Following is a checklist of the types of records that should be made and kept throughout the phases of a commission.
1. Initial client-architect contact
A copy should be kept, or a record promptly made of the client's initial instructions. This record will assist in the establishment of the client brief for architectural services subsequently formalised as the client and architect agreement, and the brief for the building project, later formalised as the project brief. The information recorded should include any references to budget and program requirements, general expectations and goals for the building and professional services.
2. Tender applications
It is essential to keep copies of all documents lodged for application or tendering purposes.
Where litigation arises on a project, especially in the environmental-law area, it may be necessary to produce copies of the drawings lodged with applications. If copies are not kept on file, it may be necessary to reconstitute the drawings – an expensive and potentially inaccurate process.
When making any formal application or invitation to tender, make and keep a copy of the complete documentation set at that time.
3. Client's project brief
The client's brief for the project may be represented by a sequence of letters, a collection of notes made by the architect or preferably a formal document.
Consideration should be given to including the brief as part of the client and architect agreement.
4. Client and architect agreement
At the earliest opportunity an agreement should be made between the architect and the client via exchange of letters or preferably a client-architect agreement.
If an alternative form of agreement is used, there should be at least a written record of the scope of services, fees and each party's responsibilities.
The agreement should show the roles, rights of the parties, the services and cost of the services. Adequate documentation will avoid later fee or service disputes, or help resolve them if they occur.
5. Studies and reports
Reports of studies and investigations forming part of the commission need to be effectively established and properly maintained. Informal studies, calculations, trials, surveys, investigations and other research activities which are performed by the architect as part of the principal services should also be recorded and stored for later reference.
Records and photographic evidence of existing conditions and surveys should be kept.
6. Schematic and developed design drawings approved by client
Copies of drawings including perspectives, diagrams etc. submitted to the client for approval should be filed, along with any documents which are subsequently endorsed by the client.
7. Final working drawings and specification approved by the client
Copies of all drawings and the specification submitted to the client for approval should be kept on record. Documents endorsed by the client should also be kept on file.
8. Documents approved by authorities
A record of transactions with authorities including completed applications and other official forms, receipts, correspondence, notes, telephone conversations and drawings should be maintained, and the approved and endorsed documents filed, or where they are forwarded to the client, copies of them filed.
9. Transactions with tenderers, consultants, nominated suppliers and subcontractors
A copy of all documentary transactions including correspondence, records of telephone conversations, notes and drawings submitted to and received from consultants, and prospective and successful tenderers, separate contractors and proposed specialist subcontractors and suppliers should be maintained. Samples and prototypes, and representative drawings and trade data should also be kept in the project file.
10. Copy of agreement between owner and contractor
A copy of the agreement, properly signed by the owner and contractor should be filed.
11. Contract administration records
Instructions, notices, certificates and other forms such as statements and requests for information, issued between the contractor, the architect and the owner should be filed.
Where instructions are given orally, for example on site, they should be confirmed at the time, if possible, by the use of a duplicate note pad. The original can be given to the person being instructed, and the copy maintained as part of the project record.
If this is not possible, oral instructions should be confirmed in writing as soon as possible. Copies of instructions should always be given to the client as confirmation of instructions given.
Any new development (ground conditions, changes in regulations, etc.) that will have repercussions on time and cost should be communicated promptly to all parties, and confirmation that your letter/fax/email has been received should be obtained. Record all telephone conversations, including the date and time of call, name of person spoken to, directions given, information obtained and decisions reached. Make a similar written record of meetings, conferences or conversations and circulate them as confirmation.
12. Site visits
Record all visits to the site. There should be at least a written record of:
- date and time of visit
- site conditions
- work in progress
- what you inspected
13. Minutes of meetings
The size of the architect's practice and the size of the project will determine the type and frequency of meetings. Minutes should be taken at meetings, including those held on site, and any decisions made at meetings with the client and/or the contractor should be confirmed in writing.
14. Progress photographs and videos
Photographs of the project prior to and during construction are invaluable records. Cameras that automatically date the image are ideal to maintain a correct sequence of photographs. Care should be taken to store image files safely, so they can be retrieved for later. Prints should be filed with job records.
Videos can also be a useful aid for recording construction in progress and site visits.
15. Time records
Time records can provide evidence as to what work was done on a project at a particular stage.
Time records should provide the job name and number, the stage of the project the architect was working on and a brief description of the work. Such detail is essential when substantiating fees for additional work.
16. Correspondence
The correspondence file for a project is the key to the architect's defence against claims. There are many ways correspondence files can be set up, ranging from one file for all correspondence (including instructions, progress certificates etc) to specific files for each type of document. The NATSPEC classification system can provide advice on establishing a comprehensive filing system.
Whatever the system used, the essence of a correspondence file is as a record of decisions taken during the project, arranged to make retrieving information easy.
Correspondence should be kept in chronological order and letters photocopied after signing as evidence that an authorised person signed them. Certified mail receipts and receipt acknowledgment cards should be kept in the file.
A mail book should be kept for items sent by post and transmittal notes for other means of sending documents, instructions, details, certificates, reports to the client etc.
17. Diary
Maintenance of a daily personal, office or project diary can be a useful cross-reference with other records.
18. Email
Email pertaining to a project should be saved and stored with other project correspondence. Printing email out, rather than electronic storage, may facilitate easier access.
19. Documentary paraphernalia
Scribbled notes and other jottings, calculations, rough sketches, drawings and documents not actually submitted to the client or authorities for approval, but created in progressing to the drawings and other documents subsequently submitted for approval, should be kept on file.
20. Accounting records
Accounting records are an indispensable part of project records and duplicates should be maintained in the project file as well as other office accounting files as an aid in project accounts management.
21. Research
Details of research and enquiries made during the initial design or during the construction of the project can be critical to proving that reasonable care has been exercised, particularly with state-of-the-art projects. It might also establish who else is responsible if the architect has relied on information provided by others.
Retain notes made when examining relevant codes, ordinances etc., including any clarification sought by telephone, and the name of the person to whom the enquiry was made.
22. Poor or non-performance
Put in writing any non-performance in program or workmanship you observe and state where deficiencies have occurred and what they are. If a plaintiff can't find evidence of a design error, they will contend that you failed to enforce compliance with the design. All recommendations you make to the client should be written, and a written response should always be obtained.
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