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The Practice Management Knowledge Community (PMKC) identifies and develops information on the business of architecture for use by the profession to maintain and improve the quality of the professional and business environment.  The PMKC initiates programs, provides content and serves as a resource to other knowledge communities, and acts as experts on AIA Institute programs and policies that pertain to a wide variety of business practices and trends.

    

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Archiving and Document Retention Policy

  • 1.  Archiving and Document Retention Policy

    Posted 07-19-2021 11:42 AM

    Does anyone have any guidance on archiving project materials and data files (design drawings, construction submittals and samples, record drawings, CAD files and BIM Models). Our off-site storage costs are significant and we need to provide clarity to the staff regarding what needs to be archived for legal reasons and future project reference. Often we have staff putting all project related drawings and documents in banker's boxes and tubes and sending it off to storage. Our network files are loaded up with all sorts of project files and should be reviewed for what to retain and delete.

    I understand that a document retention and destruction policy would be helpful in this regard .

    Your comments and suggestions on how to proceed would be appreciated.

    Thanks,

    James A. Coan AIA

     

    James A. Coan, AIA, CSI, LEED AP BD+C

    Senior Director, Architectural Practice & Building Science

     

    D: (860) 581-2712

    M: (860) 575-3732

    coan@centerbrook.com

     

    Centerbrook Architects & Planners

    67 Main Street, PO Box 955
    Centerbrook, CT 06409

    (860) 767-0175

     

    centerbrook.com twitter facebook

     

     

    Sent from Mail for Windows 10

     



  • 2.  RE: Archiving and Document Retention Policy

    Posted 07-20-2021 05:28 PM
    We've gone digital. Samples get scanned when they are sent back to the contractor, so we toss / recycle them. Our digital records are kept in perpetuity through Amazon Web Services at a reasonable cost. If you are keeping physical documents, the recommendation I've heard is to keep them at least for as long as the statute of limitations is in the State that the project is located in. A previous firm I worked for said that was 14 years in the State of Illinois.

    ------------------------------
    Christopher Hamer AIA
    Associate
    Aria Group Architects, Inc.
    Oak Park IL
    ------------------------------



  • 3.  RE: Archiving and Document Retention Policy

    Posted 07-21-2021 09:11 AM
    That's a great suggestion on scanning samples and recycling the materials. 
    I am finding that Statute of Repose time periods vary widely among the states-- 4 years in Tennessee to 15 years in Iowa.  Vermont does not have a Statute of Repose, I guess that means there is no limit on the time period in which claims can be made against the Architect. Statute of Limitations time periods also vary.

    James A. Coan

    James A. Coan, AIA, CSI, LEED AP BD+C

    Senior Director, Architectural Practice & Building Science

    D: (860) 581-2712

    coan@centerbrook.com

     

    Centerbrook Architects & Planners

    67 Main Street, PO Box 955
    Centerbrook, CT 06409

    (860) 767-0175



    ------------------------------
    James Coan AIA
    Senior Director
    Centerbrook Architects and Planners
    Centerbrook CT
    ------------------------------



  • 4.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 11:17 AM

    A statute of repose has a fundamentally different function from that of a statute of limitations. 

     

    Legal claims have elements, each of which in the civil sense must be proved by a preponderance of the evidence.  For example, in bringing a claim against an architect the plaintiff must prove 1) there was an applicable duty the law recognizes; 2) that the architect breached the duty; 3) that the plaintiff was damaged in a legally cognizable manner; and 4) that the breach of duty was the proximate cause of the damage.

     

    The first date on which a plaintiff can truthfully allege that all 4 elements have arisen is the date on which the claim is said to have accrued.  Once a claim accrues a statute of limitations cuts off viability after a specified amount of time elapses (2 years, 4 years, whatever)

     

    Some claims accrue quickly whereas other claims don't until a substantial amount of time has passed.  Say for example an architects' design for a roof is defective such that the roof will not resist a code snow load.  It may be many years before that roof sees a code snow load and suffers damage.  As such, the "damage" element arguably doesn't arise and the claim doesn't accrue until that point.  If that point is 10 years after completion and the statute of limitations is 2 years, that would mean the claim can be brought 12 years after completion, a fairly long time.  Depending on the facts it can be substantially longer even though the statute of limitations seems relatively short

     

    The intent of the statute of limitations is to ensure that the ability to defend claims is vital.  As time passes memories fade, witnesses move away or die, documents are lost, and the ability to effectively defend is lost – not to mention the fact that trying old (what the law would call "stale" claims) is difficult for the court – and the fact that being obligated forever is considered unfair to the Defendant. 

     

    To address the problem a traditional statute of limitations creates many states added a statute of repose.  A statute of repose cuts off a claim that has not accrued after a specified amount of time passes from a milestone date – typically use, occupancy or acceptance of the completed improvement, whichever occurs first.  If for example the statute of repose is 6 years and the completed improvement is occupied on January 1, 2020, on January 1, 2026 any claim is cut off by the statute of repose – whether it has accrued or not.  If that sounds difficult, it can be (and is complicated by the fact that a statute of repose can also have limitations effect depending on the facts of the case) and indeed, many courts don't fully understand it (a different problem entirely)

     

    To determine what the outside window is one must carefully example both the limitations and repose periods.  I generally suggest repose plus a year is good point at which to consider culling files but one should also get advice from their counsel and insurance carrier as well.  Understand also that some states do not have either a statute of limitations or repose . . . a legislative question that must be addressed in a different context.



    ------------------------------
    Frederick Butters, Esq.
    Attorney at Law
    Frederick F. Butters, PLLC
    Southfield Michigan
    ------------------------------



  • 5.  RE: Archiving and Document Retention Policy

    Posted 07-20-2021 08:14 PM

    We only keep (offsite) wet signed documents that were submitted to the city; or wet signed contracts. Everything else needs to be kept electronically. Everything, except a limited amount that needs to be retained for marketing/posterity purposes, is destroyed or erased ten years from the last time the project was billed.

     

    ELIZABETH E. HOLLAND MBA, LEED® AP
    Senior Principal
    (she/her/hers)


    WEBER THOMPSON

    One of ARCHITECT Magazine's National Top 50 Sustainable Design Firms

    We've Moved to Watershed!
    900 N 34th Street, Suite 200
    Seattle, WA 98103

    206 344 5700 ext. 227


    www.weberthompson.com

    CONFIDENTIALITY NOTICE: This email message, including any attachments is for the sole use of the intended recipient(s) and may contain confidential, proprietary, and/or privileged information, as well as content subject to copyright and other intellectual property laws. If you are not the intended recipient, you may not disclose, use copy, or distribute this e-mail message or its attachments. If you believe you have received this e-mail message in error, please contact the sender by reply e-mail, immediately delete this e-mail and destroy any copies.

    Prior to use of this e-mail message or its attachments, the intended recipient agrees to the terms of use outlined on Weber Thompson PLLC's intellectual property link www.weberthompson.com. Any such use indicates recipients' acceptance of the above statements and conditions of permitted use without exception.

     






  • 6.  RE: Archiving and Document Retention Policy

    Posted 07-21-2021 10:28 AM
    James,
    One suggestion would be to also check with your insurance provider - our provider has specific requirements on what we archive and how, so in the event that information becomes needed/ required we meet the insurance requirements to keep our firm insured under the circumstances.

    ------------------------------
    Gary Lepore AIA
    Principal
    LDL Studio, Inc.
    Providence RI
    ------------------------------



  • 7.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 09:25 AM

    Gary-

    Thanks. I did reach out to our PL insurance carrier and broker for information on document retention.  My firm works in many states, with differing requirements, that makes it difficult to develop a process for archiving and retaining project materials.

     

    James A. Coan

     

    Sent from Mail for Windows 10

     






  • 8.  RE: Archiving and Document Retention Policy

    Posted 07-21-2021 11:12 AM

    Our attorney recommended keeping only what is impacted by your state's statute of limitations, and add 2 years for safety. In Ohio, the statute of limitations is 15 years so we only keep hard copies of projects dating back to 2004, and discard anything earlier after scanning what we want to keep for reference or posterity.

     

    Charissa W. Durst, AIA, LEED AP

    President

    Hardlines Design Company

    4608 Indianola Avenue

    Columbus, OH  43214

    Tel: (614) 784-8733

    Fax: (614) 784-9336

    mobile: (614) 906-3113

     

    P Please consider the environment before printing this e-mail

     






  • 9.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 09:20 AM

    Charissa-

    Thanks for your reply.  Do your have a process for reviewing what is archived on a yearly or anniversary basis?

     

    Sent from Mail for Windows 10

     






  • 10.  RE: Archiving and Document Retention Policy

    Posted 07-26-2021 03:25 PM
    My process was based on a review of the documents that were dated to be up for disposal.  For instance, if the list said to discard emails and telephone logs were to be trashed after the 7-year period of repose, but the reviewers determined that some might be useful for another purpose, they might keep all of the correspondence regarding a particular issue, such as the use of a material or system that later came into question.  I remember polypropylene water piping in the '80s causing an issue and I kept all of the technical material relating to that and for disputes that were not completed for several years.  Although not perfect, we at least had some idea of what to do with the bulk of the material.  In our list, we determined that basic drawings and specifications, change orders and as-built documents were never destroyed. Also, we never destroyed initial design sketches, mostly, I think for our own reminiscence, and we never destroyed photographs or awards just for marketing.

    ------------------------------
    James Brown AIA
    Principal
    QAE LLC
    Scottsdale AZ
    ------------------------------



  • 11.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 12:36 PM
    I appreciate the single minded drive that many have to purge old project files and avoid warehousing all that 'stuff.'

    I'd like to take a slightly contrarian view based on 2 (of many) experiences.

    In the 1990s, while working at a great multi-office national AEI firm, I lead a major renovation of a hospital the firm had designed and executed 25 years prior.  The hospital provided copies of their well maintained and marked-up record drawings. I asked our headquarters if they had any archived info from the original construction.  The firm's main offices included a huge basement, which they subdivided for their archives.  They owned the building, so the cost of archiving was minimal.

    Not only did they find the original mylar drawings for all trades (the plans were color pochéd and duct work, for example, shown to proper dimension with mounting heights annotated), they had bound specs printed on color papers per trade - not seen very often these days.  Then I received boxes of the original construction submittals which included many obscure products.

    This proved a god-send because part of the renovation required adding new windows to match the existing triple glazed operable sliding windows. None of us had ever seen such windows before and the manufacturer was unknown to us. Our archive had all the info including the product catalog and recommended details. To our surprise, the company existed, still made those windows, and could match the existing units. The new frames were available with two lines of thermal breaks and each line of glazing could be single or double glazed.

    There was a wealth of info about the existing construction that delighted the team and vastly facilitated the design work and construction.

    I suppose an historian of architectural technology would be thrilled to see this level of info. 

    My second example, from another firm, was different.  The firm decided to completely purge the old files - locked in steel shipping containers.  If any material was over 7 years old, it went into the dumpster - drawings, sketches, renderings, as well as specs, files, submittals, manuals, codes, etc. Only the contract and financial information was kept.

    Eighteen months later we were engaged to extensively renovate a hotel which the firm had designed and renovated many times starting in the 1950s.  The various owners had neglected to keep any drawings or documents for the sprawling facility, not even MEP or fire protection.  The discovery process for renovation design and construction was almost nightmarish. Sadly, I remembered seeing the documents for this hotel as they were tossed into the dumpster.

    There is no simple solution to archiving, but microfilming or scanning is a great option.
    Regards,
    Drake

    ------------------------------
    G. Drake Jacobs AIA
    Melrose MA
    ------------------------------



  • 12.  RE: Archiving and Document Retention Policy

    Posted 07-22-2021 04:23 PM
    I am now retired, but at my former firm (about 30 employees), and at some firms with which I later consulted, I made a list of the documents that are generated during the course of the work.  There are a lot, but as you know they fall into broad categories and each have many subcategories that are, or should be, familiar to all. If you don't have a written list, I can provide a starter.

    Next to each of the subcategories I indicated how long each item was to be kept and where it was to be kept.  This was based on either legal requirements, necessary marketing research or likelihood of requirements for future additions or changes.  One principal and an assistant reviewed the files every year or two to see what should be kept or discarded.  We had renovated a 1901 Hotel for our office that had a large basement (with a coal bin) where inactive files were stored, but any nearby warehouse or basement  would have worked just as well, as long as it was not too humid.  

    After about 20 years we donated the remaining design documents and models to the Public Library where they were stored and catalogued. Over time they started to microfilm them. We were able to take a gift tax deduction and were still able to access our own old documents, of course anyone else could also access them, and that is okay. 

    After we first did that, the library actively solicited documents from other architects and I assume they now have quite a nice collection of hand drawn and typewritten (mostly now on microfilm) and more recent computer documents that can provide a design record of the city for future generations. Electronic files are easier to store, but do not always include hand-written redlines, notes or sketches, and I have found that after a relatively short period are nearly impossible to resurrect as either the media (remember 8" floppy discs) or the file system (try to print out AutoCad 5) cannot be reproduced, but paper and film lasts a long time.  I think that in most cases old documents from defunct firms, or even active firms, are sent to the city dump, and that is a shame.

     

    James T. Brown, AIA, ASQ
    Principal, QAE Consultants
    10090 E Charter Oak Rd.
    Scottsdale, AZ 85260
    Cell: 602 663 1665
    Alt. Ph./Fax: 480 219 2583





  • 13.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 06:17 PM
    An architect friend, (now deceased) principal of a Texas firm (no longer in existence) related to me a disposition of the architect's spontaneous handling of document retention protocol.  His firm stored all their retained documents in a warehouse storage unit in an industrial area adjacent to an active rail yard.  On an occasion on the rail siding adjacent to the storage unit containing retained documents, there were stationed a number of rail tank cars containing anhydrous ammonia.  Under those rare and unintended conditions, unfortunately the ammonia exploded and sent the tank cars, the rail siding, the warehouse, the storage unit and the architect's retained documents across half Dallas County.  My friend said his lawyer said it was the luckiest thing that ever happened.  
    ...jus sayin!   

    John Nyfeler, FAIA
    Consulting Architect

    P. O. Box 4479
    Austin, Texas   78765-4479
    512.923.8623
    John@JohnNyfeler.com
    www.JohnNyfeler.com






  • 14.  RE: Archiving and Document Retention Policy

    Posted 07-23-2021 08:00 PM
    I have worked for two firms with a long service history: one is now 94 years old and the other is 123 years old. Both either kept their original construction documents or sent them to the Owner. The reason for both was originally out of respect to the Owner that paid for the effort and would benefit the most from possession of the original documents, but after domestic terrorism became more prevalent in the late 1990s, the idea of providing a tool for such atrocities made our decision easier to justify. We also made the decision to hold onto only our copies of the contract forever, something that has surprised a few claimants. Both firms would also either ship our copies of shop drawings to the Owner after 10-years or trash them if the Owner indicated in writing that they had no desire for the files. An interesting issue arises when a firm is acquired by another.

    Sent from my iPhone




  • 15.  RE: Archiving and Document Retention Policy

    Posted 07-26-2021 05:31 PM
    Edited by Nea M. Poole AIA 07-26-2021 05:32 PM

    All, As folks discuss "statute of limitations", which vary from state to state, bear in mind if the contract, architect's certificate, architect's consent etc. has the seemingly innocuous word "SEAL" by your signature, it is there for a reason. Contracts signed with the word "SEAL" have extended statue of limitations. For example in both Georgia and Pennsylvania this one little word extends the statute to 20 years!

    Shockingly this is something that not even all attorneys know. I had lawyer tell me "SEAL" indicated where you were supposed to sign!

    When I am dealing with private clients and their banks I have this removed from every document we need to sign. With some government documents you cannot do this. For business, consider this very seriously before signing anything.



    ------------------------------
    [ Nea May] [Poole] AIA
    [Principal]
    [Poole & Poole Architecture, LLC]
    [Midlothian, ] [Virginia]
    ------------------------------



  • 16.  RE: Archiving and Document Retention Policy

    Posted 07-28-2021 06:11 PM
    Hi Nea,
    This is a requirement I've never encountered before. 

    Can you provide any citations to where this requirement originates?  I'd like to read up on it.

    Thank you.
    Drake

    ------------------------------
    G. Drake Jacobs AIA
    Group One Partners, Inc.
    Melrose MA
    ------------------------------



  • 17.  RE: Archiving and Document Retention Policy

    Posted 07-28-2021 06:43 PM

    The notion that documents can be signed "under seal" originated with corporations which at one time actually sealed documents since the corporation itself was a legal fiction as opposed to a real person.  The seal indicated that the real person who signed was actually empowered to do so.  It is an antiquated concept and has largely been disavowed in almost all states, and even in those where it may remain there haven't been reported cases on that subject for a fairly long time.  Nevertheless it could become a problem in those states where it remains on the books.

     

    Unlike malpractice claims where the statute of limitations varies state to state the statute of limitations for breach of contract claims is uniform at 6 years from the date on which the conduct constituting the breach occurred.  The statute of repose does not apply since the accrual problems that arise in malpractice context don't in the contract context.  Notably insurance carriers generally do not offer breach of contract coverage but do extend coverage in breach of contract cases if the same case could be brought as a malpractice (tort based) case.  Likewise, in most cases the statute of limitations treats a case as a malpractice case even though it may be captioned as a breach of contract case – but not always.

     

    The real problem arises when we make compliance with the standard of care a contract clause.  There is no need to do that (although tie AIA documents consistently do) and it can create a problem as it arguably converts a malpractice claim - which is generally subject to a statute of limitations shorter than 6 years - into a breach of contract claim – which is subject to a longer statute of limitations.  Tort law will impose the standard of care irrespective of whether it appears in a contract, which renders those clauses unnecessary in the first instance anyway.  Their continued use serves only to complicate the question, and possibly to inadvertently extend the statute of limitations.

     

    It isn't an easy question and the distinction between the statute of limitations and the statute of repose is lost on most judges.  I always say that an architect must find an attorney who specializes in A/E malpractice claims familiar with the law in your state (not one of those "construction attorneys" . . . they are different entirely . . . and ones that claim A/E knowledge are far more common than ones who actually have it) get their advice, and take their advice  . . . all the more so when issues such as this arise



    ------------------------------
    Frederick Butters, Esq.
    Attorney at Law
    Frederick F. Butters, PLLC
    Southfield Michigan
    ------------------------------



  • 18.  RE: Archiving and Document Retention Policy

    Posted 08-26-2021 09:47 AM

    Thanks to all of you who replied with comments and suggestions. Our archiving process and document retention process until now has been like our attitude toward drawing storage, "Just buy more flat files." The only organized activity seems to be the flurry of action on our annual Clean Up Day when we bring in the dumpsters for trash and recycling.

    To establish a more comprehensive process to handle archiving, storage, and destruction of project materials and documents at the end of a project, I developed a matrix to guide our Project Managers in archiving project materials and documents.  It identifies the types of documents and materials that should be saved and how they should be saved, either paper or digital. My firm has a Shop Drawing Administrator/Archiving Czar who processes the materials identified for offsite storage. All other materials are to be scanned or stored on our network or cloud storage by the Project Manager. Samples and sample boards are offered to the Owner, if requested, or recycled, if not. A key aspect of this process is to establish what to do at the end of the Retention Period.  The date for this action varies depending on the state Statute of Repose. At this date the materials in storage are designated to be kept permanently or destroyed.
    I have also revised the archive form we use to identify the contents of a file box or roll of drawings. This label includes project information, the dates of Substantial Completion, Archive Date, Date of End of Retention Period (plus 1 year), and the name of whoever archived the materials. Space was left on the label for the archive center's use (barcode and box/roll number.)
    Based on the intentions of the Principals, it seems we are keeping more materials than many of the firms that I have heard from, whether it be for legal, project historical, future project reference, or legacy reasons.
    I am confident that implementing this system for the retention and destruction of project documents and materials will result in a more organized and timely method for processing these items, cataloging them for storage, and future retrieval of stored items. 
    The legal discussion about SEAL signatures and distinctions between Statutes of Limitations and Repose will take more time and research to appreciate more critically.
    Again, thanks for your comments.

    Jim Coan



    ------------------------------
    James Coan AIA
    Senior Director
    Centerbrook Architects and Planners
    Centerbrook CT
    ------------------------------