1.7 Project File of Record
For all TxDOT projects, Districts should maintain a complete and orderly project File of Record. An audit trail must be maintained in the event of a legal challenge or audits by state or federal auditors. Documents must support decision making for the plans, methods, and procedures used to meet the mission, goals, and objectives of the project.
Each District and Division is required to develop a file plan, annually certify that the file plan is current and accurate and furnish a copy of the file plan to TxDOT Records Management. Refer to TxDOT’s
Records Management Manual
for more information.The file must provide guidance to identify where electronic files are maintained. Project emails, voicemails, and desktop or portable device files must be retained according to TxDOT policy. Files must be complete, accurate, consistent, and held for the life of the project then archived for a retention period according to TxDOT’s Records Retention Schedule.
All project records should be kept in ProjectWise using the recommended file directory.
Types of files that must be included in the Project of Record file in accordance with TxDOT’s Record Retention Schedule include but are not limited to:
- Planning documents:
- Corridor/route/feasibility studies; and
- Other planning studies.
- Programming documents:
- DSR;
- Consultant services contract;
- Approved Minute Orders;
- Financial Management Information System (FMIS) project agreement/modifications; and
- Documentation from earlier phases that supports construction cost estimates.
- Preliminary Engineering documents:
- Invoices and billing support documents (travel, timesheets, etc.);
- Design exceptions/waivers/variations/deviations and approvals;
- Approved geometric schematic;
- Public Meeting/Hearing Summary;
- Environmental Stage Gate Checklists;
- Interstate Access Justification Reports (IAJR) and approval;
- Local access requests, Frontage Road Briefing Documents, and DES approval for retaining 2-way frontage roads;
- Value Engineering (VE) Analysis and VE Report;
- Design decision documentation;
- Project agreements between TxDOT and local or federal agencies including funding agreements and documentation; and
- Documentation from earlier phases that supports construction cost estimates.
- Final Design documents:
- Environmental Stage Gate Checklists;
- Utility agreements;
- Preliminary/Final Plans, Specifications, and Estimate (PS&E), all design files and studies, and supporting documents; and
- Documentation from earlier phases that supports construction cost estimates.
- Construction documents:
- Revisions/change orders;
- Material certifications;
- Final inspection and acceptance report;
- As-built certification of ADA facilities by TxDOT certified inspector (if applicable);
- Texas Department of Licensing and Registration (TDLR) report (if applicable)
- Audits (may occur after project close);
- Documentation of litigation or claims;
- Verify completion/status of environmental commitments; and
- Warranty documentation.
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