Audit

4.0 CONSTRUCTION OPERATIONS
4.2 Construction Start-Up
4.2.1 Organization & Management

Kick off meeting conducted?

Project phone numbers are posted and visible?

4.2.2 Field Offices & Facilities

Site Layout reviewed prior to placement for conflicts with project construction?

Office Trailer clearly marked with signage indicating company name?

General housekeeping (Inside Office Trailer) - Work area is orderly and clean?

Office equipped with necessary equipment? (phones, printers, copiers, fire extinguishers, first aid kits, etc)

Health and Safety Plan (HASP) is printed and filed in the site binder and signed off?

Emergency numbers and addresses are readily accessible, and site personnel can locate information quickly?

OSHA, Permits, Federal and State posters are present and visible?

Project contact lists clearly posted and available?

Site security requirements identified & in compliance?

4.2.3 Contract Files

Safety documentation (inspections, reports, orientation, tailboards)

Reports (daily, weekly, monthly)

Correspondence (Owner, Contractor, Engineer, Agency, etc.)

Permits (Environmental, Development)

Construction Plans (Safety, QA/QC, Execution)

Billing (SOV, Applications for Payment & Back up)

Change Orders (CO's, Log & Back up)

RFI's (RFI's, Log & Back Up)

Submittals/Transmittals (Submittals/Transmittals, Log & Back up)

Schedules (Contract, Working & Short Term)

QA/QC (Inspections, Test Reports, NCR's

Meeting Minutes (Progress, Schedule, Etc)

IFC Documents (Specifications, drawings & plans)

Materials (IFC BOM, Receipts, Inspections & deficiency reports)

Contact information

4.2.4 Drawings & Specifications

All applicable specifications & drawings obtained from PM?

Corrections/clarifications issued as part of contract obtained from PM?

Copies of all correspondence, plans & specifications associated with bidding process obtained from PM?

Only drawings & specifications labeled "ISSUED FOR CONSTRUCTION" are being used?

Appropriate quantities of drawings & specifications distributed to contractor?

A single set of working drawings is being used, are organized and controlled, and all highlighting and drawing markups conform to requirements, with all drawing highlighting and markups are up to date?

Plan sets updated with latest revision of drawings?

Contractor instructed on proper methods of marking changes on the drawings?

Procedure set up for periodically reviewing as built mark ups?

4.2.5 Testing Services

Has contractor submitted for approval, the names and qualifications of testing agencies to be utilized?

Have material testing requirements been coordinated with contractor and testing agency?

Requirements for off site testing and inspections have been established?

Test reports are being submitted to CM within 24 hrs for review?

Test data records are maintained in the project files?

Test data that does not meet requirements have been replaced, redone or corrected?

4.2.6 Permits

Checklist of required permits, status of said permits, who is responsible for obtaining created?

Permit checklist presented and discussed with contractor at start of project, so that Contractor responsibilities are clearly identified?

Verification that permits have been obtained prior to start of construction?

4.2.7 Subcontractors

CM is aware of construction contract requirements related to subcontracting?

Subcontractors involved in planning, scheduling, problem resolution, implementation of changes (when applicable & allowed by General Contractor)

Contractor is aware of and involved in any & all discussions, correspondence, or other interaction between CM & Subcontractor?

4.3 Safety
4.3.1 Safety Plans & Tailboards

CM has obtained submittals of Project Specific Safety Plans from Contractors prior to start of on-site work?

CM has reviewed the safety plans for completeness/compliance?

4.3.2 Monitoring Compliance

Any major safety violations, unsafe practices, or hazardous conditions have been noted, and Contractor supervisor informed?

CM has immediately advised Contractor of any corrective actions that need to be taken?

4.3.3 Project Access and Site Control

Project specific requirements for Project Access and Site Control identified in construction contract and/or customer operational policy/procedures?

CM familiar with Project specific Access & Site Control requirements?

Communicate with Site Control persons (if not CM) to ensure coordination of deliveries, visitors, etc.

Proper signage in place (Visitors must report, Authorized Personnel Only, etc)

All visitors completed site safety orientation (if required)?

All visitors aware of PPE requirements?

All visitors have reviewed and signed the days tailboard?

Visitor/log in sheet maintained?

4.3.4 Incident Reporting

Same day reporting of any injury, inadvertent trips, equipment damage, etc has been filed and sent to Department Manager for review?

Proper report forms are being used when reporting incidents? (client specific vs. TRC internal report form)

TRC Safety Coordinator has been notified of any personal injury as soon as situation allows?

Contractor has submitted copies of their accident reports and investigations within 24 hours of incident?

CM has reviewed the accident reports with the contractor to determine if action is required (i.e. amend Contractor Safety Plan)?

Immediate notification to PM, Dept. Manager, and Safety Coordinator of any recordable or lost time incident?

Client immediately notified (by PM) of accidents or injuries?

4.4 Environmental

General housekeeping (Outside) - Work area is orderly and clean?

Daily monitoring to insure that Contractor is complying with environmental requirements called for in the contract documents?

Assist 3rd party inspectors, provide information regarding any potential compliance issues

Required notifications made when event has occurred?

Plan to correct conditions resulting from/caused by event have been reviewed by all pertinent parties?

4.4.1 Environmental Contamination

If suspected hazardous materials have been encountered, CM has notified the PM, stopped work, and secured the area for testing?

Only suitably trained personnel are used for hazardous waste remediation work?

4.5 Communication & Reporting

Clearly defined system for control of communication and adequate documentation system for recording communications has been established?

Document records of communications are accurate, clear, concise?

4.5.1 Correspondence

Incoming correspondences have been read, prioritized, distributed, acted upon, & filed?

Incoming correspondences have been distributed to others that need to be informed of content?

CM & PM have been copied on all correspondences?

Important telephone conversations have been recorded through either meeting minutes or follow up email to all present?

All emails adhere to company policies for content?

Important email correspondence has been copied to the project file through the power delivery e-filing procedure?

4.5.2 Daily Construction Reports

Daily construction reports are being completed (on standard daily report form)?

4.5.3 Weekly Reports

A weekly construction report is being compiled and sent to PM?

4.5.4 Meetings

CM chairs meetings?

Meeting minutes are being generated and distributed?

Action Items clearly described so all parties understand who is responsible/date each to be completed?

Weekly progress meetings conducted?

Standard meeting agenda followed?

4.6 Document Control
4.6.1 Construction Drawing Distribution

Field office and Contractor have received sufficient copies of contract drawings & specifications, including all addenda issued prior to contract?

Revisions to plans and specifications issued to the Contractor are accompanied with a transmittal?

Transmittals have been reviewed to verify correct quantities of plans and specifications have been sent to correct parties?

Transmittal distribution is coordinated with PM, so both CM & PM are aware of drawing & document distribution status?

4.6.2 Shop Drawings, Working Drawings, Sample Submittals

List/log of required submittals has been reviewed for completeness and omissions?

Any changes to submittal log have been transmitted to the contractor for review and confirmation the log is inclusive of all contract required submittals?

Contractors construction schedule includes prioritized scheduled time for submittal submission?

Submittal log is being maintained?

Contractor has been informed of the submittal submission and review procedure?

Is there a means of communication with the Contractor to identify the status of submittals being reviewed?

No work being completed without approved submittals?

Copies of approved submittals available in field office contract files?

All CM approved submittals sent to Engineer of Record for filing?

4.6.3 Requests for Information

Contractor RFI's are submitted using form provided by CM?

CM has forwarded all responses (along with any other drawings or instructions) to Contractor?

RFI log is up to date?

RFI's are being completed in a timely manner as to not delay construction?

4.6.4 As Built Record Drawings

Both CM & Contractor each have one set of Record drawings set aside for as built mark ups?

As built mark ups are correct & depict all necessary information?

All documents associated with the change have been edited?

4.6.5 Field Change Notice

Notices are completed at the time of the change?

Notices are forwarded to Engineer of Record for review?

4.7 Quality Assurance and Quality Control
4.7.1 Responsibilities

CM has ensured the Contractor has necessary QA/QC activities in place so that the quality requirement of contract is met?

CM has reviewed & approved of Contractors' QA/QC agency?

When responsible for QA/QC, CM has qualified personnel or consultants available for sampling and testing, survey checks of the contractors work & other QA/QC activities

4.7.2 Contract Quality Control Plan

CM has reviewed & approved the QC plan prior to start of construction?

All test or inspection reports associated with Contractor QA/QC activities are submitted to CM within 24 hrs?

4.7.3 Inspection

CM conducts regular inspections of Contractor work to ensure project is constructed in accordance with the plans and specifications?

Inspections are scheduled and organized so that inspection personnel are available and sufficient to accommodate Contractors schedule?

Rejections of nonconforming work are made immediately, documented and referenced to the appropriate plan or specification requirement?

When necessary, Nonconformance report forms are completed and sent to the Contractor and PM?

Inspection reports are completed on a standard report form, are neat and legible, and fully describe work being performed?

CM schedules offsite inspections with Contractors/Subcontractors when necessary?

Details of inspections, status of progress in fabrication, schedule conformance are noted in the inspection reports?

CM/CI is careful not to direct the Contractor in means, methods, techniques, sequences, or procedures of construction, or make recommendations?

4.7.4 Photographic Record

CM has established a process by which construction progress photos are taken on a frequent and regular basis?

CM is aware of any contract requirements stipulating construction photos be given to the client at the completion of the project?

4.7.5 Testing

CM is available to observe the testing being performed by consultants?

Tests performed by subcontracted testing agency are noted in the daily report?

Test certificates or reports issued have been filed?

Satisfactory test results are received before any work is covered up?

When necessary, Contractor has been informed in writing that any work covered up without obtaining satisfactory test results is not acceptable, no payment will be made for the work, and that any costs associated with uncovering the work will be the responsibility of the Contractor?

Test results from off site testing have been received at site prior to work being incorporated into the project?

All test results are distributed to all required parties, & are in the contract file?

4.7.6 Survey Control

CM has verified survey control points prior to beginning work?

CM sees that frequent checks on layout are done to confirm the work will be accurately installed?

CM makes regular checks of control base lines, foundation location/center lines, foundation elevations, anchor bolt placement and site grading and pipe inverts?

CM has all layout and grades checked before work is installed?

4.7.7 Non-Complying Work

CM has brought non-conforming work to Contractors attention?

CM has observed any corrective action, has re-inspected, re-tested, or re-assessed any finish work, and found it to be in compliance?

When major non-compliance is found, a written NCR is issued to contractor immediately?

Contractors corrective action plan is reviewed by the CM and PE?

Status of all non-conforming work is discussed at weekly progress meetings?

When applicable, CM refuses to approve payment for all work impacted by the non-conformance?

4.8 Cost Control
4.8.1 Progress Payments

Contractor progress payment applications are made on the invoice form specified in the contract?

Contractor submits draft of the invoice and all necessary supporting documentation for review and discussion prior to submitting application for payment?

4.8.2 Method of Payment

As contract requires, CM reviews the monthly quantity totals, and recognizes the need to take action to mitigate or obtain additional funding from the PM?

CM verifies quantities requested from Contractor before processing any applications for payment?

For T&M contract payments, Contractor submits daily T&M sheets to the CM for approval?

CM verifies all Contractor invoices for payment on T&M work include all back up invoices and charges?

4.8.3 Change Orders

Contractor informs CM in writing of changed site conditions or situations?

CM reviews all notifications of change received from the Contractor, and informs the PM of the potential change?

CM does not allow change order work to proceed until PM has obtained authorization and funding from the client(?)

For scope related and design related changes initiated by the PM, the CM issues a change order notice to the Contractor requesting cost and schedule implications of the change?

CM verifies change orders include a detailed description of the work, reasons for the change, and all documentation verifying the amount and method of payment for the work?

For completed change order work, CM has forwarded copy of change order form with all required signatures and associated back up documentation to the PM?

Change order log (indicating status, estimated cost, final cost, and schedule impact) is current?

CM keeps PM informed on the status of all change order work and current costs associates with these changes?

4.8.4 Claims
4.8.5 Claim Avoidance

CM has all documents associated with Contractors bid?

CM keeps record of when work was actually installed relative to when it was scheduled to be installed?

CM photographs as evidence, visibly changed conditions or other conditions which could result in a claim by the contractor?

4.8.6 Claim Procedure

Upon receipt of any Contractor claims, CM has acknowledged the claims in writing?

CM has copied the PM on all Contractors' claims requests received?

CM is familiar with, and prepared to participate in the contract claim dispute resolution process to be utilized on the project?

CM has gathered all documentary & other evidence relating to the claim (including correspondence, photos, reports, drawings, specifications, summary of evidence)?

CM has reviewed the evidence, and recommendation for settlement with the PM before presenting it to the Contractor?

If resolution of claim involves an increase in money or time, CM has processed a change order detailing the agreement reached?

5.0 Schedules
5.1 Construction Schedule

CM has received detailed construction schedule from Contractor within allotted time specified within contract documents?

CM has reviewed Contractors schedule with PM to determine there is a logical sequence of activities, and that durations are sensible and achievable?

CM has discussed areas of schedule concern with Contractor?

Final construction schedule has been completed, agreed to, and accepted by the Contractor & CM?

5.1.1 Short Term Schedules ( Three week)

CM has requested, and is receiving regular submission of short term schedules from the Contractor?

Contractors' short term schedules are reviewed at the weekly progress meeting?

5.1.2 Schedule Updates and Revisions

CM has advised the Contractor that contractual schedule updates will be required and reviewed?

CM documents the status of the Contractors' schedule on the weekly construction report?

When necessary, CM works with Contractor to develop changes in logic, sequences, methods, resources, and other steps needed to be implemented to maintain or accelerate schedule?

5.1.3 Schedule Update Meetings

Regular schedule update meetings (can be incorporated into weekly progress meetings) are being conducted?

5.2 Materials

CM has confirmed that a system is in place to monitor the procurement and receipt of materials?

CM has required Contractor to provide scheduled delivery dates of critical materials?

CM has requested a list of Owner supplied materials, and their respective scheduled delivery dates?

CM has ensured the Contractor has delivery information of Owner supplied materials, and has incorporated into their construction schedule?

5.2.1 Materials Procurement and Control

CM has system in place to ensure all materials being received are inventoried, inspected, appropriately stored and checked against the packing list and purchase order?

CM completes a received report including vendor name, PO number, description and quantity of materials, and date received?

CM notifies supplier of any damage, errors or omissions, so corrective action can be taken to minimize impact on construction schedule?

All packing slips and trucking slips are attached to receipt reports and kept in project file?

CM updates the material list as materials are received, to help prevent delays caused by material shortages?

CM has verified the materials necessary to complete the project will be available when needed?

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Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.