HomeMy WebLinkAboutResolution 1990 - 0043 (Amended)RESOLUTION NO.90-43
ESTABLISHING POLICIES AND PROCEDURES FOR THE
SELECTION AND PROCUREMENT OF PROFESSIONAL
ENGINEERING,ARCHITECTURAL,ENVIRONMENTAL,
LAND SURVEYING AND CONSTRUCTION MANAGEMENT
SERVICES
A RESOLUTION OF THE BOARDS OF DIRECTORS
OF COUNTY SANITATION DISTRICTS NOS.1,2,3,5,
6,7,11,13 AND 14 OF ORANGE COUNTY,CALIFORNIA,
ESTABLISHING POLICIES AND PROCEDURES FOR THE
SELECTION AND PROCUREMENT OF PROFESSIONAL
ENGINEERING,ARCHITECTURAL,ENVIRONMENTAL,
LAND SURVEYING AND CONSTRUCTION MANAGEMENT
SERVICES
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The Boards of Directors of County Sanitation Districts Nos.
1,2,3,5,6,7,11,13 and 14 of Orange County,California,
DO HEREBY RESOLVE AND ESTABLISH THE FOLLOWING POLICIES AND
PROCEDURES FOR THE SELECTION AND PROCUREMENT OF ENGINEERING,
ARCHITECTURAL,ENVIRONMENTAL,LAND SURVEYING AND CONSTRUCTION
MANAGEMENT SERVICES:
Section 1:Selection of Professional Technical Consultants
In the selection of a firm or individual professional
technical consultant,as defined in Section 2,it is recognized
that no two individuals or firms have equal training,experience,
skill,capabilities or work loads to meet the demands of any
contemplated project.
For purposes of this Resolution,“firm”shall mean any
individual,firm,partnership,corporation,association,or other
legal entity permitted by law to practice the profession of
architecture,engineering,environmental services,land surveying,
or construction project management.Evaluation and selection of a
consultant firm will include but not be limited to the following:
A.The firm shall be of high ethical and professional
standing,its members being of good moral character,and
it shall be prepared to submit references from persons
of known repute.
B.The principal and other responsible members of the firm
must be registered in the State of California,as
required by law.
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C.A principal member of the firm’s staff must have at least
ten years’recent experience in responsible charge of
work of the type involved in the project.
D.At least two additional members of the firm’s staff must
have at least five years’experience in responsible
charge in the field,or fields,required by the project.
E.The firm shall be capable of performing the work within
the prescribed time limitations considering the current
and planned work loads of the firm.
F.If all other factors are equal,preference shall be given
to a local based firm when more than one firm is being
considered.
G.A firm selected must certify to having an affirmative
action employment program.
Section 2:Definition of Professional Technical Consultants
A.Professional Technical Consultants are those individuals
or firms providing engineering,architectural,
environmental or land surveying services which are those
professional services associated with research,
development,design and construction,alteration,or
repair of real property,as well as incidental services
that members of these professions and those in their
employ may logically or justifiably perform,including
studies,investigations,surveys,evaluations,
consultations,planning,programming,conceptual designs,
plans and specifications,cost estimates,inspections,
shop drawing reviews,sample recommendations,preparation
of operation and maintenance manuals,and other related
services.Services for product testing are excluded.
B.Services covered hereunder include architectural,
engineering,environmental,land surveying,construction
management and related services.
C.A Professional Technical Consultant is an individual,
partnership or corporation (or any combination thereof)
engaged to provide services as described in Section 2.A.
Section 3:Scope of the Project
A.For every project approved by the Board(s)and for which
outside services are required,the District staff shall
develop a comprehensive scope of work.
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B.The scope shall define the extent of the services,the
time required,and shall develop a maximum fee for the
services sought.
C.The maximum fee amount shall be kept confidential until
a selection has been made,but,along with the scope of
work,will be available to any Director upon request.
Section 4:Selection of A Professional Technical Consultant
A.Projects where services are estimated to be less than
$25,000.00.
1.Projects where the maximum professional fees are
estimated to be less than $25,000.00 are usually
specific,small projects normally requiring
specialization in one or two fields of endeavor.
2.Staff shall consider at least three qualified firms
and shall select that firm which appears best
qualified for the project.
3.Notwithstanding the provisions of Section 4.A.2,in
the event the proposed work is considered
continuation or specialized services as described
in Section 5,“Continuation of Services”,or Section
6,“Specialized Services”,upon written
authorization by the General Manager,negotiations
may be limited to the sole qualified firm deemed
desirable for providing said services.
4.Negotiations for compensation for the work shall be
conducted between the firm and staff members
appointed by the General Manager,or their
designees.
5.A requisition for acquisition of services shall be
forwarded to the purchasing office listing the firms
considered,the reasons for choosing the firm
selected and shall certify that the negotiated fee
for compensation to the firm is reasonable for the
services requested and will not result in excess
profits for the firm.
6.The purchasing office shall process the requisition
in accordance with the purchasing policy established
by the Boards of Directors.
7.The evaluation of the firm’s qualifications and the
fee negotiations will not be made public but will
be available to any Director upon request.
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8.In cases where the aggregate amount of services is
expected to exceed $10,000.00 and a project may be
funded through a federal grant program,all
applicable provisions of federal law,including but
not limited to 40 CFR,35.937,shall apply to the
solicitation of proposals and negotiations for
professional technical consultant service.
B.Projects where services are estimated at greater than
$25,000.00.
1.Public Notice.
a.Appropriate public notice shall be given by
publication of a notice of request for
qualifications in professional journals or
publications of general circulation.
b.The notice shall request written statements of
qualification only.
c.As an alternative to the notice by publication,
the District shall maintain a list of firms
previously determined to be qualified based on
demonstrated competence and notice of the
request for qualifications shall be mailed to
those firms who have the capabilities and
specialization to qualify for the project.
2.screening Committee.
A Screening Committee comprised of a minimum of
three staff members designated by the General
Manager shall select at least three firms who appear
fully and best qualified,based on demonstrated
competence,for the project.
3.Proposals.
a.Staff will prepare written requests for
proposals setting forth the scope of work and
other information necessary for the qualified
firm to properly prepare and submit a proposal.
Proposals shall be solicited from the three
firms deemed most qualified.
b.Proposals submitted shall:
(1)Acknowledge the scope of the project and
extent of the services required.
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(2)Include a description of the firm’s
qualifications for performing the proposed
work,including a current financial
statement evidencing the ability to
satisfactorily perform all the items
proposed and required.
(3)In the case of a proposal for construction
management services,each firm shall
provide evidence that its personnel that
will carry out on-site responsibilities
have expertise and experience in
construction project design review and
evaluation,construction mobilization and
supervision,bid evaluation,project
scheduling,cost—benefit analysis,claims
review and negotiation,and general
management and administration of a
construction project.
(4)Include past performance records of the
firm.
(5)Demonstrate the firm’s capabilities to
complete the work within the time
allotted.
(6)Identify the specific key personnel to be
assigned to the project.
(7)Provide an estimate of the number of hours
involved in each aspect of the scope of
work for such personnel.
(8)Be accompanied by a sealed fee proposal
estimate which shall not be opened until
the firm is selected as being qualified.
Thereafter,it shall be the basis,for
procurement negotiations.The form of the
fee proposal shall be as described in
Section 6(b)and (c)below.
(9)Contain a conflict of interest disclaimer.
(10)Provide any other information required to
properly evaluate the firm’s
qualifications and familiarity with the
types of problems applicable to the
project.
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4.Selection Committee Members.
a.Joint Works.
(1)The appointed Selection Committee for
Boards of Directors and a minimum of one
staff member appointed by the General
Manager,or their designees.
(2)At the discretion of the Joint Chairman,
additional Directors may be appointed to
the Committee to assist in the
consideration of proposals for specific
projects.
b.Individual Districts.
(1)Districts with three-member boards:The
Selection Committee of a District with a
three—member Board shall be comprised of
the Chairman of the District and a minimum
of one staff member appointed by the
General Manager,or their designees.
(2)Districts with more than a three-member
Board:The Selection Committee of a
District with more than a three-member
Board shall be comprised of the Chairman
and Chairman Pro Tern of the District and
a minimum of one staff member appointed
by the General Manager,or their
designees.
5.Review and Selection
a.The Selection Committee shall review each
proposal and the qualifications of each firm
with due consideration of office location,
reputation in the professional community,
experience,both generally and specifically on
similar-type projects financial standing,
number of qualified personnel and their
availability for the project,quality of
references,work load and other factors
relevant to the project being considered.
b.The Selection Committee,upon completion of
their evaluation of all proposals,shall
determine those firms deemed to be fully
qualified to provide the services sought by
District based on their demonstrated competence
and qualifications.
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c.The Selection Committee,upon making a
determination of the fully qualified firms
shall open the sealed fee proposal of the
qualified firms.The Selection Committee shall
thereafter rank the firms considered,in order
of desirability,based upon the qualification
of each,as described in Paragraph 5a above,
together with the estimated fee proposal.
6.Procurement and Negotiation of Agreement.
To determine the firm to be selected and the
compensation for the services sought,the following
procedures will be strictly adhered to:
a.The Selection Committee will,at its
discretion,invite the firm that is considered
to be the best qualified to appear before the
Committee.
b.The firm shall present,in writing,to the
Selection Committee,a proposal for fees
associated with the services.The proposal for
compensation .shall be presented in sufficient
detail to enable the Selection Committee to
adequately ascertain the level of effort
associated with the scope of work and to
determine whether the firm has thoroughly
identified the efforts associated with the
services and thoroughly understands the work
required.
c.The basis of the fee shall be:Cost plus a
fixed fee with a maximum amount,a per diem
rate(s)with a maximum amount,or a lump sum
(fixed)fee.
d.If it is the decision of the Selection
Committee to use methods for compensation other
than the lump sum or cost plus a fixed fee with
a maximum,or the per diem rates with a
maximum,justifications for this decision shall
be made by the Selection Committee in their
recommendation to the Board(s)of Directors for
the services.
e.The Selection Committee shall review the
compensation requested by the firm which shall
be compared with the maximum fee as previously
established.
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f.The final negotiated fee,as recommended to the
Board(s)of Directors,shall be certified by
the Selection Committee as reasonable for the
services requested and not resulting in
excessive profits for the firm.
g.If agreement is not reached,the negotiations
should be terminated and similar interviews
should then’follow with the next-ranked firm.
h.All such negotiations shall be on a strictly
confidential basis and in no case shall the
compensation discussed with one firm be
discussed with another.
Section 5:Continuation of Services
A.In some instances where a qualified firm has
satisfactorily completed one phase in the development of
a project and the Board(s)determine that it is in the
best,interests of the District(s)to retain the same firm
for subsequent phases of related work,the Selection
Committee may be authorized to proceed directly with
negotiations with that firm for the additional work.
B.This situation may arise when a firm has completed a
feasibility report or a master plan report and the
services for said work are satisfactory to the Board(s)
and the procedure of examining other firms for subsequent
phases is not deemed necessary.
C.In the event that satisfactory negotiations for price
cannot be concluded under these circumstances,
negotiations should be terminated and the provisions set
forth hereinabove for selection of a firm would apply.
Section 6:Specialized Services
A.In the event that specialized services are required where
it is determined that only one qualified firm can best
perform the services for a specific project,the
Selection Committee,in the case where the fees are
greater than $25,000.00,will report to the Board(s)said
findings and request authority to negotiate directly with
the particular specialized firm.
B.The basis of selection of the specialized firm or
individual,along with the negotiated fee,shall be
presented to the Board(s)of Directors for consideration.
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Section 7:Agreement for Services
A.Upon approval by the Board(s)for a negotiated agreement
for services,a contract shall be executed in a form
approved by the General Counsel.
B.The contract shall include:
1.A statement of the scope of the project.
2.The basis and individual elements of the fees.
3.The basis for payment to the firm.
4.The time limits in which the services must be
performed.
5.Provisions for fee adjustments should there be
changes in the scope of work.
6.If it is determined by the Selection Committee that
the Districts may be caused to incur a penalty or
liability,or suffer a loss because of the failure
of the firm to perform the work within specified
time limits,the contract shall include a clause
setting forth penalties for such nonperformance or
delayed performance,in amounts to be determined by
the Committee.
7.For projects exceeding $25,000.00 in fees,the firm
may,if determined appropriate by the Selection
Committee based on the nature and size of the
project,be required to carry errors and omissions
insurance coverage in an amount determined by the
Selection Committee to be adequate for the project.
8.Any other provisions deemed necessary or desirable.
C.Progress payments made to the firm during the time the
services are being supplied shall be based on the work
completed to date,as recommended by the responsible
staff member.
Section 8:Conflict of Interest
A.The District(s)maintain a Conflict of Interest Code,
pursuant to California Government Code Section 87100 et
seq.,which governs the activities and performance of
duties of its officers,employees or agents in the
conduct of project work,including procurement.
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B.No Director,officer,employee or agent shall solicit or
accept rebates,kickbacks,favors or other unlawful
consideration from any individual or firm on behalf of
any firm that may be potentially selected as a qualified
firm to provide professional technical consultant
services to the District.Acceptance of food and
refreshments of nominal value on infrequent occasions
and acceptance of gratuities or gifts shall not be deemed
a violation of this provision,provided that if said
items exceed $250.00 in value,in a calendar year,the
Director,officer,employee or agent may be disqualified
from participating in the decision pursuant to Article
III of the District’s Conflict of Interest Code;and,
provided further,that any Director,officer,employee
or agent,as a designated employee under the District’s
Conflict of Interest Code,has reported said gifts on
his/her annual Statement of Economic Interest as required
by said Code.
Any Director,officer,employee or agent and each firm
proposing to provide professional technical consultant
services shall be bound by the provisions of the
District’s Code of Ethics presently in force and effect,
and specifically but not limited to,Section 7D thereof
relating to gifts.
C.Any firm seeking selection under these procedures that
violates the District(s)Conflict of Interest Code shall
be automatically disqualified.
Section 9:Effective Dates and Revision Procedure
A.This policy shall become effective on May 9,1990.
B.This policy may be modified from time to time as
necessary to best meet the needs of the District(s).
PASSED AND ADOPTED at a regular meeting held May 9,1990.
(B30.pj)
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STATE OF CALIFORNIA)
)SS.
COUNTY OF ORANGE )
I,RITA J.BROWN,Secretary of the Boards of Directors of County
Sanitation Districts Nos.1,2,3,5,6,7,11,13 and 14 of Orange County,
California,do hereby certify that the foregoing Resolution No.90—43 was
passed and adopted at a regular meeting of said Boards on the 9th day of May,
1990,by the following vote,to wit:
AYES:Wes Bannister,Roland E.Bigonger,A.B.“Buck~Catlin,John C.
Cox,Jr.,Norman E.Culver,Richard B.Edgar,Beth Graham,
Don R.Griffin,Dan Griset,Evelyn Hart,William D.Mahoney,
Robert H.Main,Darryl G.Miller,James Neal,Carrey J.Nelson,
Arthur G.Newton,Irv Pickier,Ruthelyn Plumer,Richard 1.
Poiis,Charles E.Puckett,Phil Sansone,Sally Anne Sheridan,
J.R.“Bob”Siefen,Jim Silva,Don E.Smith,Roger R.Stanton,
Charles E.Sylvia,Paul Verellen,James A.Wahner,Henry W.
Wedaa,Wayne D.Wedin,Edna Wilson,Grace H.Winchell
NOES:None
ABSENT:Margaret M.Arnold,Wayne Silzel
IN WITNESS WHEREOF,I have hereunto set my hand and affixed the official
seal of County Sanitation District No.1 on behalf of itself and Districts
Nos.2,3,5,6,7,11,13 and 14 of Orange County,California,this 9th day
of May,1990.
Rita J.Browpr,Secretary
Boards of Directors,County
Sanitation Districts Nos.1,2,3,5,
6,7,11,13 and 14 of Orange County~,
California