Files and Record Keeping

Performance : A&E Contract Management : Files & Record Keeping

Contracting at Caltrans A&E Contracting History Approaches

Concepts Process DPAC Resource Development

Matching Exercise Knowledge Check

Centralized Decentralized Blended

Allocations Object Codes Budget Class COST Report Mitigation Costs

Contract Manager Contract Types

Scope

State Estimate

DBE DVBE Cost & Term Payment Consultant Selection Procurement Matching Exercise Knowledge Check

On-Call Project Specific

General: On-Call Detailed: Project Specific

Detailed: On-Call Detailed: Project Specific

A&E Contract Management

Task Orders

Progress Meetings

Amendments

Scope Schedule Cost & Payments

Matching Exercise Knowledge Check

Oversight / Q.A. Monitor Performance Contract Kick-off Meeting Consultant Progress Personnel Substitutions Files / Record Keeping

Task Order Development Task Order Request Contract Authority Draft Task Order State's Cost Proposal Consultant's Cost Proposal Task Order Negotiation Task Order Execution Task Order Kick-off Meeting

Meeting Agenda Meeting Minutes

Contract Amendments Task Order Amendments Amendment Approval Process

Budgets / Funding Payments to Consultants Relationships Acceptance Requirements Communication Evaluations DBE & DVBE Disputes Terminations

Task Order Closeout

Contract Closeout

Admin Issues Final Invoice Approval Post-Closeout

Matching Exercise Knowledge Check

Final Inspection Task Order Closeout

Completion of Work Prompt Closeout

Disencumber Evaluation Update Records Post Audits

Files and Record Keeping

A critical activity for the contract manager is keeping records and files for the life of the contract. The records and files related to the contract allow Caltrans to respond quickly and accurately to inquiries.

All actions taken and critical events need to be documented and included in the project and contract files. The files show that the contract has been administered in compliance with all applicable laws, regulations, policies and procedures, as well as honestly, fairly and efficiently.

Types of files:

Project files represent the administrative record of project decisions made during the project’s life, and all related technical information. The consultant and functional units maintain the project files.
Contract Files (2) provide a record of the contract and all actions taken with it. Division of Procurement and Contract (DPAC) maintains one contract file, and the Department’s contract manager maintains the other.
Each District is responsible for maintaining a Records Retention schedule, which, in part, defines how long the contract files need to be maintained. For specific information about the Records Retention schedule, contact your District Records Officer.
Record Retention Schedule (blank form)
Records Retention Schedule Request (blank form)

Project File

Maintaining an accurate and complete project file is crucial because it represents the administrative record of decisions made during the life of the project. Project files help to maintain continuity in the project delivery. Upon project completion, this file brings the consultant’s project files and Caltrans’ project files into one comprehensive record.

Contract manager responsibilities (coordinated with functional manager) related to project files:

The project file should not contain material related to contract administration or consultant selection.

Review the consultant's files.
Ensure that all required material is being retained and filed.
Provide the filing system requirements to the consultant.
Ensure that the consultant is using the Uniform Filing System in the Project Development Procedures Manual for project files.

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