HomeMy WebLinkAboutCOM 1282.008 2006-2008Harry Kim
Mayor
Bruce C. McClure
Director
~IILtI'C~>r O'~~tC~IT?~tr't
DEPARTMENT OF PUBLIC WORKS
Aupuni Center
101 Pauahi Street, Suite 7 ~ Hilo, Hawaii 96720-4224
(808) 961-8321 Fax (808) 961-8630
www.co.hawaii.hi.us o
September 25, 2008
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HONORABLE PETE HOFFMANN COUNCIL CHAIR -; ~ - .
AND MEMBERS OF THE COUNTY COUNCIL .r'~,, ~
HAWAII COUNTY COUNCIL - `"
COUNTY OF HAWAII ~~=. ~ ~ r"'..
HILO HI 96720
SUBJECT: NINETY-DAY STATUS ON THE LEGISLATIVE AUDIT
RECOMMENDATIONS
We are pleased to submit this ninety-day status report on the Legislative Audit
recommendations.
In keeping with the Mayor's letter of August 7, 2008, the Department has implemented
several more of the auditor's recommendations that could be accomplished internally
without additional resources.
Recommendation 2 stated: The development of comprehensive policies, procedures,
and controls for management of Capital Improvement Projects, including, but not limited
to: project scoping, tracking, documentation, and quality control.
As previously reported, we have a scoping document for Civil Engineering projects. We
now have a scoping document for Building Division's projects, which we will be
implementing. Both of these documents will be shared with the Department of Parks
and Recreation, Department of Environmental Management as well as the Office of
Housing and Community Development. A copy of the Building Division's scoping
worksheet is attached as Exhibit 1.
Recommendation 3 stated: The evaluation and incorporation of industry best practices
relating to staffing levels and information system applications.
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Ref. Ta ~.~
County of Hawaii is an Equal Opportunity Provider and Employer. Ref. Dater., 5
Ltr. to Pete Hoffmann
Page 2
September 25, 2008
We do support this recommendation and have prepared a draft of a request for
qualifications for consultants for such a contract. A copy of this draft is attached as
Exhibit 2. This work will be given to the new administration as part of our transition
plan.
The current budget does not have funding for a consultant contract. The contract would
address these two things:
Develop and recommend implementation of current best practices for Capitol
Improvement Project Master Plan.
2. Develop comprehensive policies, procedures and controls for management of
Capitol Improvement Projects.
Recommendation 4 stated: The development and implementation of formal policies and
procedures for authorization, documentation, and systematic recordation and reporting
of changes to contract fund accounts.
Following this audit recommendation, the Department of Public Works met with the
Department of Finance regarding developing and implementing formal policies and
procedures related to changes in expenditure accounts for contract encumbrances.
The Department of Finance has an existing procedure that includes oversight and
approval of such changes. It is recognized, however, that it would be beneficial to
formalize the policies and procedures to insure that documentation of change
authorizations is maintained in Finance and also included in the contract documents.
The completion of the policies and procedures has been delayed by fiscal year end
closing activities, but we are told it will be completed shortly. The Department of Public
Works currently requires that for consistency and documentation, the process of
requesting a change to the contract certification of funding is submitted and filed
through the Finance Department.
We will be present at the Committee meeting to answer any questions as they arise.
BRUCE C. McCLURE, P. E.
Director
Attachments
County of Hawa~ i is an Equal Opportunity Provider and Employer.
EXHIBIT 1
SCOPING WORKSHEET
BUILDING DIVISION
DRAFT
Project Title:
Project Number:
Tennant Agency:
Tennant Contact:
Tennant Program (Attached)
Type of Work
New Facility
Renovation
Repair Maintenance
Construction Cost Estimate:
Planning/Design Estimated Cost:
Appropriation/Fu nding
Land Analysis
Parcel Area
Land Acquisition
Easement
Road/Highway Access
Subdivision Application
Construction Right of Entry -
Planning and Design Discipline
Acoustical
Audio Visual
Archeological
Architecture
Civil
Communication
Drainage
Electrical
Fuel System
Geotechnical
Hazardous Material
Landscaping
Mechanical
Planning
Structural
Survey
Traffic
Other
Planning Analysis
Environmental Assessment:
Envvonmental Assessment Exemption:
Special Permit:
Plan Approval:
Traffic Impact Analysis
Other:
Permit Analysis
NPDES
IWS
UIC
Elevator
Other:
Agency Review Analysis for Permitting
Building
Engineering
Fire
Planning
Environmental Management
D of Army
D of Health DCAB
D of Health Form-]
D of Health Environmental Management
D of Land and Natural Resources SHPD
D of Transportation
D of Water Supply
Office of Endu•onmental Quality Control
Other:
Code Analysis
Site Data:
District:
TMK:
Address:
Lot Area:
Zoning:
Flood Hazard
SMA:
Planning Data:
Minimum Lot Width
Yard Spacing
Front:
Side:
Rear:
Building Height:
Parking Stalls (Total, Accessible):
Loading Spaces Required
Building Code Data
Importance Factor
Category
Seismic (Zone 4) Factor
Wind (105 mph) Factor
Occupancy
Occupancy Sepazation
Type of Construction
Allowed Building Area
Allowable Area Increases
Actual Building Area
Maximum Building Height
Minimum Distance Between
Minimum Roof Class
Guardrails
Minimum Plumbing Fixtures
Fire Alarm
Auto Sprinkler System
Required Fire Resistance:
Exterior Bearing
Exterior Non-Bearing
Openings
Interior Bearing
Structural Frame
Shaft Enclosure
Floor & Floor/Ceiling
Roof & Roof/Ceiling
Exterior Door
Exterior Window
Exterior Stair
Interior Stair
Cortidor Walls
Corridor Ceiling
Cortidor Door
Cortidor Glazing
Utility Agreement/Coordination
Cable
Electric
Fiber Optic
Gas
Sewer
Telephone
Water
Renovation and Repair-Maintenance Assessment of Existing
Year Constructed:
Historic Structure:
Road/I-Iighway Access:
Building Material (Concrete, Steel, Wood, Other):
Roof Pitch:
Roof Framing Material (Steel, Wood)
Roof Deck (Steel, Wood)
Roof Material (Built-Up, Metal, Shingle, Other)
Foundation (Slab w/ or w/out Stem Wall, Post & Pier)
Drainage Disposal
Wastewater Disposal
Hazardous Material Survey
Repair Maintenance Assessment and Priority (I-10)
Priority • Life Years Remaining (1 -address immediately; 10 or more life years remaining)
Exterior
Access
Paint
Roof
Wall
Flashing
Gutter
Down Spout
Pavement
Pavement Strip
Drainage
Door
Window
Landscaping
Signs
Lighting
Soil Erosion
Other
Interior
Paint
Ceiling
Floor
Wall
Door
Window
Electrical
Plumbing
Signs
Lighting
O[her
Eauioment
Air Condition
Solar System
Other
EXHIBIT 2
INFORMATION PACKET
FOR
DPW AUDIT REVIEW, RECOMMENDATIONS AND
IMPLEMENTATION PROCEDURES,
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2008
/i' ~,~~ ~~~ CONTENTS
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Notice To~Professional Consultants 1
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Request for Qualifications 2
Guidelines for Prep"acing Consultant Proposals 2
CowN of Hawaii is w Eoual OooortuniN Provider and Emolover.
NOTICE FOR PROFESSIONAL SERVICES
The County of Hawaii, Department of Public Works, in accordance with Federal and
State procedures, is seeking qualified professional firms to provide policies, procedures, controls
and other types of related professional services for the management of capital improvement
projects.
The County of Hawaii has developed guidelines to standazdize the preparation of
statement of qualifications (statements) by consultants. The purpose of these guidelines is to
help assure consistency in format and content of statements prepazed by the consultants and
submitted to the DPW. This process should reduce the time requirements for consultant in
preparing statements and will simplify the review process by the DPW. Copies of the "Request
for Qualification" and "Guidelines for Preparing Consultants Proposals" aze available at the
Administrative Office, Department of Public Works, Aupuni Center, 101 Pauahi Street, Suite 7,
at Hilo, Hawaii 96720-4224.
Statements of Qualifications from interested firms shall be submitted with one original
and two copies by , 2008; no later than 4:30 p.m., Hawaii Standard Time to:
Mr. Bruce C, McClure, P.E., Director
Department of Public Works
County of Hawaii
101 Pauahi Street, Suite?
Hilo, Hawaii 96720
Any inquiry regazding the professional services required should be directed to Jiro Sumada,
Deputy Director, Department of Public Works at (808) 961-8321.
County of Hawaii is an Equal Opportunity Provider and Employer.
Bruce C. McClure, P.E., Director
Department of Public Works
County of Hawaii
Advertised: Hawaii Tribune Herald
The Honolulu Star Bulletin
Honolulu Advertiser
County of Hawaii
Department of Public Works
REQUEST FOR QUALIFICATIONS
1. GENERAL
Introduction: In accordance with County of Hawaii procedures, the Department of Public
Works is seeking a qualified consultant to provide professional services for:
"Audit review, recommendations and implementation of Capital Improvement Projects"
Statement of Qualifications should be cleaz, concise and in strict accordance with the Notice for
Professional Services and Guidelines for Preparing Consultant Proposal. A maximum total of
one hundred (100) points are available for each proposal. The Screening Committee will
determine the number of points given to each proposal. Points for each section are as shown in
the Request for Qualifications (RFQ).
Contract Period: The contract for the project is anticipated to begin in .2008
and end in 2009.
CONSULTANTS SCOPE OF WORK
Develop and recommend implementation of current best practices for capital improvement
project (CIP) master plan:
1. The plan will include a comprehensive listing of CIP with prioritized ranking and
timelines for completion.
2. The plan development process will incorporate public input, coordination with State
and Federal agencies and funding sources, and investigation of public-private
partnership.
3. The plan process will be supported by an information technology (IT) system capable
of capturing and reporting accurate, relevant and timely financial and project
management data.
4. The plan will include standazdized and regulaz reporting arid review of project timing
and estimation, cost and resources allocations, and budget-to-actual analyses.
Develop comprehensive policies, procedures and controls for management of capital
improvement projects:
Projectscoping:
a. Develop policies and procedures that specifically address scoping and negotiation
strategies to obtain best values and promote equity and fair competition among
professional services consultants and construction contractors. Include should be
a process to document the consideration, analysis and determination of the costs
and benefits related to bundling or separate the work required.
b. Develop pre-planning procedures with client agencies and end users to better
define scope of work and deliverables for incorporation into professional services
contracts to ensure that design proposals (and subsequent construction bids) can
be more competitive, contracts can more cleazly delineated responsibilities and
compensation for each segment of work, and contract supplements and change
orders cam be minimized.
c. Develop checklists for various phases of project compliance to ensure that all
prerequisites are completed before submittal to contract procurement, including a
pre-design procurement checklist and apre-construction checklist.
2. Project Tracking:
a. Develop a CIP master schedule to establish and track project timelines and
prioritize monitor funding and resource allocations (including personnel)...
b. Develop an implementation process for regular and frequent review of project
financial and physical status by DPW administrators and project engineers,
coordinators and inspectors.
3. Project Documentation and Control:
a. Documentation Requirements. -Develop procedures for implementing
minimum documentation, authorization, action and reporting requirements for
all phases of CIP management, including, but not limited to: project scoping
and estimation; governmental permitting, insurance and bond requirements;
internal estimation of contract supplements and change orders; project
inspection; verification of progress billing; resolution of disputed charges; and
project closeout. Special attention should be given to initial project scoping.
b. Standazdized Forms. -Develop internal procedures, checklist and report
forms relating to project scoping, perntting, procurement, management,
inspection, payment and closure as well as external procedures, checklist and
report forms for use by other County agencies prior to submittal of projects to
DPW for procurement. Where possible, standardize processes and forms
should be developed to ensure adequate and consistent project documentation.
Change Order Justification and Field-Approval Form are bringing
incorporated by DPW.
c. Routing and Retention. -Develop policies and procedures for report
preparation, routing and retention to include all DPW personnel involved in
CIP and specifically address what documentation is expected to be completed
and/or maintained by whom, to whom it should be communicated, how, when
and in what format.
d. Conflict of Interest/Related Parties. -Develop policies and procedures that
address "conflicts of interest" and "related party" issues between
consultants/contractors and DPW personnel, including defining "related
party", requiring written related party disclosures, and specifying additional
documentation and control procedures required in related party situations. At
a minimum, policies and procedures should comply with provisions of Hawaii
County Code §2-84, Conflicts of interest, and §2-91.1, Financial disclosures
and disclosures of interest.
e. Segregation of Duties. -Develop policies and procedures that address
segregation of duties among DPW personnel, including, but not limited, to:
project scoping, internal estimation, ranking and selection of professional
services consultants, bid and award of construction contracts, inspection and
acceptance of projects, and approval of progress payment requests. At a
minimum, policies and procedures should comply with provisions of the
County Department of Finance's Accounting Manual, Part I (June 7, 1999), at
Page 103.11, which provides in part: "any system of internal control should
include, as a minimum ,the following elements: 1. System of authorization,
approvals, and recording procedures adequate to provide reasonable
accounting control over assets, liabilities, revenues, and expenditures. 2.
Separation of duties concerned with record keeping and accounting reports
from those concerned with operations or asset custody..."
f. Contract Sunplements and change Orders. -Develop quality control measures
specifically relating to contract supplements and change orders, including:
• Minimum documentation requirements.
• Standazdized decision criteria to determine whether a proposed change is
within the original project scope or requires a separate procurement.
• Identification of specific causes necessitating the change.
• Identification of specific responsibility for the change.
• Independent internal estimation of time and costs relating to the change.
• Comparison of internal estimations to vendor/contractor estimations.
• Development of a negotiation strategy.
• Documentation of negotiations.
• Review, approval and documentation of agreed-upon time and costs.
• Documentation of comparison and verification of agreed-upon time and
costs to vendor/conhactor invoices.
4. Quality Control
a. At a minimum, the quality control process should include a mechanism to
review project status and communicate "lessons learned" to appropriate DPW
staff as well as a mechanism to review vendor and contractor performance
with. outcomes reported back into the procurement ranking process at the
departmental and County-wide levels.
b. At a minimum, the quality control process should include a mechanism to
regulazly and frequently report CIP status to the County Council, including
specific dollazs and dates related to original budget, original contract, adjusted
contract, actual expenditures 9currnet year and project to date), and estimates
to complete on both time and cost for every project.
Develop procedures for DPW to evaluate and incorporate industry best practices relating to
staffing levels and information systems applications.
1. Best Practice -staffing
a. Develop departmental and division "process maps" to cleazly delineate roles
and responsibilities and evaluation of staffmg adequacy and resources to carry
out duties.
b. Develop procedures to conduct acost-benefit analysis of hiring additional
County personnel versus continuing to outsource capital improvement project
design and construction work.
c. Develop written policies and procedures as recommend above and implement
training programs to ensure that new policies and procedures aze cleazly and
consistently communicated to appropriate staff.
2. Best Practices -Information Technology (IT) Applications
a. Evaluate and compaze DPW information systems applications to industry best
practices to ensure that they aze sufficient to meet program demands.
b. Assess informational needs against capacities of current County information
systems applications and conduct a cost-benefit analysis relating to
implementation of necessary IT applications to address any critical
deficiencies. Recommend for implementafion an integrated computei
application to provide report capability for project management on a regulaz
and frequent basis in a standazdized and useful format. Increase capability for
proactive project monitoring and control to replace current record-keeping of
unstandazdized data by different personnel in various manual and electronic
formats in order to eliminate inefficiency, redundancy and potential of error.
The County of Hawaii, in accordance with the provisions of Title VI of the Civil rights Act
of 1964 (78 Stat. 252) and Regulations of the U.S. Department of Transportation [Title 49,
Code of Federal Regulations (CFR) Part 21] issued pursuant to such Act, hereby notifies all
proposers that it will affirmatively ensure that the contract entered into pursuant to this
advertisement will be awazded without discrimination on the grounds of race, color, religion,
sex, national origin, age, or disability.
County of Hawaii
Department of Public Works
GUIDELINES FOR PREPARING CONSULTANT PROPOSAL
The Department of Public Works (DPW) has developed guidelines to standazdize preparation of
proposals by consultants. The purpose of these guidelines is to help assure consistency in format
and content of proposals prepazed by consultants and submitted to the DPW. This process should
reduce the time requirements for the consultants in preparing a proposal and will simplify the
review process by DPW personnel.
In order for DPW's consultant Screening Committee to evaluate each proposal properly, it is very
important that each submittal be cleaz, concise, and follows the recommended format. Please tab
the various sections in the submittal for easy reference. A maximum total of one hundred .(100)
points aze available for each proposal. Points for each section are as shown in the following table.
As part of the evaluation process, DPW may conduct interviews with all fums showing interest in
this project.
2. PROPOSAL FORMAT REQUIREMENTS
The proposal shall be limited in length as shown below.
Criteria Points Max. No. of Pa es
Introductory letter, number of years in business, reference, and
office locafion. 2
Experience and professional qualifications relevant to the
roject. 35 2
Past performance on projects of similaz scope for public
agencies or private industry, including corrective actions and 33 2
other res onses to notices of deficiencies.
Ca aci to accom lish the work in the re aired time. 32 2
MAXIMUM TOTAL 100 8*
A endix: Resumes of ke ersonnel
A endix: Com an Brochure o tional
Number of pages per proposal may vary depending on the nature of the project, but must total
no more than 8 pages, unless otherwise shown in the proposal, excluding appendices, table of
contents, and tabs.
A page is considered to be letter size, printed on one side, single spaced, with characters no smaller
than 12 point using Times font or similaz. Any proposal exceeding the eight (8) page limit, unless
stated otherwise in the RFP, receives a five (5) point penalty for each page over the limit or for each
page not in compliance with the specified format.
After submitting the proposal, any change in the key personnel listed in the proposal, and during the
life of the contract, shall be fast approved in writing by the County.
A.,..a i ..F'1
PROPOSAL EVALUATION CRITERIA
The criteria presented below will be used for evaluating interested consultants.
1. Experience and professional qualifications relevant to the project.
The project manager must have experience in managing project of a similar nature and scope,
unless stated differently in the RFQ. The project engineer's resume must be included in the
appendix.
The consultant shall designate experienced professional and technical staff to competently and
efficiently perform the work, either through their own personnel, sub consultants. The proposal
shall identify the project team composition, project leadership, reporting responsibilities, and
address how sub consultants will fit into the management structure. Resumes of the key team
members, limited to one page per person, must be included in the appendix.
2. Past performance on project of similar scope for public agencies or private industry,
including corrective actions and other responses to notice of de£ciencies.
The consultant shall include a list of all similar projects that the consultant worked on and
successfully completed and list the name, contact person, and phone number of the public
and/or private agencies.
3. Capacity to accomplish the work in the required time.
The consultant must demonstrate that sufficient knowledgeable staff is available and that any
sub consultant hired by the consultant is experienced and capable of performing the work.
The consultant shall include a list of current DPW or HDOT projects, which include the start
and estimated consultant contract completion dates of the projects. The consultant shall also
identify the key team members, including the project manager and any sub consultants.
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