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 ISSUE FIELD OFFICE YES NO N/A ISSUE 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 ISSUE SAFETY & HEALTH YES NO N/A ISSUE 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 :
8
Embed
CONSTRUCTION CONTRACT RECORD KEEPING REVIEW … · CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST MURK 40 ... Regional Transportation Mgmt Center Welder Certifications on File
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
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:
CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST
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:
CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST
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
CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST
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:
CONSTRUCTION CONTRACT RECORD KEEPING REVIEW CHECKLIST
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
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