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

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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