APPENDIX I: UNIFORM FILING SYSTEM (UFS) I1
Filing System
Contents'
• Introduction
• RCTD Project Filing Structure
• RCTD Small Project Filing Structure
• File Folder Labels Template
(Adobe Acrobat pdf form)
• Computer Folder Structure
- Structure template
(preconfigure computer folders/directories)
APPENDIX
I
I2 APPENDIX I: UNIFORM FILING SYSTEM (UFS) 2
APPENDIX I: UNIFORM FILING SYSTEM (UFS) I3
Introduction*
A uniformly structured Filing System (FS) is important for many reasons. FS
records remain complete and accessible despite changes in agency
organization, personnel, and records keeping technology. Time wasted
searching a FS for information is minimized. A FS fosters cooperation in the
retrieval and exchange of information throughout RCTD and with partnering
agencies as well. A FS can be used to separates records with different retention
requirements to assist retention and disposition activities.
RCTD has created a FS for managing RCTD capital improvement projects.
RCTD’s FS is based on a Uniform Filling System (UFS) created by Caltrans and
included in Caltrans’ Project Development Procedures Manual, which is
currently available at the following Internet URL.
www.dot.ca.gov/hq/oppd/pdpm/pdpmn.htm
RCTD has used Caltrans’ UFS as the basis for the RCTD FS, however, the
implementation has several modifications intended to simplify the structure
and address differences between the two organizations.
RCTD has implemented two filing structures. The first is intended for complex
projects that may involve federal or state records retention requirements or
large and complex documentation needs. The second is for basic improvement
projects that are typically completed by internal RCTD staff. The two structures
used by RCTD are provided in this appendix.
In an effort to simplify the process of creating labels for filing folders, RCTD has
created several Acrobat PDF documents pre-formatted for printing onto
commercially available label sheets.
Managing hardcopy files in folders stored in file cabinets is inherently different
than managing files stored on a computer. It is relatively simple to use a
computers searching capability to find a document stored in a folder containing
thousands of files. This would be very difficult with hard copies. Conversely,
putting documents in many layers of nested folders on a computer can make
I4 APPENDIX I: UNIFORM FILING SYSTEM (UFS) 4
managing files more difficult. RCTD has therefore created separate structures
for storing files on a computer with the premise of nesting folders no more
than two folders deep. Separate filing structures for complex and simple/small
projects have been created for the computer storage formats similar to the
separate structures for the hard copy files. A printout of the standard
computer folder/directory structure is provided in this appendix. Pre-
formatted folders/directories have been created and are provided in a zip file
that is included as a part of the electronic files supporting this manual.
! = Small Project Files
RCTD PROJECT FILING SYSTEM
A PROJECT MANAGEMENT & ADMINISTRATION
100 PROJECT CONTROL
110
!
Scoping / Programming
Data Research, Field Reviews, Scoping Forms, Budgets, Funding Programs, Preliminary
Engineering Study (PES)
120
!
Cost Estimates
Planning/TIP Estimates, Preliminary Estimates, Draft & Final Engineers Estimates, Log of
Estimates
130 Progress Tracking
Schedules, Status Reports, Progress Reports
140
!
Agreements
Coop Agreements, Freeway Agreements, Caltrans Supplemental Agreements, PO's,
Consultant Services Agreements, MOU's, On-Call Work Assignments, Request for
Proposal (RFP), Selection Process Records
150 Authorizations / Approvals
Includes applications for authorization and the actual approvals… New Connection, TIP
Budget, Directors Office Directives, Federal Requests for Authorization, E76 Approvals,
Pre-award Audit
160 Expenditures
Invoices, Cost Accounting Reports, COZEET invoices, Misc Expenses
170 Project Development Team
Members, Meeting Minutes, Action Items, Approval Memos
180 QA/QC Plan
300
!
CORRESPONDENCE
310 Federal & State Agencies
Caltrans, FHWA, Resource Agencies
320 Other Agencies
Cities, Counties, School Districts, Assessment Districts, Railroad, etc.
330 Utility Companies
AT&T, SCE, SCG, Sprint, Time Warner, Verizon, CVWD, IID, Charter, MWD, EMWD.
WMWD, Others…
340 County Agencies/Departments
Real Property, Flood Control, County Counsel, RCTC, WRCOG, CVAG
350 Elected Officials
360 Consultants
370 Private Groups or Individuals
Native Americans, Community Councils, Developers
400 Directors Office
410 TIP/Programming
420 Environmental Planning
430 Development Review
440 Survey
Field Surveys, Right-of-way Mapping
450 Traffic
460 Construction
Materials Lab
470 Highway Operations
500 Project Development
Internal Divisional Correspondence, i.e.. Design, Utilities, Division Manager
510 Memo's to file
Phone calls, Informal meetings/discussions
! = Small Project Files
RCTD PROJECT FILING SYSTEM
B ENVIRONMENTAL
100
!
ENVIRONMENTAL
110 Public Information
Public Info Meetings, Public Hearings
120 Environmental Assessment
Preliminary Environmental Evaluation (Preliminary Environmental Analysis Report)
130 Technical Reports
Noise Study, Air Quality analysis, Visual Impact Analysis, Historical Evaluation,
Archaeological Assessment, Hazardous Waste Assessment, Relocation Impact Analysis,
Socioeconomic Impact Analysis, Wetlands Delineation, Paleontological Survey, Biological
Assessment, Section 4(f), Farm Land Analysis, Floodplain Risk Assessment, Mitigation
Plan, Focused Biological Surveys, NPDES (WQMP/SWPPP/SWDR)
140 Draft Environmental Document
150 Final Environmental Document
160 Environmental Permits
1601, 404, Section 10a, Section 7, RWQCB 401, NPDES
C
DESIGN
100 CONCEPTUAL DESIGN
110
!
Planning Studies
Feasibility Study, Project Study Report (PSR), Existing Materials Information (As-builts),
Traffic Data (existing and forecasted traffic), Traffic Study (level of service, capacity
adequacy, operational analysis, accident History), Traffic Management Plan, Local Land
Use, Advance Planning Studies, Right-of-way and Utility considerations, Basic Design
Features, Railroad Preliminary Report.
120 Alternatives Development
Preliminary Geometrics, Cost Estimates, Schedules, Alternative Analysis Matrix,
Preferred Alternative Selection
300 PRELIMINARY DESIGN
310
!
Surveys/Mapping
Control Surveys, Mapping & Initial Land Net, Field Surveys
320
!
Technical Studies
Geotech Reports, Materials Report, Hydrology Study & Drainage Analysis, Value
Analysis, Foundation Report, Aesthetics & Landscaping
330
!
Design Exceptions
340 Geometric Approval Drawings
350 Preliminary Plans
Project Report (PR), Drainage
600 FINAL PS&E
610 Final Plans
Roadway Plans (Title, Index, Typicals, Layout, Profile, Superelev., Cons. Details &
Grading); Structure Plans (Bridges, Retaining Walls & Sound Walls); Drainage Plans
(Layout, Profile & Details including NPDES Erosion Control); Traffic Plans (Pave.
Delineation, Signing, Detour, Stage Cons., Traffic Control, Cons. Area Signs); Electrical
Plans (Street Lights, Signals and Signal Details); Right-of-way Requirement Plans;
Misc. Plans (Landscape, Fencing, Environmental Constraints, etc…)
620
!
Special Provisions
Special Provisions, Working Days Calculations, Liquidated Damages Calculations
630
!
Engineers Estimate
Engineer's Estimate, Quantity Calculations
640 PS&E Certifications
Caltrans Cert, RCTD Checklist
! = Small Project Files
RCTD PROJECT FILING SYSTEM
D RIGHT-OF-WAY
100 PROPERTY ACQUISITION
110
!
Encroachment Permits
120
!
Right of Entry
Survey, Field Studies, Construction Activities
130 Right-of-way Requirements
140 Titles, Legals, Plats & ROW Maps
150 Appraisals
Preliminary Estimates
160 Acquisition Agreements/Documents
Agreements, Condemnation Proceedings, Relocation Assistance
170 Right-of-way Certification
300
!
UTILITIES
310 Utility Search
Potholing
320 Assess Utility Relocation Requirements
330 Prior Rights determination
E CONSTRUCTION
100
!
CONSTRUCTION
110 Environmental Requirements
Mitigation Matrix
120 Resident Engineers File
130 Construction Contract Package
Plan Holder List, Bid Evaluation, Bid Summary, Contractor’s Proposal, Contract (signed),
Addenda, Correspondence, Form 11/Minute Orders, Bonds, Insurance, Agreements,
Encroachment Permits (State, Local Agency, Utility, Railroad)
140 Construction Meetings
Preconstruction Meeting Minutes, Status Meetings, Safety Reviews
150 Construction Surveys
Requests, Staking, Monumentation Map & Documentation
160 Material Testing
170 Submittals
Falsework & Shop Drawings
180 Daily Diary
Diary Documentation, Site Photos
190 Misc. Construction Documentation
Labor Compliance Paperwork, Storm Water Pollution Control Program
200 Progress Payments
210 Change Orders & Claims
Prepare, Negotiate, Process & Resolve
220 Final Reports
Punch List, Notice of Completion
230 As-Builts
F MISCELLANEOUS
100
!
MISCELLANEOUS
110 Photographs/Maps/Exhibits
120 Public Relations/Media
! = Small Project Files
RCTD PROJECT FILING SYSTEM - Internal Design / Small Projects
A PROJECT MANAGEMENT & ADMINISTRATION
110
!
Scoping / Programming
Data Research, Field Reviews, Scoping Forms, Budgets, Funding Programs
120
!
Cost Estimates
Planning/TIP Estimates, Preliminary Estimates, Draft & Final Engineers Estimates, Log of
Estimates
140
!
Agreements
Coop Agreements, Freeway Agreements, Caltrans Supplemental Agreements, PO's,
Consultant Services Agreements, MOU's, On-Call Work Assignments
300
!
Correspondence
B ENVIRONMENTAL
100
!
Environmental
C
DESIGN
110
!
Planning Studies
Project Study Report (PSR), Existing Materials Information, Traffic Data (existing and
forecasted traffic), Traffic Study (level of service, capacity adequacy, operational analysis,
accident History), Traffic Management Plan, Local Land Use, Advance Planning Studies,
Right-of-way and Utility considerations, Basic Design Features.
310
!
Surveys/Mapping
Control Surveys, Mapping & Initial Land Net, Field Surveys
320
!
Technical Studies
Geotech Reports, Materials Report, Hydrology Study & Drainage Analysis, Value
Analysis, Foundation Report, Aesthetics & Landscaping
330
!
Design Exceptions
620
!
Special Provisions
Special Provisions, Working Days Calculations, Liquidated Damages Calculations
630
!
Engineers Estimate
Engineer's Estimate, Quantity Calculations
D RIGHT-OF-WAY
110
!
Encroachment Permits
120
!
Right of Entry
Survey, Field Studies, Construction Activities
300
!
Utilities
E CONSTRUCTION
100
!
Construction
F MISCELLANEOUS
100
!
Miscellaneous
PROJECT CONTROL
Scoping / Programming
A110
Cost Estimates
A120
Progress Tracking
A130
Agreements
A140
Authorizations / Approvals
A150
Expenditures
A160
Project Development Team
A170
QA/QC Plan
A180
CORRESPONDENCE
Federal & State Agencies
A310
Other Agencies
A320
Utility Companies
A330
County Agencies/Departments
A340
Elected Officials
A350
Consultants
A360
Private Groups or Individuals
A370
Directors Office
A400
TIP/Programming
A410
Environmental Planning
A420
Development Review
A430
Survey
A440
Traffic
A450
Construction
A460
Highway Operations
A470
Project Development
A500
Memo's to file
A510
ENVIRONMENTAL
Public Information
B110
Environmental Assessment
B120
Technical Reports
B130
Draft Environmental Document
B140
Final Environmental Document
B150
Environmental Permits
B160
CONCEPTUAL DESIGN
Planning Studies
C110
Alternatives Development
C120
PRELIMINARY DESIGN
Surveys/Mapping
C310
Technical Studies
C320
Design Exceptions
C330
Geometric Approval Drawings
C340
Preliminary Plans
C350
FINAL PS&E
Final Plans
C610
Special Provisions
C620
Engineers Estimate
C630
PS&E Certifications
C640
PROPERTY ACQUISITION
Encroachment Permits
D110
Right of Entry
D120
Right-of-way Requirements
D130
Titles, Legals, Plats & ROW Maps
D140
Appraisals
D150
Acquisition Agreements/Documents
D160
Right-of-way Certification
D170
UTILITIES
Utility Search
D310
Assess Relocation Requirements
D320
Prior Rights determination
D330
CONSTRUCTION
Environmental Requirements
E110
Resident Engineers File
E120
Construction Contract Package
E130
Construction Meetings
E140
Construction Surveys
E150
Material Testing
E160
Submittals
E170
Daily Diary
E180
Misc. Construction Documentation
E190
Progress Payments
E200
Change Orders & Claims
E210
Final Reports
E220
As-Builts
E230
MISCELLANEOUS
Photographs/Maps/Exhibits
F110
Public Relations/Media
F120
Agreements - Coops / MOU's
A140
Agreements - Consultant Services
A140
Agreements - OnCall Assignments
A140
Agreements - Funding
A140
Agreements - Developer
A140
Agreements - PO's
A140
Utility - AT&T
A330
Utility - SCE
A330
Utility - SCG
A330
Utility - Sprint
A330
Utility - Time Warner
A330
Utility - Verizon
A330
Utility - CVWD
A330
Utility - IID
A330
Utility - Charter
A330
Utility - MWD
A330
Utility - EMWD
A330
Utility - WMWD
A330
Utility - Others…
A330
Tech Rpts - Noise Study
B130
Tech Rpts - Air Quality
B130
Tech Rpts - Visual Impact
B130
Tech Rpts - Historical Evaluation
B130
Tech Rpts - Archaeological
B130
Tech Rpts - Hazardous Waste
B130
Tech Rpts - Relocation Impact
B130
Tech Rpts - Socioeconomic Impact
B130
Tech Rpts - Wetlands Delineation
B130
Tech Rpts - Paleontological Survey
B130
Tech Rpts - Biological
B130
Tech Rpts - Section 4(f)
B130
Tech Rpts - Farm Land Analysis
B130
Tech Rpts - Floodplain Risk
B130
Tech Rpts - Mitigation Plan
B130
Tech Rpts - NPDES
B130
Plan Study - PSR
C110
Plan Study - Exist Materials Info
C110
Plan Study - Traffic Study
C110
Plan Study - Local Land Use
C110
Plan Study - Advance Planning
C110
Tech Study - Geotech Reports
C320
Tech Study - Materials Report
C320
Tech Study - Hydrology & Drainage
C320
Tech Study - Value Analysis
C320
Tech Study - Foundation Report
C320
Tech Study - Aesthetics
C320
Tech Study - Landscaping
C320
Scoping / Programming
A110
Cost Estimates
A120
Agreements
A140
Correspondence
A300
Environmental
B100
Planning Studies
C110
Surveys/Mapping
C310
Technical Studies
C320
Design Exceptions
C330
Special Provisions
C620
Engineers Estimate
C630
Encroachment Permits
D110
Right of Entry
D120
Utilities
D300
Construction
E100
RCTD Computer Files Folder Structure
A MANAGEMENT & ADMINISTRATION E CONSTRUCTION
A110 Scoping - Programming E110 Environmental Requirements
A120 Cost Estimates E120 Resident Engineers File
A130 Progress Tracking E130 Construction Contract Package
A140 Agreements E140 Construction Meetings
A150 Authorizations - Approvals E150 Construction Surveys
A160 Expenditures E160 Material Testing
A170 Project Development Team E170 Submittals
A180 QA-QC Plan E180 Daily Diary
A310 Federal & State Agencies E190 Misc. Construction Documentation
A320 Other Agencies E200 Progress Payments
A330 Utility Companies E210 Change Orders & Claims
A340 County Agencies-Departments E220 Final Reports
A350 Elected Officials E230 As-Builts
A360 Consultants
A370 Private Groups or Individuals F MISCELLANEOUS
A400 RCTD Inter-Department F110 Photographs-Maps-Exhibits
F120 Public Relations-Media
B ENVIRONMENTAL
B110 Public Information
B120 Environmental Assessment
B130 Technical Reports
B140 Draft Environmental Document
B150 Final Environmental Document
B160 Environmental Permits
C DESIGN
C110 Planning Studies
C120 Alternatives Development
C320 Technical Studies
C330 Design Exceptions
C350 Preliminary Plans
C610 Final Plans
C620 Special Provisions
C630 Engineers Estimate
C640 PS&E Certifications
D RIGHT-OF-WAY
D110 Encroachment Permits
D120 Right of Entry
D130 Right-of-way Requirements
D140 Titles, Legals, Plats & ROW Maps
D150 Appraisals
D160 Acquisition Agreements-Documents
D170 Right-of-way Certification
D310 Utility Search
D320 Assess Utility Relocation Requirements
D330 Prior Rights determination
