Forensic Audit Report-WPCA Phase IV, Part B. Contract ... - Trumbull

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Forensic Consulting Services Report Town of Trumbull, Connecticut Page 3 Contract 2, also labeled the “Half Acre Zone” was started in November 2005 and was complete by the end of 2006 and provided sewer service for 298 residents. Contract 3 or the “Jog Hill Project” was to incorporate 556 houses. Construction was estimated to take two years and was scheduled to begin after the completion of the Half Acre Zone, in early 2007. Contract 4, or the “North Nichols Project” was to incorporate 837 houses. Construction under Contract 4 was estimated to take three years and would be scheduled after completion of the Jog Hill Project, originally estimated to be in 2009. Contract 5 or the “South Nichols Project” was to incorporate 376 houses. Construction was estimated to take one year. Final contact construction was scheduled for after completion of North Nichols. As you will note, Contract No. 3 is the subject of the Forensic audit that was performed. It is the background listed above that lead to the Town seeking design engineering services (which were ultimately provided to the town by Spath-Bjorklund Associates, Inc. (“Spath”)) and lead to the town seeking construction services (which were ultimately provided by Mark IV Construction Company, Inc. (“Mark IV” or “Contractor”)) related to the sewer expansion contract. The process of procurement of each these services will be discussed in greater detail later in this report. Town Officials and Employees The following is a list of individuals who served in some capacity with either the Town or the WPCA at various points in time during the long-term planning phase, design phase or construction phase of the sewer expansion project. 1. Raymond G. Baldwin, Jr. - First Selectman (December 2001-December 2009) 2. Timothy M. Herbst - First Selectman (December 2009-present) 3. Lynn Heim - Director of Finance (2004-2009) 4. John Ponzio - Town Treasurer (2009-present) 5. Robert Chimini - Town Purchasing Agent (August 1999 to present) 6. James Henderson - Financial/Accounting Controls Analyst (March 2010 to present) 7. John DelVecchio - Director of Public Works (2005-2010) 8. John Marsillio - Director of Public Works (2010-present) 9. Paul Kallmeyer - Assistant Town Engineer (July 1970 to June 1982) Director of Public Works (July 1982 to March 1988 (resigned)) WPCA Sewer Administrator (1981 – 1984) Director of Public Works Director (December 1989 to July 2005 (retired)) Appointed to the WPCA commission (Vice Chairman) (April 23, 2009 – present) 10. Leonard Provenzano - Deputy Director of Public Works (June 1992 to October 2005) 11. Stephen Savarese -Town Engineer (June 2007 to present) 12. Claire Jon Garard - Sewer Inspector (May 2002 to present) 13. John MacKenzie - Sewer Inspector (October 2009 to present) 14. Joseph Solemene - Pump Station Mechanic (1989 to March 1994); Assistant WPCA Administrator (March 1994 to present) 15. George Biagoni - WPCA Chairman (December 2006 to January 2010 (resigned))
Forensic Consulting Services Report Town of Trumbull, Connecticut Page 4 16. Jeanine Lynch - WPCA Chairman (2010-present) 17. Donald Aiello - WPCA Member (December 2003 to December 2008) 18. Jack Goncalves - WPCA Member (December 2005 to December 2010) 19. Laura Pulie - WPCA Commissioner (2010 to present) 20. Ennio DeVita - WPCA Commissioner (2010 to present) 21. Neil Lieberthal - Former Town Attorney assigned to the WPCA Town Charter and Code of Ethics The Town of Trumbull has a Town Charter which was effective November 3, 1981 and an updated one effective November 4, 2003. The Charter contains various items relating to the various branches of the Town, budgeting and bonding as well as other items. The Charter also contains policies relating to purchasing, contracts and expenditures. The Town of Trumbull also has a Code of Ethics which was approved on November 22, 1989. It contains, among other things, policies related to Conflicts of Interest, Employment Incompatible with Town Duties and Gifts, Gratuities and Favors. III. Procedures Performed The following is a list of the most significant procedures performed in conducting this forensic audit. Section IV outlines procedures that were not performed, but could be performed at the request of the Town or the WPCA. Interviews Interviews were conducted with the following individuals to obtain an understanding of the history of the Town, the WPCA, the sewer expansion project, the Town’s purchasing policies, the level of oversight and supervision of the design engineers and of the construction contractor, including a determination of what controls were in place during Contract 3 and the effectiveness of those controls: 1. Laura Pulie 2. Ennio DeVita 3. George Biagoni 4. John Poizio 5. Robert Chimini 6. Timothy Herbst 7. John Marsillio 8. Clair Jon Garard 9. Joseph Solomene 10. Stephen Savarese 11. Paul Kallmeyer 12. Raymond Baldwin, Jr. 13. James Henderson It should be noted that we requested an interview with John DelVecchio since he was the Director of Public Works from 2005-2010, during which Contract No. 3 was bid, awarded and the work
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Forensic Audit Report-WPCA Phase IV, Part B. Contract ... - Trumbull

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