"A" = Actual Control "P" = Proposed Control
| CONTROLS | ||||||||||||||||||||
| C-29 | C-51 | C-58 | C-59 | C-60 | C-64 | C-65 | C-66 | C-67 | C-68 | C-69 | C-70 | C-71 | C-102 | C-103 | C-104 | C-111 | C-112 | C-113 | ||
| THREATS | Change order costs are recovered from a responsible third party responsibilities where applicable. While it is | The administration of payments on Unit Price Contracts is regulated by Section G9 "Measurement and Payment" of t | The City cannot be charged directly for entertainment costs. The City pays the contractor on a unit cost basis | As stated in the Standard Specification Section G5-10, the City does not pay for corrective work. | The City pays the general contractor on a unit price basisfor the items stipulated in the contract. The general | The City must determine payment base on the terms set forth in the Standard Specification Section G9. It does n | The City's Standard Specifications Section G9, incorporated into all City Contracts, covers the payment method. | Payment criteria stipulates payment based upon actual material installed. This is addressed in Standard Specifi | Specific measurement techniques are covered in the Standard Specifications Section G9-1 entitled, "Measurement o | The City must determine payment based on the terms set forth in the Standard Specifications. It does not have t | All payments are made in accordance with the provisions of Standard Specifications Section G9. | There are no liens allowed on public works projects. | All payments are made in accordance with the provisions of Standard Specifications Section G9. | The final inspection for a project is performed as provided in Standards Specifications Section G5-12, "Final In | This is typically a provision of the specifications when appropriate. If these documents aren't provided, final | When necessary, these items are included in the contract specifications, or by reference to manufacturers' requi | The City must determine payment based on the terms set forth in the Standard Specifications. It does not have t | The payletters are prepared or reviewed by the Project Inspector, reviewed and extended by the Project Manager, | The Department routinely reviews and updates its contract policies and practices. The Department is near comple | |
| PROGRESS BILLINGS AND PAYMENTS | ||||||||||||||||||||
| T-76 | Progress payments are not objectively determined and are not designed to promote timely performance of contractual obligations on the part of the contractor. | A | ||||||||||||||||||
| T-77 | Controls are not in place to ensure that progress payments are proper, i.e., progress payment terms are not part of the contract and no written procedures are in place. | A | ||||||||||||||||||
| T-78 | Progress payment estimates and invoices are commingled for original and changed work. | A | ||||||||||||||||||
| T-79 | There is no clear and concise measurement--no progress payment criteria, i.e., progress payment terms are not performance based. | A | ||||||||||||||||||
| T-80 | No specific measurement techniques are in effect. | A | ||||||||||||||||||
| T-81 | Progress payments are inordinately "front end loaded". | A | ||||||||||||||||||
| T-82 | The progress payment scheme and weighted values may be inordinately advantageous to the contractor. | A | ||||||||||||||||||
| T-83 | The Contractor is not submitting all necessary lien waivers with progress payment invoices. | A | ||||||||||||||||||
| T-84 | The contractor's billings do not have adequate supporting documentation. | A | ||||||||||||||||||
| BACKCHARGES | ||||||||||||||||||||
| T-147 | There are no controls over backcharges. | A | ||||||||||||||||||
| T-148 | The City is not processing all backcharges. | A | ||||||||||||||||||
| CONTRACT AUDITING | ||||||||||||||||||||
| T-149 | The Public Works Department is not verifying the accuracy of the contractor charges when they are presented. | A |
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| T-150 | Cost audits are not being performed to verify that charges made by contractors and subsequent payments by the City are accurate, in accordance with the contractor provisions, and represent the work that was actually performed. | A | ||||||||||||||||||
| T-151 | If cost audits are being performed, the audit approach is not being tailored to each specific contract type and focused on the major elements or risks regarding error or overcharge. | A | ||||||||||||||||||
| T-152 | Public Works is not doing operational audits to give management insight into the efficiency and economy of contracting practices, to help eliminate unnecessary risk, streamline operations, and ensure consistency of contractual controls. | A | ||||||||||||||||||
| CONTRACT/PROJECT CLOSE-OUT | ||||||||||||||||||||
| T-138 | The City has no controls in place to manage the contract/project close-out process. | A | ||||||||||||||||||
| T-139 | The City is not receiving appropriate documents to prepare operating and maintenance manuals. | A | ||||||||||||||||||
| T-140 | Provisions for spare parts, special tools, or consumable supplies may not be specified in the contract. | A |