Colorado Dept. of Transportation Email Use Policy

7/31/2019 Colorado Dept. of Transportation Email Use Policy

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COLORADO DEPARTMEN T OFTRANSPORTATION

POLICY DIRECTIVEn PROCEDURAL DIRECTIVE

Subject

Central Files -- Construction Project Filing System

Number

21.1

Effec t i ve Supersedes Or ig ina t ing o f f i c e


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6/1/98 2/1/89 Central Files

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


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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. Insure documents are deposited in a timely manner

2. Eliminate filing of multiple copies

3. 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

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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.


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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 Regioninitiates 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 notpreviously 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 documentsFILE

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)


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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. CorrespondenceMay 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. LegalMay 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 CountWeekly time count report (CDOT form #232).

4. Materials documentationContains Letter of Certification (CDOT form 473) and any other

materials documentation deposited.

5. ConfidentialContains 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:


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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 torequest 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. Contractors Progress Estimates (only final is microfilmed). A complete set is available in the region.

3. Time sheets (CDOT #262 & CDOT #263)


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4. Photographs

5. Billing backup documentationHow 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. The final audit is completed.

2. The final FHWA voucher is received.

3. 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


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FORM NO DOCUMENT NAME FROM

Advice of Contractor Award Staff Design

CDOT 606 AntiCollusion Affidavit (w/status papers) Staff Design

As Built Plans Print Center

Audits Audit

CDOT 568 Authoriz. & Declaration Temp Speed Limit Traffic

Bid Packs Staff Design

Bridge Review Bridge

CDOT 715 Cert. of Proposed DBE Participation Staff Design

Claim Letters (release before final pmt) Accounting

Concurrence Compliance Documents Region Env

CDOT 204 Construction Project Preaward Conference Staff Design

CDOT 85 Contract & Bond Staff DesignCDOT 1186 Contract Fundng Increase/Decrease App Ltr Accounting

Contracts - Amendments

CDOT 90 Contract Modification Orders (CMOs) Construction

Contract Status Papers Agreements

CDOT 690 Contractor Adjusted Utility Agreements Staff Design

CDOT 17 Contractor DBE Payment Certification Staff Const.

CDOT 713 Contractor DBE Sub suply/ser Cntrct Stmnt Staff Const.

CDOT 96a Contractor Acceptance Final Est Construction

Contractors Certification of Insurance Construction

Contractors Progress Estimates Construction

Correspndce. of value not filed elsewhere Originator

CDOT 719 DBE Participation Summary Staff Design

CDOT 463 Design Data Design

Design Decisions Design

Environmental Clearance Coordination Ltrs OES

Escrow Contracts Staff Design

PR2 (fed) Federal Aid Project Agreement FHWA

CDOT1212a Final Acceptance Report Construction

CDOT 325a Final Estimate Data

1447 Final Voucher -Payment 23.u.s.c.117 FHWA

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CDOT 473 Letter of Certification MaterialsLocal Agency Contract Admin Checklist

Listing of Items retained by Region

CDOT 250a Materials Documentation Record Materials

CDOT 94 Minor Contract Revision Order (MCRs) Construction

PR-2A Modification of Federal Aid Agreement Proj & Grants

NPS Contract (if needed) Agreements

Notice of Claim Settlement (contractor) Accounting


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Notice of Final Settlement (contractor) Staff Const.

Notice to Proceed Staff Design

Notification of Bid Opening & Publication Staff Design

Project Agreement Proj & GrantsProject Agreement Estimate Proj & Grants

CDOT 950 Project Closure Proj & Grants

CDOT 859 Project Control Data Construction

Purchase Orders (till phased out)

FORM NO DOCUMENT NAME FROM

Railroad Agreements Agreements

Reasonableness of Proposal Agreements

Record Sets of Project Plans (signed)

Release of Claim Accounting

CDOT 285 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

CDOT 205 Sublet Permit Application Construction

Task OrdersCDOT 832 Trainee Status & Evaluation Report Construction

Utility Clearance Utility Eng.

Utility Permits Utility Eng.