"A" = Actual Control "P" = Proposed Control
| CONTROLS | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| THREATS | C-1 Trained and experienced personnel | C-2 The Department has developed and has provided training on its Project Management Manual. | C-3 The experience of project managers in prior projects is utilized, along with objective information, to estimate costs for future projects. | C-4 Written policies and procedures | C-5 The Capital Quarterly Monitoring Report provides project status and performance (targets to actual dates) to the City Council. | C-6 The Mid-Year and Year-End Capital Reports provide project status and financial information to the City Council. | C-7 Departmental Monthly Monitoring Reports compare original target dates, revised target dates, and actual completion dates on key project milestones. | C-8 The Department conducts monthly project coordination meetings with client departments. | C-9 The Department is developing an internal Automated Timekeeping System. (Phase I) | C-10 The Department is developing an internal project management system. (Phase I) | C-11 The Department plans to develop specific project management reports to provide real-time data on costs for plannning, design, and construction management of projects. (Phase II) | C-12 The Department plans to link these management reports directly with engineering project management software. (Phase III) | C-13 The Department's Automated Timekeeping System will provide access to real-time financial information about E&I expenditures. | C-14 The Automated Timekeeping System will accumulate and report Project Inception-To-Date information to maintain a history of performance to be used for costing future projects. | C-15 Staff funded by capital programs will be budgeted by funding source and project similarly to staff funding in the operating budget. | C-16 The Annual Operating Budget summary documents include performance measures. | C-17 During the budget development phase of typical projects, estimated allocations are: 15% for design engineering, 10% for inspection, and 5-10% for contingency. | C-18 Estimated allocations are adjusted on a project-by-project basis considering overall size. | C-19 By the time the project is awarded, actual engineering costs are known, inspection costs are projected, and construction contract costs are refined. | C-20 Contingency costs are not encumbered; only construction costs are encumbered. | C-21 Contingencies are normally limited to 5% of the project's construction costs. | C-22 Project managers are required to provide justification for projects with more than 5% estimated contingency costs. | C-23 One of the goals of the Department's reengineering effort is to see that the level of E&I is appropriate for the project. | C-24 The Department consistently monitors project costs for unauthorized personal charges for E&I services. | C-25 The Department has two unique charge number systems - PRJ (project) and DWO (department work order). | C-26 The PRJ charge number system improves the Department's ability to separate and track related costs. | C-27 The DWO charge number system identifies a specific project and activity for which a cost was incurred. | C-28 The DWO rolls all project costs accrued up to the FMS system. | C-29 Project managers and analysts review all charges and monitor costs for each project relative to the budgeted amount. | C-30 The Department's PAC II Report identifies personnel charging to a project. | C-31 The Department's Labor Distribution by Fund/Prime identifies personnel charging to a project. | C-32 Costs are moved to the appropriate charge code when an unauthorized or incorrect charge is identified. | C-33 The Department prepares an appropriation adjustment, including an explanation of the circumstances generating the request, if the cost of E&I services exceeds the funding source. | C-34 Appropriation adjustments are requested for both increases and decreases in required funding. | C-35 Cost monitoring reports are reviewed regularly. | C-36 Appropriation amendment requests are reviewed for approval by the City Manager and City Council. | C-37 Revenue projections are compared regularly with actual revenues received for grant funded projects, with special attention to grant reimbursable projects. | C-38 PRJ numbers are set up to track unfunded projects. | C-39 Costs on unfunded projects are submitted to the Finance Committee for reimbursements. | C-40 E&I services are funded by the specific appropriation approved by the City Council during the annual or mid-year budget process. | C-41 The Finance Department will not allow additional payments to be made to a contractor absent Council approval for increased funding. | C-42 Project cost overruns are monitored by the Budget Office. | C-43 Cost increases are identified and reported by monthly project reports. | C-44 Charges are moved to the appropriate project when erroneous charges to a project increase its cost. | C-45 Changes resulting in unexpended budget amounts are reported and explained in the Capital Budget Year-End report. | C-46 Council agendas and mid-year ordinances list the changes in project estimates. | C-47 Adequate cost monitoring information is available on the Department's PAC II system. | C-48 Timely cost monitoring information is available on the City's FMS system. | C-49 Reports are generated by both PAC II and FMS which show total costs of any project by responsibility center and detail. | C-50 Cost information in FMS can be sorted by appropriation. | C-51 PAC II reports include costs by position, activity for current month, year-to-date, previous year, and cost to date for the entire project. | C-52 PAC II reports provide totals for each project at the end of each activity grouping. | C-53 The Director of Public Works reports exception cases regarding E&I services that increase project costs directly to the City Manager's Office or City Council members. | C-54 Project budget reports that include costs of E&I services are periodically sent to City Council and City Administration. | C-55 All Council awarded construction project reports include a discussion of bids received, estimated E&I, and contingencies. | C-56 Total construction management costs are summarized by PAC II and FMS upon the completion of each project and are used as a guide during the budget process to estimate E&I costs for future projects. | C-57 The Capital Projects Report by Responsibility Center is produced monthly, and, with some manual modification, may also be used to summarize total construction management costs. | C-58 The final PAC II report shows costs by activity so that total costs for design, contract administration, etc., can be determined. |
| T-1 The Department does not define, gather, and report data that is useful in assessing its efficiency and effectiveness in providing Engineering and Inspection services. | A | A | A | A | A | P | P | P | P | P | P | P | ||||||||||||||||||||||||||||||||||||||||||||||
| T-2 The Department does not meet existing performance measure targets related to Engineering and Inspection services. | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-3 Project managers do not have sufficient training and experience to be able to accurately estimate the cost of Engineering and Inspection services. | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-4 The Department allocates higher Engineering and Inspection costs than required to public works projects thus creating artificial contingencies and tying up funds. | A | A | A | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||
| T-5 Estimates of Engineering and Inspection costs and any contingencies associated therewith are not in accordance with adopted Capital Improvement Plan fiscal policies. | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-6 The cost of Engineering and Inspection services as a percentage of project construction costs is too high, particularly for small projects. | A | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-7 General, administrative, and overhead charges for Engineering and Inspection services to projects are unreasonable. | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-8 Costs for DPW Engineering and Inspection services are not competitive with the private sector. | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-9 Engineering and Inspection costs are charged to unfunded projects/department work order numbers (DWOs). | A | P | A | A | A | A | A | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||
| T-10 Unauthorized personnel charge Engineering and Inspection services to projects/department work order numbers (DWOs). | A | P | P | A | A | A | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||
| T-11 Budget to actual comparisons of Engineering and Inspection services are not performed. | A | P | A | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-12 The cost of Engineering and Inspection services exceeds the funding source monies. | A | A | A | A | A | A | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||
| T-13 Engineering and Inspection services are funded by the incorrect funding source. | P | A | A | A | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||||
| T-14 Cost overruns for Engineering and Inspection services are not identified, reported, and managed. | A | A | A | A | A | A | A | A | A | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||
| T-15 Cost overruns for Engineering and Inspection services are the result of bad planning, wishful pricing, or poor coordination. | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-16 Changes in project estimates for Engineering and Inspection services are not adequately reflected in the budget. | A | A | A | A | A | A | A | |||||||||||||||||||||||||||||||||||||||||||||||||||
| T-17 Information regarding the costs of Engineering and Inspection services by project is not available in a single easy to understand report. | A | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-18 Financial systems (PAC II and FMS) do not provide adequate information to monitor costs of capital projects. | P | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| T-19 City Council and City Administration are not receiving periodic management reports to identify key factors related to Engineering and Inspection services that increase project costs. | A | A | A | A | A | A | A | A | A | A | ||||||||||||||||||||||||||||||||||||||||||||||||
| T-20 Total Engineering and Inspection costs for completed projects are not determined and therefore are not available to be used as a guide to costing out Engineering and Inspection services for future projects. | A | A | P | P | A | P | A |