Risk Tip 6.

Sample Project File Index

Provided as a courtesy by the ACEC/MA Risk Management Forum
April 2013

A project filing structure should be established at project startup. Depending on the size of a project, one
may select a simple single chronological file for small projects and for the larger projects one may select a
file numbering system similar to the one shown below, unless the Client requires use of another file
numbering system. The sample file numbering system shown below is made up of 8 main file sections or
series (100, 200, 300, 400, 500, 600, 700 and 800). Where every project is different, some file numbers
will not be needed. Files can be kept electronically or hard copy or a combination of both.

100 CONTRACT FILES: The most important documents to retain are the proposal, minutes of
contract negotiation; executed prime agreement signed by both parties and any
agreements with Sub-
consultants. As the project progresses, should there be any changes, retain modifications
as amendments to the contract and any subcontracts, especially changes in scope,
schedule and fees.
101 Proposal and Negotiations
102 Base Contract
103 Contract Modifications
103.1 Contract Modification/Amendment #1
103.2 Etc.
104 Progress Reports
105 Invoices
110 SUB-CONSULTANT/VENDOR FILES
111 Subconsultant A
111.1 Selection Process
111.2 Subcontract and any Subcontract Modifications
111.3 Invoices
111.4 Subconsultant Correspondence
111.4.1 Incoming Correspondence
111.4.2 Outgoing Correspondence
112 Subconsultant B; etc.

200 CORRESPONDENCE FILES: Here you would retain copies of correspondence that comes
in from the client and outside agencies that may be involved in the project and any internal
correspondence. For large projects, you may want to consider an incoming and outgoing
correspondence log. The log would identify the date, the sender’s organization name and

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 the subject matter which can serve as a quick reference when searching for a specific
document. This may include responses to value engineering recommendations made by
the client’s agent, if applicable.
201 Incoming Correspondence
201.1 Client
201.2 Agency or Other Entity
202 Outgoing Correspondence (Use same format as 201 above)
203 Internal Correspondence

300 ADMINISTRATIVE/PROJECT CONTROL FILES: These are primarily internal documents

that establish project milestones. The software is either something that can be created by
your firm or purchased from a software vendor. This section is an important tool to
measure where you stand on the project against the budget and schedule that was
established. Such tracking is essential to the profitability of the project.
301 Project Initiation Forms
302 Project Budget
303 Project Schedule
304 Project Work Plan
305 Kickoff Meetings, Agenda, Minutes

400 TECHNICAL INFORMATION AND TECHNICAL DISCIPLINE FILES: These files remain
with each discipline during the execution of the project or are open to the entire project
team if the files are electronically stored. When the project is completed, the files are
turned over to the project administrator for filing of the complete project.
401 General
402 Survey/Mapping
403 Geotechnical
404 Civil
405 Structural
406 Architectural
407 Plumbing
408 Process
409 Mechanical HVAC
410 Electrical
411 Instrumentation and Control (I&C)
412 thru
Use when the sections above do not include other needed disciplines or technical areas
499

500 PROGRESS SUBMITTALS/DELIVERABLES: These are usually deliverables to the client

and/or public agency on behalf of a client. They should match up with any deliverables
listed in the base contract.
501 Submittal #1 (Specify)

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502 Submittal #2 (Etc.)

600 CONSTRUCTION SUPPORT FILES: This section tracks the design team’s interaction with
the construction. It starts with the bidding phase and tracks activity all the way through to
substantial completion and beyond through the warranty period, if applicable. These are
important documents for construction administration activities. The request for information
(RFI) log and shop drawings log are very important control documents. Each RFI or
submittal should be assigned a number. The log should show the date the document was
received, action taken and the date it was returned to the contractor. As delays and extras
are major causes for claims against design professionals, detailed documentation and
reasonable turnaround times of RFIs and submittals are essential.

601 Correspondence
601.1 Incoming
601.2 Outgoing
603 Meetings
603.1 Pre-Construction Meeting
603.2 Construction Progress Meetings
604 Requests for Information (RFI)
604.1 RFI Log
604.2 RFI Files
605 Shop Drawings/Submittals
605.1 Submittal Log
605.2 Submittal Files
606 Construction Contract Changes
606.1 Change Order Log
606.2 Proposed Change Orders Files
607 Site Visits and Inspections
608 Materials and Testing Data
609 Pre-Final Inspection
610 Final Inspection

700 QUALITY MANAGEMENT: The quality management file will contain all quality
control/quality assurance checklists. This file should contain documentation that peer
review was performed on the work product. The peer reviewer’s markups or comments
should be kept as a record along with the design team’s responses to the comments.
701 Calculation Review Checklists/Document Comment Sheets
702 Drawing Review Checklists/Document Comment Sheets
703 Specifications Review Checklists/Document Comment Sheets
704 Report Review Checklists/Document Comment Sheets

800 SAFETY: As the engineer does not have overall control of site safety, this section is

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 intended to contain documentation of the safety controls the engineer has communicated
to the engineer’s staff. This consists of documentation of the engineering firm’s safety,
health and environment plan to be followed by the engineering firm’s employees.
801 Project Safety, Health and Environment Plan
802 Safety Training
803 Accident Investigations and Reporting

This ACEC/MA Risk Tip is intended to provide current and accurate information to assist the reader in
becoming more familiar with the subject matter. It is informational only and not intended to
substitute for technical, legal, or risk management professional advice. The reader is encouraged to
consult with an attorney or appropriate professional consultant to explore this information further.

For more information on the ACEC/MA Risk Management Forum or on other ACEC/MA activities, call
617-227-5551 or go to: www.acecma.org.