Chapter 4: Project Records and Closeout
Anchor: #CIHBGJEDSection 1: Importance of Accurate Records
Anchor: #b040001Overview
Complete and accurate records are important for proper administration of all contracts. Document all important information related to the performance of the work. Contract records are required for legal purposes and provide for the following:
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- facts and details of all tests, inspections and work performed, including activities, events, critical path work performed and cancelled, visitors, directions, disputes, conflicts and resolutions, correspondence, and any issues relating to the project; Anchor: #LFYPLKGD
- proof of and support for decisions, actions, and fulfillment of the Department's responsibilities; and Anchor: #NMVESFWS
- documentation of the contractor’s compliance or noncompliance, with the contract plans and specifications.
The Daily Work Report (DWR) is the Department's official record of what occurs on a construction project. DWRs are to include anything that has occurred on the project such as discussions, decisions (including the source), work performed, disputes, escalations and resolutions, weather, and visitors. Project meetings, correspondence (letters and email), and Change Orders (COs) should be either documented through DWR entries or flagged (test reports, COs, etc.) When making DWR entries, staff must also consider situations beyond the contractor's control and actions by TxDOT's project personnel that may have influenced the contractor's performance-either positively or negatively.
Maintain complete, clear, and accurate records that provide documentation of contractor delays, quantity variations, unacceptable work, quality of materials, surveying problems, and other points of contention. Complete documentation supports the Department's position in case a formal dispute or claim is made. (Reference Chapter 8 for more information regarding disputes and claims.)
Anchor: #b040003Electronic Records
Electronic collection and records retention must be acceptable from an engineering, audit, and legal standpoint; therefore, any records system should allow for the reconstruction of the chain of events that occurs on a contract. Meet the following requirements relating to electronic records.
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- Provide observed information daily. Anchor: #VDTVQBET
- Include information recorded at or near the time of the events, but no later than the third day after the event. Anchor: #TKMMJXLL
- Include information recorded by or from a person with direct knowledge of the event. Anchor: #LIPGYBEK
- Ensure only authorized personnel enter information. Anchor: #RGOYGHVU
- Provide adequate backup and recovery to protect against information loss due to either human error or system failure. Anchor: #SOCHBWCN
- Prevent unauthorized alteration or erasure. Anchor: #IFWUKPWU
- Do not maintain duplicate records. Anchor: #OSYCEMAP
- Provide authorized users retrieval capability. Anchor: #OYKQERSK
- Maintain adequate software programs and hardware dependency documentation (e.g., Primavera, ProjectWise, LCPtracker, SiteManager, Diversity Management System). Anchor: #GCFNPYMB
- Provide an accurate audit trail by indicating the steps followed in processing the data and the methods used to prevent loss of data. Anchor: #MNOIDBUK
- Store data on appropriate media.
Correspondence
Handle all correspondence according to approved District practices.
Only TxDOT personnel may use Department letterhead.
Anchor: #i1095748Project Record Reviews
District offices should document their project record reviews for project records compliance at 30%/60%/90% completion (based on project dollar values).