At the completion of construction, the Project Manager will review the project records for disposition (refer to detailed procedures, this section). The disposition of project records is governed by LBNL policy and DOE Orders. LBNL policy is defined in the LBNL Regulations and Procedures Manual. DOE requirements are defined in the DOE Order 243.1B, Records Management Program.
As part of the project closeout procedure, LBNL design team members complete Specifications Sheets for all new items of mechanical or electrical equipment installed in the project. These items include equipment that will require periodic inspection and preventative maintenance.
Transmit all maintenance and operations documentation to Facilities Operations.
The mechanical and electrical design team members are responsible for placing into the equipment files pertinent data on equipment for the project (refer to detailed procedures, this section).
7.8.1 Summary
This section describes the documents that constitute project records, their filing location during the active phase of the project, and the requirements for the inactive phase of the project.
Records include communications, contracts, construction documents, calculations, and design review and approval documents. Active phase includes conceptual design, design, construction, and project closeout. Inactive phase includes dispositioning and archiving.
The legal requirements and responsibilities for gathering, managing, and archiving project records are defined in the LBNL’s Regulations and Procedures Manual (RPM), Archives and Records Management Policy.
7.8.2 Project Records
The primary location of project records during both active and inactive phases of the project is in the project file. Electronic copies should be maintained in the Facilities file share (aka, “G drive”), an online collaborative environment, or other electronic Project Management Systems.
Electronic files are not currently supported as a certified archival system and are only for our use and information. Only hard copy file set is official record and must be complete. Project records include:
- Communications
- Correspondence
- Memos (including hard copies of email messages)
- Meeting minutes
- Telephone logs
- Facsimile transmittals
- Reports
- Subcontracts
- Subcontract agreement with A/E firm
- Subcontract with construction firm
- Modifications and Change Orders to subcontracts
- Construction Documents
- Drawings
- Specifications
- Revisions to drawings and specifications
- Calculations
- Other Record Documents (as required by the Specifications)
- Warranties (Operations and Maintenance (O&M))
- As-built drawings (O&M)
- Maintenance manuals (O&M)
- Operations manuals (O&M)
- Start-up and testing procedures
- Shop drawings
- Samples
- Submittals
- Review and Approval Documents
- Department of Energy (DOE) approval documents
- Project Plan Review forms for Preliminary Design and Final Design
- Project Construction Complete Review form
- Third-party reviews and recommendations
7.8.3 Filing of Project Records (Active Phase of Project)
This section discusses the files maintained by Facilities and Procurement during the active phase of the project. The Facilities Project Manager and the Procurement Subcontract Administrator are responsible for the proper filing of project records they generate or receive during the active phase.
- Project Records Maintained by Facilities
- Central project files (maintained by Design & Construction Management)
- Central drawing file
- Project Manager working files
- Files Maintained in Procurement
- Project subcontract files (originals)
7.8.4 Preparing Project Records for Disposition and Archiving
The Project Manager is responsible for gathering and transferring project records to the Archives and Records Office within three years of project closeout.
7.8.5 Records Disposition (Inactive Phase of Project)
The disposition of project records is governed by LBNL policy and DOE Orders. DOE requirements are defined in the DOE Order 243.1B, Records Management Program.
