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Document Code No:. CON 7-10-2 (AEP)
Department/Issuing Agency: King County Executive
Effective Date: May 25, 2009
Approved: /s/ Kurt Triplett
Type of Action: Supersedes CON 7-10-1 (AEP), October 1, 2000

Signed document (PDF, 293 KB)


1.0 SUBJECT TITLE: Project Control Officer

1.1 EFFECTIVE DATE: 10 days after approval

1.2 TYPE OF ACTION: Supersedes CON 7-10-1(AEP) "Project Control Officer" dated October 1, 2000

1.3 KEY WORDS: Project, Project Control Officer

2.0 PURPOSE:

2.1 To establish policies and procedures to ensure that the necessary project controls are in place to help produce a quality CAPITAL PROJECT that is completed on time and within budget.

3.0 ORGANIZATIONS AFFECTED:

3.1 All Executive Departments, Offices and Agencies.

4.0 REFERENCES:

4.1 CON 7-13-1 (AEP) Introduction to Construction Management Policies and Procedures.

4.2 CON 7-9-2 (AEP) Capital Project Planning and Management.

4.3 CON 7-7-2 (AEP) Procurement for Capital Projects.

4.4 CON 7-8-2 (AEP) Change Order/Amendment Administration.

4.5 CON 7-14 (AEP) Design Management.

4.6 CON 7-5-1 (AEP) Project Closeout.

4.7 FIN 15-2-1 (AEP) Audits of Construction Management Practices.

5.0 DEFINITIONS:

5.1 See CON 7-13-1 (AEP) Appendix A "P&P Defined Terminology".

6.0 POLICIES:

6.1 For selected PROFESSIONAL SERVICE and CONSTRUCTION SERVICE CONTRACTS, a PCO will be assigned to review project control processes, to assist project teams to develop the most effective and practical approach to comply with the P&Ps, and to answer questions regarding the application of the P&Ps as needed.

6.2 The DOF PCO will be available to assist IAs on all CAPITAL PROJECTS when assistance is requested, regardless of CONTRACT value.

7.0 PROCEDURES:

Action By

Action

7.1 Procedures outlining the PCO function are as follows:

7.1.1 Assignment of PCO:

PCO

Assignment

A. Segregation of Duties - To ensure that an independent review of project compliance with the P&Ps can take place, the PCO assigned must be segregated from the project management function. Thus, depending on the CONTRACT value, the PCO assigned will either be from the DOF, or from within the IA (reporting to at least one level above the PROJECT REPRESENTATIVE). However, the DOF PCO will be available to assist the IA in the PCO function regardless of the CONTRACT value.

B. PROFESSIONAL SERVICE CONTRACTS - Based on the total estimated CONTRACT value (including anticipated phase work), the PCO will be assigned as follows:

1. For all IA's except WTD ( Wastewater Treatment Division):

A. If greater than $2 million, then the PCO must be from the DOF;

B. If between $500,000 and $2 million, then the PCO is from the IA; and

2. For WTD (Wastewater Treatment Division):

A. If greater than $4 million, then the PCO must be from the DOF;

B. If between $500,000 and $4 million, then the PCO is from the IA; and

3. If $500,000 or less, then a PCO does not need to be assigned unless executed AMENDMENTS increase the CONTRACT (cumulative) value greater than the amounts listed above. However, if a PCO is not assigned, the PROJECT REPRESENTATIVE is still responsible for ensuring compliance with all P&Ps.

C. CONSTRUCTION SERVICE CONTRACTS - Based on the initial CONTRACT value, the PCO will be assigned as follows:

1. If greater than or equal to $10 million, then the PCO must be from the DOF;

2. If between $1 million and $10 million, then the PCO can be from the IA; and

3. If $1 million or less, then a PCO does not need to be assigned unless executed CHANGE ORDERS increase the CONTRACT value above $1 million. However, if a PCO is not assigned, the PROJECT REPRESENTATIVE is still responsible for ensuring compliance with all P&Ps.

PCO

7.1.2 PCO Role and Responsibilities:

A. General - It is the responsibility of the IA to ensure compliance with the P&Ps. The role of the PCO is to assist the PROJECT REPRESENTATIVE, develop a process for compliance as needed, and to review and report to management whether CAPITAL PROJECTS are in compliance with the P&Ps, and the terms and conditions of the CONTRACT.

PCO

B. Initial Process Review - Once a PCO is assigned, the PCO will meet with the PROJECT REPRESENTATIVE to review the approach and planned control processes to comply with the P&Ps including a review of the IA project management plan. The PCO will be available to assist the PROJECT REPRESENTATIVE to develop adequate control processes as needed.

PCO

C. Follow up Process and DOCUMENTATION Review - If total executed and anticipated CHANGE ORDERS / AMENDMENTS exceed 75% of the planned CONTRACT contingency amount, the PCO will conduct a follow up review of the processes utilized and DOCUMENTATION maintained. In applying this P&P, the CONTRACT contingency shall be assumed to be 10% of the initial CONTRACT value unless otherwise specified by the IA and documented in the project file. The focus of this review is to ensure that the P&Ps have been followed, and to provide compliance suggestions, if needed. For PROFESSIONAL SERVICE CONTRACTS $500,000 or less and CONSTRUCTION SERVICE CONTRACTS $1 million or less, this follow-up review is not required unless CHANGE ORDERS / AMENDMENTS increase the CONTRACT value above $500,000 for PROFESSIONAL SERVICE CONTRACTS, or $1,000,000 for CONSTRUCTION SERVICE CONTRACTS. However, the PROJECT REPRESENTATIVE is still responsible for notifying the IA PCO of all costs greater than 75% of contingency so that the IA PCO can provide summary contingency reporting to IA management.

PCO

D. PCO Review Items - Specific areas of the PCO's review shall include processes and DOCUMENTATION utilized to comply with the P&Ps. This should include, but not be limited to:

1. Project Initiation,

2. Procurement DOCUMENTATION,

3. Use of price/cost analysis,

4. CHANGE ORDER/AMENDMENT process and DOCUMENTATION,

5. PROGRESS PAYMENT Processing and DOCUMENTATION,

6. Design Management,

7. Contingency Tracking/Usage,

8. Schedule Management,

9. Management Reporting, and

10. Document Control Process

PCO

7.1.3 For CONSULTANT CONTRACTS and AMENDMENTS greater than the established thresholds, the IA PROJECT REPRESENTATIVE shall refer the SCOPE OF WORK and accompanying cost ESTIMATE, at the same time, to the responsible PCO for advice and consultation in advance of the final round of negotiations.

IA/PR

7.1.4 The IA PROJECT REPRESENTATIVE is responsible to refer CONSULTANT CONTRACT AMENDMENTS for review to the assigned PCO according to the following:

A. For all IA's except WTD ( Wastewater Treatment Division):

1. AMENDMENTS valued at or over $150 thousand on CONTRACTS under $2 million are referred to the IA PCO for review according to the IA's review guidelines.

2. AMENDMENTS valued at or over $150 thousand on CONTRACTS over $2 million are referred to the DOF PCO for advice and consultation.

B. For WTD ( Wastewater Treatment Division):

1. AMENDMENTS valued at or over $300 thousand on CONTRACTS under $4 million are referred to the IA PCO for review according to the IA's review guidelines.

2. AMENDMENTS valued at or over $300 thousand on CONTRACTS over $4 million are referred to the DOF PCO for advice and consultation.

IA/PR

7.1.5 Recognizing that the IA has both the authority and responsibility to negotiate the CONSULTANT CONTRACT and/or AMENDMENT scope and costs which includes internal department processes for review; the IA shall take PCO recommendations under consideration, particularly those identified as significant. The IA PROJECT REPRESENTATIVE will notify in writing the responsible PCO if he or she is not incorporating or addressing PCO significant recommendations in the final negotiated CONTRACT or AMENDMENT prior to its execution.

IA PCO

7.1.6 The DOF PCO will also be available to assist the IA review/audit CONTRACTOR or CONSULTANT DOCUMENTATION to ensure compliance with CONTRACT terms should the need arise. It is up to the discretion of the IA to determine if a need exists, and whether the DOF PCO should be utilized.

DOF PCO

7.1.7 The DOF PCO will periodically review the performance of IA PCOs to ensure that the PCO function is being consistently applied. If the IA PCO is not adequately performing the PCO function, the DOF PCO:

A. Will notify the IAD,

B. May review past projects on which the IA PCO was assigned and

C. May recommend further training for IA PCO.

IA PCO

DOF PCO

7.1.8 PCO Reporting: IA PCO will work collaboratively with DOF PCO to report results of process and DOCUMENTATION reviews and contingency usage to Department Directors or designees. If a project is not in compliance, additional training by the DOF PCO shall be required of the IA personnel. IA management shall be notified of noncompliance and corrective action to be taken.

PCOs

7.1.9 PCO Training: All IA PCOs will be trained by the DOF PCO to ensure consistency in the PCO function. IA PCOs, together with the DOF PCO, will be responsible for training project management personnel to ensure consistency in P&P interpretation and application.

8.0 RESPONSIBILITIES:

8.1 IA/PROJECT REPRESENTATIVE is responsible for identifying need for PCO involvement.

8.2 PCO is responsible for:

8.2.1 Conducting initial process review of project control processes.

8.2.2 Conducting follow-up process and DOCUMENTATION review if CHANGE ORDERS / AMENDMENTS exceed 75% of contingency amount.

8.2.3 Reporting review results and contingency usage to IAD or designee.

Training

9.0 APPENDICES: None.