Interim File Review
Interim Project Documentation Reviews
During the active construction phase, an interim review of FieldManager and project record files is to be completed annually for a minimum of one project per project office, unless the Engineer in charge is certified under the MDOT Certified Engineer Process.
The selected project for interim review must have a minimum duration of 2 months and must be at least 30 percent complete by the time of the review. The Region Construction Engineer is responsible for approving project selection, selecting the review team, and notifying the construction/project engineer.
The review is to be completed in accordance with the procedures outlined in Final Inspection, Acceptance and Final Payment. The review should be conducted as early in the active portion of the project as practical to ensure proper documentation throughout the remainder of the project. Document all interim review findings on the Interim Project Review Form 1963.
The interim review is similar to the final project file review, except most, if not all, of the pay items reviewed will not have final quantities. The review includes checking for appropriate contract documentation, prevailing wage documentation, and all supporting documentation for the quantities paid for the work items reviewed. A representative sample of pay items, including major items of work, are to be reviewed using Form 1963. The sample size will not exceed five (5) items unless major deficiencies are discovered. Some areas on Form 1963 may not be applicable for the job being reviewed and should be noted as such. Unique or non-typical projects may require special review consideration to ensure compliance. The use of Form 1147, Final Project Review Summary, is not required when Form 1963 is used to document the review.
The reviewer will send Form 1963 to the project engineer and the Region Construction Engineer. The project engineer must address all items identified on the Form 1963 within 30 days. Any deficiencies noted in the interim review that were not fully addressed by the Final Project Review may be treated as Major Deficiencies and/or be entered as an item of concern on the engineers records for any future Certified Engineer applications.
LAP Project Considerations
Interim File Reviews may also be performed if a local agency makes a request, or if MDOT believes the Local Public Agency (LPA) would benefit in understanding documentation requirements. An Interim File Review is for the benefit of the LPA and should be utilized to identify any documentation deficiencies during the construction process, in lieu of waiting until project completion when documentation deficiencies may be challenging to resolve jeopardizing federal and state aid.
The LPA is expected to utilize feedback from the Interim File Review to improve project documentation procedures and address any identified deficiencies. All file deficiencies, whether identified during the interim or final file review, will be resolved prior to final project closeout.