CONSTRUCTION CONTRACT RECORD KEEPING REVIEW … · CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST MURK 40 ... Regional Transportation Mgmt Center Welder Certifications on File

CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST

MURK 40 (03/17) Page 1 of 8

Job Stamp

(Contract #, PIN, Description, Rte #, County, Contractor) Review Date Review # EIC / Project Manager

Office Engineer/RE

Area Supervisor

Reviewer

Region

% Complete

YES

NO

N/A

ISSU

E

FIELD OFFICE YES

NO

N/A

ISSU

E

Project Contact Phone #s Posted at Entrance & Accessible to the Public when FO is Closed

Custom Templates Completed as per QRG #32 (Project Info/Emergency Contacts)

FO Sign Posted & Clearly Visible to the Public Files in Fire Resistant Filing Cabinets

If FO is Off‐site, On‐Site Sign w/ FO Address Files Kept Together, Organized, in Good Condition & Readily Accessible

FO Bulletin Board Completed, Up to Date, & Record of Inspection on File

Filing System Easy to Follow & Use

Contractor’s Bulletin Board Inspected & Record of Inspection on File

Key Contract Data Backed Up Regularly to an Off‐Site Place as per Regional Policy

List of State/CSMIN/Personal Property in FO Given to Contractor for Insurance

Notes:

YES

NO

N/A

ISSU

E

SAFETY & HEALTH YES

NO

N/A

ISSU

E

Accepted S&H Plan on File Record of Periodic Nighttime WZTC Reviews

S&H Plan Acceptance Letter Sent Safety Data Sheets (SDS) on File, Current, & Readily Accessible

Subs Provide S&H Plan or HC108 Form (& Compiled w/ Prime's S&H Plan)

Record of Requests for Missing SDS

Asbestos Abatement Records on File OSHA Worker Safety Training Cards on File for All Workers & Sorted by Firm

Lead Control Plan on File Record of Verification of OSHA Cards

Contractor Tailgate Safety Mtgs Held Frequently (as per contractor’s S&H Plan)

Record of Requests for Missing OSHA Cards

Contractor Tailgate Safety Mtg Signature Sheets on File

Flagger Certifications on File

Record of Regular DOT Safety Meetings (Form SAF‐14 or Equivalent)

Crane Operator Licenses on File

Appropriate Notifications Sent to Permits & Regional Transportation Mgmt Center

Welder Certifications on File

Record of Regular Daytime WZTC Reviews

Notes:


MURK 40 (03/17) Page 2 of 8

YES

NO

N/A

ISSU

E

SCHEDULE YES

NO

N/A

ISSU

E

Current Record of Dept. & Contractor Delay Days

Record of Requests to Contractor for Late Schedule Updates

Daily/Weekly Work Plan Consistently Provided & in Advance (to Assign Staff)

Timely Updates Provided for Significant Changes/New Construction Season

Baseline Schedule Provided within 10 Days of Award & Timely Revision Submittals

CPM Schedule Required?

Accepted Schedule in Place within 40 Days of Award (w/ comments OK)

Monthly CPM Updates Provided Timely

Schedule Review/Comments Provided Timely Payments Made in Accordance with the CPM Specification Basis of Payment

Schedule Acceptance Letter Sent & on File

Notes:

YES

NO

N/A

ISSU

E

LOGS & REVIEWS YES

NO

N/A

ISSU

E

Key Correspondence Logged & Up to Date Shop Drawings Logged & Up to Date

Accident File Being Maintained Timely Shop Drawings Processed Timely

Log of Subcontractor Approvals Up to Date Demolition Plans Processed Timely

No Subs Allowed to Work Prior to Approval Lifting Plans Processed Timely

All Insurance Policies Up to Date Erection Plans Processed Timely

Office Tech Supply Item Log Up to Date Copies of Submittals Sent to Regional Office as per Regional Policy

Notes:

YES

NO

N/A

ISSU

E

DIARY YES

NO

N/A

ISSU

E

Timely Diary Entries Important Phone Calls Noted & Described

Pertinent Events & Info Recorded Timely During Shut Down Periods

Official Visitors Logged

Start Up & Shut Down Dates Entered in Custom Templates

Entries of/References to Key Contract Correspondence

Notes in Appropriate Remarks Type Directions/Orders to Contractor Noted

Detailed WZTC Information Contractor's & Subcontractors' 1st Day of Work Clearly Noted

Detailed General Narrative Date & Location of Initial Entry onto ROW for Temp. Easement/Occupancy Noted

Start & End of Significant Operations Noted Important Details are Made Prominent (Use Caps, Symbols, Spacing, etc.)

Supporting Documentation Attached or Reference Provided to File Location

Weather Information Recorded for Weather Sensitive Operations

Contractor's Work Hours Documented Inspectors & Assignments Identified Daily Notes:


MURK 40 (03/17) Page 3 of 8

YES

NO

N/A

ISSU

E

DAILY WORK REPORTS YES

NO

N/A

ISSU

E

Timely DWR Submissions Other Remarks

Timely DWR Approvals Prime's & Subs' Work Hours Documented

Easy to Follow Audit Trail for Entry Revisions/Corrections/Additions

Materials Received, Item & Quantity Noted in DWR / LIMS

Notes in Appropriate Remark Type Labor & Equipment Recorded

Supporting Documentation/Sketches are Attached/Referenced

Appropriate Equipment Details Added in 'Remarks' Under the ‘Contractor’s Equip.’ Tab

Supporting Photos Attached/Referenced Contractor's Start of Entry for Each Site Clearly Recorded

Proper Templates or MURK Forms Used & Attached for Specialized Work

Pay Quantities

Work Zone Traffic Control Remarks Pay Items Recorded Under ‘Work Items’ Tab

Detailed Set Up & Location Notes 'Remarks' Field Under ‘Work Items’ Tab Used to Provide Additional Detail

Personal Protection & Equip. Safety Appurtenances Noted Regularly

Appropriate Pay Item Templates Used

Reference to Appropriate Phasing, Plan Sheet/Detail, Std Sheet, and/or MUTCD

Correct Use of Progress Payments

WZTC Checklist Used (optional) Measurements Correctly Identified as ‘Interim’ or ‘Final’ on the ‘Work Items’ Tab

General Remarks Correct Sub Assigned to Pay Items

Identify Who Performed Work (Prime/Sub) Hot Mix Asphalt

Identify Work Site Location MURK 4 Attached or Template Used for HMA Production Paving Work

Weather Recorded Daily for Each Site Delivery Tickets Collected & on File

Daily Operations Noted Item #, Temperature, & Inspector’s Full Name on Delivery Tickets

Observations of Non‐Standard Operations & Discussions with Contractor Noted

Plant Reports Received & Attached to Corresponding Delivery Tickets

Tests & Measurements Noted Plant Reports (BR 343) Signed by NYSDOT

Identify Any Field Measurements Taken as ‘(Field Measured)’ or ‘(FM)’

Total # of Delivery Tickets Recorded

Related Requirements & References Noted Waste/Rejected Material Documented

‘No Payment At This Time’ (NPATT) Stated When Appropriate

Mix / Type Code Recorded

Correct Categories (Fiscal Shares) Used Proper Sampling & Testing for HMA Series Performed & Recorded (Cores, Density)

Pay Calculations Shown & Supported Test Strips Properly Recorded & Paid

Record of Pay Calculations Being Checked, Including Attachments (Initials are OK)

Yield Checks Performed

Subs' 1st Day of Work Clearly Noted Plant QAF Properly Calculated & Reported on DWR

Material Manufacturer's Info Listed Compaction QAF Properly Calculated & Reported on DWR

Material Acceptance Done At Least Once for Each Nuclear Density Gauge Operator


MURK 40 (03/17) Page 4 of 8

YES

NO

N/A

ISSU

E

DAILY WORK REPORTS (cont.) YES

NO

N/A

ISSU

E

Concrete

MURK 3 Attached or Template Used for Concrete Pavement Work

Total # of Delivery Tickets Recorded

MURK 5 Attached or Template Used for Structural Concrete Work

Material Usage Recorded

Delivery Tickets Collected Waste/Rejected Material Documented

Item #, Placement Location, Inspector’s Full Name & Test Results on Delivery Ticket

Truck / Mixing Information Recorded

Plant Reports Received & Attached to Corresponding Delivery Tickets

Concrete Field Testing, Results & Cylinders Recorded

Notes:

YES

NO

N/A

ISSU

E

LABOR YES

NO

N/A

ISSU

E

Training Requirements (#, GFE, Program, Hours & Payments) Managed as per Spec

Wage Rate Interviews

Certified Payrolls Adequate Total # of Prime Interviews (30%±)

Prime Payroll Rates & Hours Checked Adequate Total # of Subs Interviews (30%±)

Subs Payroll Rates & Hours Checked Adequate # of Interviews Conducted Under Current Year Rate Schedule (7/1 to 6/30)

Only Last 4 Digits of Social Security #s, Race & Gender Shown

Interviews Conducted Across Various Labor Classifications

Checkmarks Next to Verified Rates & Discrepancies Noted on Payroll Reports

Verification Section (Part II) of Wage Rate Interview Forms (MURK 10) Completed

Payroll Records Organized (Separate Folders for Each Sub)

Payroll Audit Reviewed in EBO Notes:

YES

NO

N/A

ISSU

E

CIVIL RIGHTS YES

NO

N/A

ISSU

E

Prime Entering Complete & Accurate EEO Data in EBO Timely

Good Faith Efforts Continually Documented If Goal Not Met At Pre‐Award

Subs Entering Complete & Accurate EEO Data in EBO Timely

Record of Requests for Missing Good Faith Effort Documentation

Review of the Monthly Utilization (EEO) Report (EBO) Recorded

DBE Subcontractors' Commercially Useful Function (CUF) Documented in Diary / DWR

Review of Contract Goal (D/M/WBE) Analysis Report (EBO) Recorded

Signed DBE Self‐Certification Forms On File

Notes:


MURK 40 (03/17) Page 5 of 8

YES

NO

N/A

ISSU

E

MATERIALS YES

NO

N/A

ISSU

E

Material Acceptance Item Files/Binder Established & Clearly Organized & Labeled

Tracking IAST Performed/Required for all Testers & Current Status Report on File

Material Acceptance Documents on File Soil Compaction Test Results Recorded

Item #, Quantity, Inspector Full Name, Date on Mat'l Acceptance Documents

Testers have Current Soil Compaction Testing Qualifications

Approved List Verification in Item File Testers have Current Concrete Testing Qualifications

Sample Testing/Certification Data Properly Inputted

Concrete Cylinder Break Log Up to Date

Approved List & Visual Acceptance Properly Inputted

Structural Concrete Placement Log Up to Date

'Not Needing Certification' Correctly Identified/Used

Notes:

YES

NO

N/A

ISSU

E

ENVIRONMENTAL YES

NO

N/A

ISSU

E

Hazardous Waste Manifests on File SPDES Inspection Reports (MURK 6) Logged (1/wk, 2/wk > 5 acres, 1/mo Shutdown)

Is this a GreenLITES Certified job? SPDES Reviews by Certified Person

GreenLITES Scorecard on File & Changes Documented

SPDES Inspection Photos Taken

SPDES Permit Certification (CONR 5) Signed & on File for Prime & All Subs

HC 210 (Inspect. Freq. Reduction Notice) to DEC & on File for Temp. Shutdowns

Notes:

YES

NO

N/A

ISSU

E

PAYMENTS YES

NO

N/A

ISSU

E

Estimates Processed Timely Notes Made for Any Missing Receipt of Payment Entries by Subs (EBO)

Any Withheld Payments? If Yes, Note Reason Below

Record of Requests for Missing Receipt of Payment Entries (EBO)

CONR 22 Report on File & Current Fuel Price Adj. Current

Estimate/Quantities Paid (CONR 22) Provided to the Contractor for Each Estimate Period

Asphalt Price Adj. Current

Overruns & Missing Material Acceptances Reviewed

Contractor Elected to Identify Items for Steel Price Adjustment (within 30 Days of Award)?

WZTC % Payment Report Up to Date & Attached to DWR

Steel Price Adj. Current

Payment Processed Timely for Mobilization Has the Contractor Requested Payment for Stockpiled Materials?

Regular Review of Prompt Payment Rpt (EBO) & Significant Late Payments Recorded

Payments Processed Properly for Stockpiled Materials

Notes:


MURK 40 (03/17) Page 6 of 8

YES

NO

N/A

ISSU

E

CHANGE ORDERS YES

NO

N/A

ISSU

E

Have Changes Increased the Contract Value by 5% or More

Is There Agreed Price Work?

Change Orders Submitted Timely Cost Analysis Worksheets Completed & on File for Agreed Prices

Field Change Payment (FCP) Being Utilized Appropriately

Is There Force Account Work (FAW)?

SiteManager Override Used Appropriately Force Account Records (MURK 11) on File & Reviewed/Signed

Time Extensions Submitted Timely FAW Payments Based on Submitted Records Only

VECP Procedures Properly Followed Standard 15% FAW Labor Markup Used

At/Over Threshold Notification Sent to Contractor & on File

Was a FAW Estimate Processed?

Authorization of Extra Work (CONR 104) Initiated Timely (In Advance of Work)

FAW Estimate Only Paid Up to Max. of 90%

CONR 104 Signed by Supervisor & RCE Final FAW Change Order Processed to Reconcile FAW Estimate

Overruns Addressed Timely Notes:

YES

NO

N/A

ISSU

E

MISCELLANEOUS YES

NO

N/A

ISSU

E

As‐Built Revisions on File Correct Forms Used for Releases

PE Approval on File for Significant Design Changes

ROW Agreements Executed/Not Pending

Job Stamp/Contract Info on Records HC 114 Submitted & on File for Initial Entry onto ROW for Temp. Easement/Occupancy

Initial Site Condition Photos Taken Utilities / Railroad

Photos Taken of Areas of Potential Concern/Interest/Discussion

Utility Agreements Executed/Not Pending

Photos Documented & Organized Record of Tracking the Utility Agreements

Photos are Remotely Accessible (as per Regional Policy)

Utility Delay File Up to Date

Real Estate Rail Agreements Executed/Not Pending

Necessary Releases on File (ROW, Driveway, Walkway, Planting, Grade/Turf, Util. Lateral)

Record of Tracking the Rail Agreements

Notes:


MURK 40 (03/17) Page 7 of 8

ADDITIONAL NOTES:


MURK 40 (03/17) Page 8 of 8

SIGNATURES Report Prepared By: Date: Optional Reviews/Signatures: Secondary Review By: Date:

Management Review By: Date:

Received By: Date:

Checklist Notes: 1. A box around ‘Yes’ and ‘No’ indicates it is an item for which a ‘No’ entry does not necessarily imply a direct concern with the NYSDOT

field office record keeping efforts. 2. Check ‘Yes’ if the overall status is acceptable. If there are minor concerns, they should be noted. 3. Check both ‘Yes’ and ‘No’ if the overall status is between acceptable and unsatisfactory. 4. Check ‘No’ if the overall status is unsatisfactory. ‘No’ should not be used to identify an item/event that has not yet occurred and which

is still within an acceptable timeframe (use ‘N/A’ for this situation). 5. Check ‘N/A’ if the item is not applicable to the contract or not applicable at the time of the review (e.g., There will be crane work next

year but there are no crane licenses currently on file). 4. Check ‘Issue’ if action is required to improve the contract record keeping. ‘Issue’ can be checked even if ‘Yes’ is checked. 5. Under ‘Additional Notes’, to note improvements since the last review, precede the note with an asterisk (*); conversely if there have

been inadequate improvements since the last review, precede the note with a double asterisk (**). 7. In general, when ‘on File’ is stated it indicates a paper copy requirement; ‘Recorded’ or ‘Record of’ indicates it can be a paper or

electronic copy.