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

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Forensic Consulting Services Report Town of Trumbull, Connecticut Page 5 performed. Although we offered several dates and times, including weekends and an option for a telephone interview, he was still not available to be interviewed. Documents reviewed We reviewed a number of documents and drawings provided by the Town. The following is a partial list of what was reviewed: 1. Minutes of WPCA board meetings 2. Sanitary Sewer Project - Phase IV, Part B, Contract 3 Original Bids, RFP, and Award of Bid 3. Application and Certificate for Payments (through Pay App 27) and additional billings from Mark IV (Contract 3) 4. Spath-Bjorklund Associates Reports, correspondence and documentation 5. Various correspondence and email correspondence related to Contract 3 6. Various Design drawings related to Contract 3 7. Invoices and Purchase Orders related to Spath billing for engineering services from October 2001 through October 2009. 8. Selected documents and drawings were reviewed relative to Contract 4. Site Visit A site inspection of the streets included in Contract 3 was driven to determine traffic flow, geography and topography to assist in understanding issues relative to the design and construction of Contract 3. Scope Expansion A day was spent with the town inspectors, Clair Jon Garard and John MacKenzie, performing a site inspection of two main line crews and two service connection crews that were working on Contract 4 in order to determine construction methods being employed on Contract 4. IV. Procedures Not Performed The procedures performed were not intended to be all encompassing and were limited to the procedures outlined in Section I above. We have not performed any of the following procedures with respect to Contract No. 3: 1. On-site inspections such as manhole inspections, internal inspections or pipe inspections. 2. Review any internal CCTV (Closed Circuit TV) documentation. 3. Confirm quantities by taking measurements of completed facilities. 4. Perform quantity “take-offs” using design documents to verify quantities as outlined in the drawings or as outlined in “As-builts.”
Forensic Consulting Services Report Town of Trumbull, Connecticut Page 6 5. Interview any individuals from Spath-Bjorklund Associates, Inc., the project design engineering firm. 6. Interview any individuals from Mark IV Construction Company, Inc., the construction company for Contract No. 3 and Contract No. 4. Also, we have not performed any procedures related to Contract No. 4 other than the one day of onsite field inspections and review of selected contract documents as noted above. V. Findings Our major categories of findings can be summarized as follows with additional details outlined in the remainder of this report. • Town Purchasing Policies were not always adhered to with respect to both the Engineering Design Contract extensions and the construction contract extension. • The Town policies and procedures for reviewing construction contracts did not analyze bids in a sufficient level of detail to adequately compare the various bid alternatives. • Generalized engineering design lacked specificity in a number of areas due to various factors. • Modifications to a number of items of the actual construction which were inconsistent with the design documents as originally bid in a number of areas which resulted in substantial additional cost. • The number of Town field inspectors being deployed to oversee and inspect the construction field crews was inadequate. • There was a lack of controls in place by the Town field inspectors to capture daily information relative to each field crew, including quantities of pipe laid each day and other pertinent contemporaneous data – such as the maintenance and preservation of Daily Field Logs. • There was a lack of controls to verify the payments requested by the contractor via the Payment Applications both as to quantities and unit prices and overall accuracy. • There was a lack of follow up relative to design engineering plans and drawings for the remainder of the project resulting in payments being made to the engineering firm significantly in advance of the services being provided to the Town. • There was a lack of guidance and controls provided by the Town officials to the Town’s field inspector(s) as to the decisions made in the field regarding design changes, including the significant financial impact of these changes. • There was undue reliance by the WPCA board on Town officials and Town employees especially as it relates to their duty of care. • The lack of qualifications (education and experience) of various Town employees for the positions they held and the level of responsibility they were being given in those positions, including positions not filled or replaced. • There were multiple positions held by individuals which created inherent conflicts and mitigated the controls and oversight that should be present amongst those various positions.
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Forensic Audit Report-WPCA Phase IV, Part B. Contract ... - Trumbull

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