2.40 PROJECT REVIEW AND AUDITS
2.42 PROJECT ENGINEER'S PRE‑AUDIT
Finalization of a contract requires many separate facets (both field and office work) to meld together. One phase of this process is a project engineer's pre‑audit (PEP). A PEP is not necessarily an individual step, but part of an ongoing process culminating with a request for District audit. However, a PEP must be completed prior to requesting a District audit.
Generally, the PEP process revolves around the following responsibilities:
n project inspector ‑ field documentation
n project manager ‑ reviews and checks these records for completeness and accuracy
n engineering technician ‑ independent office audit of all documentation while preparing for a District audit
n documentation resolution of any outstanding noncompliance issues
Most offices have developed "Checklists" to assist in the PEP process. These lists need to be reviewed and updated periodically to stay current with the district’s audit procedure, specifications, and Construction Manual revisions. The Iowa DOT Construction Project Documentation Checklist has been provided in Appendix 2-36 as a starting point for offices to use in developing their own checklist for project finalization. For county or city projects, refer to the pre-audit checklist included as part of Local Systems I.M. 6.100, Final Review, Audit, and Close-out Procedures for Federal-aid, Federal-aid Swap, and Farm-to-Market Projects.
Project Related Emphasis Areas
n Storm Water
Be sure project records contain copies of the Iowa DOT Storm Water Permit, Notice of Discontinuation if the corridor work is completed, Co‑Permittee Certifications, and weekly inspection reports. Project records also need to have copies of any storm water permits required for contractor's operations.
n Terminology Clarification
PLEASE NOTE: Project files and correspondence "shall not" use or refer to the term "hazardous waste" or "hazardous materials" unless analytical results conclusively indicate the material is indeed "hazardous." Typical Iowa DOT work rarely involves a material which is classified "hazardous." However, many materials are "regulated" by Iowa DNR or EPA for various reasons.
n Therefore, use the phrase "regulated materials" for project records and correspondence. The phrase is more correct, always applicable, and broader in scope when relating to materials generated from operations such as:
a. Removal of Leaking Underground Storage Tanks (LUST) which contained fuel or a petroleum derivative
b. Material generated during paint removal
c. Asbestos abatement
n Documentation of Regulated Materials
a. Project records must contain copies of tank closure reports and any other relevant information pertaining to Underground Tank Removals. This includes locations and any data about locations where contaminated soil may have been taken for remediation.
b. Project records must contain copies of any shipping manifests. Manifests (either Iowa DOT, Iowa DNR, or EPA) are required for shipping materials such as asbestos and residue from paint removal.
2.43 DISTRICT OFFICE AUDIT
District Office audits are conducted after a contract is completed, a project engineer's pre‑audit has been completed, and the final voucher is ready to be forwarded for processing. Generally, these audits will examine project records in the following areas:
n Internal office controls, procedures, and documentation
n Material certifications and test approvals
n Field documentation
n Internal office audit
n Final pay quantities
Audit of Final Pay Estimate (Form 830301)
Form 830301 may be used by District Office staff for reporting any deficiencies or errors found. Upon completion of the audit, the District Office staff shall submit to Doc Express and electronically sign the form. The project engineer shall note corrections or action taken regarding the deficiencies by adding a comment in Doc Express to the submitted form and then sign the form electronically.
2.44 MANUAL OF OFFICE PROCEDURES
Refer to Construction Manual 1.34.
2.45 FORMS FOR FINAL PAYMENT
The following forms are to be uploaded to Doc Express and signed as designated in the table.
NOTE: For county or city projects, the final payment packet shall be submitted in accordance with Local Systems I.M. 6.110, Final Review, Audit, and Close-out Procedures for Federal-aid Projects.
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Signed by |
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Form No. |
Description |
Submitted in Doc Express by |
Contractor |
District Auditor |
RCE |
DME |
DCE |
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830436 |
Final Payment (C.M. 2.38) |
RCE |
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|
X |
X |
X |
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None |
* ^
Statement of Noncomplying Test of Measurement of
Materials Incorporated into the Project |
RCE |
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830235 |
Interest
Payment Information |
RCE |
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None |
#FieldManager Final Construction Pay Estimate Report (or Contract Construction Progress Voucher) |
RCE |
X |
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X |
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X |
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830301 |
*Audit
of Final Pay Estimate |
District Auditor |
|
X |
X |
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None |
*Summary
of City or County Reimbursement for Reimbursement Work per Iowa DOT Policy No. 500.05 |
District Auditor or RCE |
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None |
*Statement
of Salvage Material |
RCE |
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102116 |
*Certification
of DBE Accomplishment |
Contractor |
X |
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X |
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518002 |
Certification
of Subcontractor Payments |
Contractor |
X |
|
X |
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|
* When applicable
^ Submitted as a supporting document to form 830436
# Include Construction Pay Estimate Amount Balance Report
2.46 TRANSITIONING OF FINAL PACKET
For electronic Final Packets, once the DCE has signed Form 830436 and the Final Voucher, the RCE Office will start the final disposition of the Contract. The RCE Office shall upload the final estimate to the Contractor Pay System (CPS). An email should then be sent to central.construction@iowadot.us with the subject line “Final Documents <Contract ID#>”. The body of the email shall be in the format shown below. Include Contract ID, project number(s), a link to the Doc Express Contract, and a list of the corresponding documents submitted. It is recommended to “Copy” and “Paste” the example below for proper formatting. If a document type listed is not part of the Final packet be sure to delete it out of the email body.
Based on the information in the subject line and body of the email, once it has been delivered to the central construction email account, it is automatically forwarded to the Finance and Civil Rights Bureaus.
EXAMPLE EMAIL BODY
Contract ID: <Contract ID#> Project: <Project #(s)>
The final documents have been approved by District staff and are in Doc Express. The FieldManager File has been uploaded to CPS.
Doc Express Contract: <Insert Hyperlink to Doc Express Contract>
The following documents can be found in the designated drawers in Doc Express:
“Signature” Drawer:
· Final Construction Pay Estimate
· Final Payment Form (form 436)
· Certification of Subcontractor Payments (when required)
· Certification of DBE Accomplishment (when required)
· Audit of Final Pay Estimate (Form 830301)
· Statement of Noncomplying Test of Measurements (when required)
· Statement of Salvage Material (when required)
“Contract Documents” drawer
· Interest Payment Information (Form 235)
· Documents for billing local jurisdiction for project costs (when required)
Comments: <add comments if needed>