Project Record Reviews/Audits

All project records are required to be reviewed to verify project compliance with federal regulations (as applicable) and performance of work according to plans and specifications. Audits will be performed by the District Construction Office and based on a set schedule. The project record keeper and project auditor are required to be two different people. Initial audit will be performed 6 months from when time starts, annually and a Final Closeout Audit. Audits are to be completed using the
Project Audit template
found on the Recordkeeper Development Program page. Construction Division will monitor to ensure project audits are completed as required and notify the Districts of any issues identified.
Basic Project Compliance Categories and Required Acceptance Standards
Below is a list of some of the items that the AO should review during the life of the project:
  • Contractor Bulletin Board –
    • Accessible, readable, postings in accordance with current federal requirements
  • Traffic Control Plan (TCP)/Barricades –
    • Set up according to project TCP, Barricades and Construction (BC), and Work Zone (WZ) standard sheets.
    • Signs & barricades in compliance with current Compliant Work Zone Traffic Control Device (CWZTCD) list
    • Clean, plumb, none to slight damage, good reflectivity, command attention
  • Construction Items –
    • Contractor’s work is in compliance with plans and specifications and good quality.
  • Inspections –
    • Quantity of inspection staff is adequate for work underway.
    • Inspectors are knowledgeable of the applicable plans and specification requirements for the work being observed.
    • Testing equipment and inspection staff certifications and testing proficiencies are up to date.
    • Adequate testing is occurring to ensure compliance with the Quality Assurance Program (QAP) and Guide Schedule requirements and quality of the work.
  • Materials –
    • All materials incorporated into the project are from qualified manufacturers/producers listed on the appropriate Material Producer List (MPL)
    • Inspectors ensure materials delivered to the project are manufactured according to the relevant plans and specifications requirements and are free of defects and damage.
    • Adequate supporting documentation is available to provide assurance of Buy America compliance for all predominantly steel or iron products.
  • Progress –
    • Monthly schedule updates are being sent by the contractor.
    • Work activities observed are according to current 2-3 week look-ahead schedule.
    • Overall progress is on or ahead of the approved project schedule.
    • If work is behind schedule, the AO has requested the contractor submit a make-up schedule that shows how the contractor will complete the work within the contract time.
  • Storm Water Pollution Prevention Plan (SW3P) coordinate with DEQC –
    • Copies of required certifications and letters are in the project files.
    • Notice of Intent (NOI), if required, is available in the SWP3 binder and the appropriate construction site notice is posted.
    • Stage-Gate Checklist is completed, and deficiencies corrected.
    • SWP3 log is up to date.
    • Reports are complete.
    • Noted deficiencies show correction date.
    • No missing reports.
    • Installed Best Management Practices (BMPs) are emplaced correctly and noted on SWP3 sheets with installation/removal dates.
  • DBE (coordinate with district DBE coordinator) –
    • Required DBE reporting and Prompt Payment reports are up to date.
  • Labor Compliance –
    • Labor Interviews are completed, and payrolls are reviewed.
    • Commercially Useful Functions (CUFs) are performed.
  • DCO Audits –
    • Ensure applicable audit documentation is in the project files.
    • Coordinate with AO record keeper and DCO auditors.