LAST UPDATE: 2/23/2012 UAB FACILITIES DIVISION CENTRAL FILE DOCUMENT PROCEDURES PURPOSE: To establish responsibilities and overall procedures for management of the Central File System for Facilities. OVERVIEW: Central File is the record source of information for all Facilities’ projects from inception through close out. For all projects initiated before 2002 (project 993014 excepted) complete hardcopy records are kept and filed in the following categories: 
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PFSR Budget Board of Trustee (BOT) Agreement Files Contractor Pay Requests Invoice Files Purchase Order Invoice Transmittals Non‐Construction General Correspondence Dispute Resolution/Arbitration File Asbestos Abatement 
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Bid Documents Contract Construction Change Authorizations (CCA) Contract Change Orders (CO) Field Observation Reports Warranty Service Executed Project Manual/ Addenda (Closeout) Schedules MBE/DBE All documents of projects initiated in 2002 and after and project 993014 are scanned and filed in the electronic filing system, then returned to the sender if they are not one of the following documents: 
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Agreements Contracts Contract Change Orders Pay Requests Bid Documents Closeouts These documents are kept and filed in the central file room to satisfy the state code relative to records retention requirements. See memo, Exhibit 1. GENERAL REQUIREMENTS: 
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A new file is established in Central File for each project immediately following the assignment of a project number. The original document should be maintained in Central File, electronically, or both as specified above C:\Users\acb.FACILITIES\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\A105585W\central file procedures2.docx LAST UPDATE: 2/223/2012 
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Project Managgers and theirr support stafff are responssible for ensuring that all im
mportant documents on their projectts are transmitted to Centrral File. Project Managgers and theirr support stafff are also res ponsible for eensuring thatt duplicate documents are
e not sent to Central File. However, daated notes on a copy of a d
document will not be considered a duplicate. Such docum
ments are to bbe treated as new documeents. Procedure
es 1.0 Docum
ment Referral Procedures: documents to
o Central File are required
d to completee a scan coverr 1.1 Individualss forwarding d
sheet, indiicating the prroject number and the cateegory in whicch the docum
ment is to be p
placed (shown be
elow). 1.2 All docume
ents should b
be forwarded to Central Fille in a timely manner. Documents oldeer than six months will not be accepted
d by Central FFile without ssufficient justification. C:\Users\acb.FACILITIES\AppDaata\Local\Microso
oft\Windows\T
Temporary Innternet Files\Conttent.Outlook\\A105585W\\central file prrocedures2.ddocx LAST UPDATE: 2/23/2012 1.2.1
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It is the responsibility of the Project Manager to send a copy of all correspondence/documents on his/her projects to Central File. Original correspondence/documents received by individuals other than the Project Manager should be forwarded to Central File by that individual or his/her staff. Correspondence generated within Facilities regarding a project should contain the name of the project and project number in the reference section of the memo or letter. A copy should be sent to Central File by the individual generating the correspondence, and should be indicated on the bottom of the memo/letter. Pertinent e‐mails regarding projects should be saved to a “Processed Mail” folder on the server. The processed mail folders are to be copied to CD at close out to be stored with project records. Most electronic documents that are stored on digital media, such as on the hard drive, CD, zip drive, or other media may be retrieved and stored in the electronic filing system. The documents must be in one of the following formats: TIFF Files (.tif) GIF (.gif) Bitmap Files (.bmp) (.dip) PCX Files (.pcx) DCX Files (.dcx) JPEG Files (.jpg) TGA Files (.tga) PDF Files (.pdf) Rich Text Format Files (.rtf) HTML Files (.htm, .html) Word 2003 Files (.doc) Excel 2003 Files (.xls) PowerPoint 2003 Files (.ppt) Word 2007 Files (.docx) Excel 2007 Files (.xlsx) PowerPoint 2007 Files (.pptx) Outlook Message Files (.msg) 1.2.6
Requests for electronic documents to be electronically filed must be sent by email, containing location of file, project number, and category to be filed. Project manuals and maintenance manuals will not be scanned but may be submitted in electronic form to be indexed in the imaging system. It is the responsibility of the PM to see that these manuals are forwarded to the C:\Users\acb.FACILITIES\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\A105585W\central file procedures2.docx LAST UPDATE: 2/23/2012 appropriate department per SOI PCO‐2(see the Close Out Checklist and the Distribution Matrix. 1.2.7 Central File does not scan or retain blueprints, mylars, or CDs. The PM is responsible for forwarding these items to the appropriate department. 1.2.8 Documents should not be forwarded to Central File in ringed binders. They should be removed and bound in an acceptable manner, allowing them to fit into the storage cabinets and/or the scanner. 1.3 When documents are received in Central File, the staff will: 1.3.1 File on a daily basis in accordance with established guidelines. 1.3.2 Maintain files in a neat and orderly manner. 1.3.3 Maintain index that identifies the location of all files on Construction/Renovation Projects. 2.0 Check‐Out Procedures: 2.1 Any documents removed from Central File must be checked out and noted in the logbook located in the central file office area. Personnel should confer with central file staff prior to removing documents. 2.2 Checked out files must be returned with contents in same order and bound in the same fashion as checked out. 2.3 The person returning the files/documents must indicate their return in the logbook. 2.4 Files should be returned within five (5) days. Staff will issue a reminder after five days if files have not been returned. Extension of check out time is permitted up to 30 days. If user needs the file for a longer period, then the user should make a copy of the file and return the original to Central File. 3.0 Document Retention/Closeout: 3.1 Hard copies of documents are kept for a varying length of time, anywhere from three to ten years. [See attached memorandum Exhibit 1] 3.2 Although electronic copies of documents are sufficient for most use, we keep the hard copies of bids, contracts/agreements, pay requests and change orders for litigation purposes. 3.3 Once a project has been financially closed, the relating documents are boxed and numbered. This information is then entered into the Facilities database by central file personnel. Finally, the boxes are taken to the Warehouse for long term storage. C:\Users\acb.FACILITIES\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\A105585W\central file procedures2.docx