether such records are in his or her physical custody and control. (For example executive director, division head, branch head, region transportation director, etc.) Records Custodian: The official custodian or any CDOT employee who, as part of their assigned job duties, has personal custody and control of CDOT records. Definitive Copy: The copy of a document that becomes the CDOT official records copy. It may be the original
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(if available) but should always be the most complete copy (i.e., the copy containing all signatures etc.). Originating Office: Any office that creates and deposits documents in Central Files. GENERAL STATEMENTS Central files of the Forms and Records Management Unit, Administrative Services Branch, Human Resources and Administration Division is the primary depository for department construction project records. These construction project records, except as noted in this directive, are retained permanently. After project closure, the records are microfilmed and the microfilm becomes the primary record copy. The hard copy is destroyed in compliance with the approved disposition schedule (six years after project closure). Central files must receive the definitive copy of construction project documents that require permanent retention. Exceptions are: Right of Way (ROW) correspondence regarding specific parcels on projects which are retained permanently by Staff ROW and project documents retained permanently in Regions as identified on the Regions records retention schedule. All documents deposited in Central Files must be legible and complete. Employees responsible for depositing records in Central Files must coordinate with Central Files staff to: 1. 2. 3. Insure documents are deposited in a timely manner Eliminate filing of multiple copies Establish definitive copies that are the best quality possible.

Consider microfilming limitations when establishing the definitive copy for deposit in Central Files. Pencil copies, colored copies, and copies of copies do not microfilm well. Poor microfilm adversely affects the integrity of CDOT records and their acceptability in a court of law. All offices depositing documents in Central Files must make every effort to submit the best copy possible for both legal and microfilming purposes. Do not deposit records that have no enduring value, are of poor quality, or are incomplete. Consistent usage of Central Files will help eliminate duplicate file maintenance throughout CDOT and will insure the integrity and completeness of the departments permanent project files. Originating offices will only need to maintain working files for the period necessary to accomplish their specific task. Originating offices can be assured that when they deposit a project document for permanent retention that it is readily retrievable from Central Files. Central Files staff will file, microfilm and retain all documents received. DEPOSITING RECORDS IN CENTRAL FILES Who Must Submit Documents
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The record custodian is responsible for depositing documents in Central Files. The attached documents to submit list, identifies specific documents and the related originating office. The record custodian in the specified originating office is responsible for depositing the identified records in Central Files. However the list is not all-inclusive and all record custodians must use their discretion in determining when to deposit additional documents.

What Documents Must Be Submitted A list of documents important to a project that should be deposited has been identified and is attached to this directive. For documents not on the list, the record custodian must evaluate the documents importance and the need for permanent retention by considering legal, financial, audit, research, and historic value. This determination should be consistent with approved record disposition schedules. When duplicate copies are received, Central Files keeps the best copy and destroys the duplicates. When Should Documents Be Deposited Originating offices should deposit documents in Central Files as they are generated or at the time the Region initiates the closing of a project. The Region should not wait for the Intent to Microfilm letter from Central Files. The time lapse between the date the Region initiates the closing of a project file and the date Central Files closes that same file can be substantial. When an originating office waits until notified of Central Files intent to microfilm, the documents may be more difficult to retrieve and send because the originating office may have already closed the files months ago and put the files in storage. When the record custodian first receives a definitive document that should be deposited in Central Files, make a copy for the working files and send the original to Central Files. The record custodian should develop an internal procedure to automatically submit any documents not previously submitted to Central Files at the time the CDOT form 950 (Project Closure) is generated by the Region. How Should Documents Be Transmitted When sending documents to Central Files through the CDOT Mail Center, use either a transmittal slip (CDOT Form 757), or a routing stamp. If using the CDOT Form 757, include senders name and phone number. If you use a routing stamp, the stamp must read: To: Central Files, From: Your Office Name & phone extension. The stamping of documents should be done in such a way that information is not concealed. This routing method helps Central Files staff contact you if they have questions about the documents submitted. Do not
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simply stamp individual documents FILE and put in interdepartmental mail. What Coding Information Must Central Files Have The following coding information must be readily apparent on each document: Project Code (formerly known as subaccount number) Alpha numeric project number Date of document If the document contains multiple project codes, specify by underlining or highlighting, under which project code number you want the document filed. If you want multiple filing of the same document, send duplicate copies and indicate the file designations. ACCESSING PROJECT RECORDS IN CENTRAL FILES How Are Project Files Organized Project records are filed numerically by project code (formerly known as the subaccount number). Each project file is divided into the following five sections (filing within each section is chronological). 1. Correspondence May include, but is not limited to, documents of a general nature including: environmental, traffic control, disadvantaged business enterprise, on the job training, Federal Highway Administration (FHWA) memorandum, field reviews, inspections, and ROW clearance information. 2. Legal May include but is not limited to: contracts and bonds, supplemental contracts, minor contract revision orders, reasonableness of proposal, standard utility agreements, contractors adjusted utility agreements, design data (CDOT 463), status of contract papers, railroad agreements, consultant billings, financial reports, voucher requests, audit reports, contract modification orders, federal aid agreements, permits to sublet, construction cost overruns, final estimate data, and contractors progress estimates, special provisions, signed record sets and as constructed plans. 3. Time Count Weekly time count report (CDOT form #232).

4. Materials documentation Contains Letter of Certification (CDOT form 473) and any other materials documentation deposited. 5. Confidential Contains any documents deemed confidential in accordance with procedural

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directive 51.3 entitled Confidential Records. Are the Records Cross Referenced Central Files maintains a Project File Status Card (CDOT form 49) on each project. By using these cards, the user can tell if a project is active, closed, combined, and/or microfilmed. The status cards also list the following which is useful for quick reference: project code (cont.) project number date CDOT form #463 (Design Data) project type (preliminary engineering, construction, utilities, ROW) project location/name contractor/award date microfilm roll number confidential documents included

To Access Central Files Documents In person request Customers are encouraged to come in person when possible to the Central Files Office to request records. Customers are welcome to pull their own files and Central Files staff will assist in locating files as needed. Central Files staff will refile all documents that have been pulled. A copy machine is available for customers use. Central Files encourages customers to remain in the file room while reviewing records. However, files may be checked out if absolutely necessary. It is suggested that when the request is for an inactive record, the customer phone in the request prior to coming to the file room to allow file room staff time to research and locate the record as needed. Telephone requests - Customers in remote locations may request documents by telephone if necessary. Central Files does not send entire project files through the mail system. We will however, make a copy of a specific document and send it through the mail or fax to the customer. Microfilming Records Before microfilming, Central Files notifies originating offices that we are preparing to film by sending an Intent to Microfilm letter to all originating offices. This alerts originators to submit any outstanding documents and to notify Central Files of any existing claims or litigation involving the project. Central Files will withdraw any projects not cleared for microfilming will hold until legal status is resolved. The following types of documents are not microfilmed:
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1. All documents of less than 8 in size including routing and transmittal slips. If information is of a permanent nature, place it on an 8 X 11paper. 2. 3. 4. Contractors Progress Estimates (only final is microfilmed). A complete set is available in the region. Time sheets (CDOT #262 & CDOT #263) Photographs

5. Billing backup documentation How Long Are Project Documents Retained By Central Files The project files are microfilmed and the microfilm is retained permanently. Microfilming does not occur until: 1. 2. 3. The final audit is completed. The final FHWA voucher is received. No litigation or claims are pending.

The hard copy documents, both permanent and non-permanent, will be kept in a record storage area until the following conditions are met: 1. The microfilm is inspected by the Division of State Archives and Public Records to ensure it meets all legal requirements. 2. Six years have elapsed.

FISCAL IMPACT There will be no additional fiscal impact from the implementation of this directive. This program is ongoing at CDOT. SUNSET DATE This directive shall sunset for review in June, 2003.

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Signature on File Celina Benavidez, Director, DOHRA

Date

DOCUMENTS TO SUBMIT TO CENTRAL FILES FOR PROJECT FILES

FORM NO

DOCUMENT NAME Advice of Contractor Award CDOT 606 AntiCollusion Affidavit (w/status papers) As Built Plans Audits CDOT 568 Authoriz. & Declaration Temp Speed Limit Bid Packs Bridge Review CDOT 715 Cert. of Proposed DBE Participation Claim Letters (release before final pmt) Concurrence Compliance Documents CDOT 204 Construction Project Preaward Conference CDOT 85 Contract & Bond CDOT 1186 Contract Fundng Increase/Decrease App Ltr Contracts - Amendments CDOT 90 Contract Modification Orders (CMOs) Contract Status Papers CDOT 690 Contractor Adjusted Utility Agreements CDOT 17 Contractor DBE Payment Certification CDOT 713 Contractor DBE Sub suply/ser Cntrct Stmnt CDOT 96a Contractor Acceptance Final Est Contractors Certification of Insurance Contractors Progress Estimates Correspndce. of value not filed elsewhere CDOT 719 DBE Participation Summary CDOT 463 Design Data Design Decisions Environmental Clearance Coordination Ltrs Escrow Contracts PR2 (fed) Federal Aid Project Agreement CDOT1212a Final Acceptance Report CDOT 325a Final Estimate Data 1447 Final Voucher -Payment 23.u.s.c.117 Hazardous Waste Manifests

FROM Staff Design Staff Design Print Center Audit Traffic Staff Design Bridge Staff Design Accounting Region Env Staff Design Staff Design Accounting Construction Agreements Staff Design Staff Const. Staff Const. Construction Construction Construction Originator Staff Design Design Design OES Staff Design FHWA Construction FHWA Construction

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CDOT 473

CDOT 250a CDOT 94 PR-2A

CDOT 950 CDOT 859

Letter of Certification Local Agency Contract Admin Checklist Listing of Items retained by Region Materials Documentation Record Minor Contract Revision Order (MCRs) Modification of Federal Aid Agreement NPS Contract (if needed) Notice of Claim Settlement (contractor) Notice of Final Settlement (contractor) Notice to Proceed Notification of Bid Opening & Publication Project Agreement Project Agreement Estimate Project Closure Project Control Data Purchase Orders (till phased out)

Materials

Materials Construction Proj & Grants Agreements Accounting Staff Const. Staff Design Staff Design Proj & Grants Proj & Grants Proj & Grants Construction

FORM NO

DOCUMENT NAME

FROM

CDOT 285

CDOT 205 CDOT 832

PR20A(fed) CDOT 951 CDOT 1180

Railroad Agreements Agreements Reasonableness of Proposal Agreements Record Sets of Project Plans (signed) Release of Claim Accounting Relocation Entitlement-dwn pymt supplmnt ROW Revision Notice (Bid Proposal) Print Center ROW Project Clearance Letters ROW Special Provisions Print Center Status of Contract Papers Staff Design Sublet Permit Application Construction Task Orders Trainee Status & Evaluation Report Construction Utility Clearance Utility Eng. Utility Permits Utility Eng. Voucher for work Performed FHWA Accounts Voucher Request - projects (billings) Acct/P&G Standards Certification and Project Plans Staff Design Specifications and Estimate Approval

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