HomeMy WebLinkAboutResolution 97-37RESOLUTION NO.97-37
ESTABLISHING POLICIES AND PROCEDURES FOR:
SELECTION AND PROCUREMENT OF PROFESSIONAL
ENGINEERING.ARCHITECTURAL.ENVIRONMENTAL.
LAND SURVEYING AND CONSTRUCTION MANAGEMENT
SERVICES:APPROVAL OF PLANS AND SPECIFICATIONS
AND APPROVAL OF CONSTRUCTION CHANGE ORDERS
A RESOLUTION OF THE BOARDS OF DIRECTORS OF
COUNTY SANITATION DISTRICT NOS.1,2,3,5,6,7,II,13
AND 14 OF ORANGE COUNTY,CALIFORNIA,
ESTABLISHING POLICIES AND PROCEDURES FOR:(1)
SELECTION AND PROCUREMENT OF PROFESSIONAL
ENGINEERING,ARCHITECTURAL,ENVIRONMENTAL,
LAND SURVEYING AND CONSTRUCTION MANAGEMENT
SERVICES;(2)APPROVAL OF PLANS AND
SPECIFICATIONS;AND (3)APPROVAL OF
CONSTRUCTION CHANGE ORDERS;AND REPEALING
RESOLUTIONS NOS.90-43,94-110 AND 95-9
WHEREAS,the County Sanitation Districts have,in the interest of uniformity,
fairness and cost effectiveness undertaken to establish policies and procedures for the
selection and procurement of professional engineering,architectural,environmental,land
surveying and construction management services.
NOW,THEREFORE,the Boards of Directors of County Sanitation District Nos.1,
2,3,5,6,7,11,13 and 14 of Orange County,California,
DO HEREBY RESOLVE,DETERMINE AND ORDER:
Section 1:General Provisions
This Resolution establishes a procedure to be followed in the selection and
retention of professional consultants in the areas of engineering,architecture,
environmental,land surveying,construction management services and related services.
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
2094-100
55013 1 —1—12/18/97
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.
It is recognized that no two individuals or firms have equal skills,training,or
experience and that the qualities of such persons vary.Accordingly,professional
consultants shall be selected based upon the Districts’discretion and opinion as to which
particular consultant is best qualified to perform the work (hereinafter referred to as
“projects”)in question.
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.
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 equal opportunity employment
program.
The Districts also recognize that the scope of services and the qualifications of
consultants can differ significantly between major capital facilities projects and small
capital projects.The criteria set forth in Paragraphs C and D above may be waived by
Districts for small capital projects.
-2-12/18/97
The procedures set forth in this Resolution shall govern the retention of such
professional consultants.
Section 2:Small Capital Projects:Annual Budget
Upon approval from the Boards of Directors of an annual budget,Districts’staff
shall be authorized to solicit contract proposals with professional engineering,
architectural,environmental,land surveying and construction management firms for all
small capital projects as defined and as prescribed herein.
Section 3:Small Capital Projects:Approval of Plans and Specifications
The Boards of Directors delegate to the Director of Engineering,as a Professional
Registered Engineer,the authority to approve the design,plans and specifications for
construction of new or modified Districts’facilities that are deemed small capital projects,
as defined in Section 4A below.
Section 4:Small Capital Projects:Selection of Consultants -Procedure
A.“Small capital projects”is defined as a miscellaneous capital improvements
and facility modifications,replacement or repairs project related to plant
safety,reliability and efficiency enhancements where professional consulting
services are estimated to be in an amount not to exceed $50,000.00 for each
project.
B.Districts’staff shall compile a master pre-approved list of 5-10 firms having
the required expertise to perform the service for a small project.The master
list of firms will be selected annually based upon a solicitation,review of
qualifications and Board approval.Thereafter,the Department Director shall
be authorized to recommend to the General Manager,execution of an
annual professional consulting services agreement with each of the parties
designated on the approved master list.The professional consulting
services agreement for each party on the master list shall be forwarded to
the purchasing office which,upon request of the Department Director,shall
prepare the appropriate requisition documentation to insure future payment
to the consultant.As a need for an individual specific project arises,the
District will implement the Agreement by the issuing of its standard form
purchase order identifying the specific project by name and number and
including the approved scope of work required of the consultant for the
project.The scope of work for any individual project,as identified in the
purchase order,shall not entail a cost in excess of $50,000.00,with an
annual limitation of $200,000.00 for all purchase orders under the provisions
of Section 3 of this Resolution,for any one consultant.
-3-12/18/97
C.The Department Director shall first obtain at least two (2)price proposals
from consultants before the subject scope of work and purchase order is
awarded to a consultant.This requirement may be waived at the discretion
of the Department Director,with the concurrence of the General Manager
and consent of the District Chair or Vice Chair (which shall be confirmed in
writing),where a determination is made that the subject work is unique such
that only one (1)consultant is available to perform the work,or where
significant time constraints or emergency conditions dictate that one (1)
consultant be solicited for price.The Department Director,or his designee,
shall review the proposals specifically addressing qualifications,cost and
ability to meet District schedule requirements.Based on the evaluations,the
Department Director is authorized to award the project purchase order.
0.Once the consultant is selected for the award of a small capital project and
the purchase order is executed by the District,the Department Director shall
issue the notice to proceed.
Section 5:Major Capital Projects:Scope
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.
B.The scope shall define the extent of the services and the time required.
Section 6:Major Capital Projects:Selection of Consultants -Procedure
For any professional consulting services where the procedures of Sections 2,3,
and 4 are not utilized,the following procedures shall apply:
For professional consulting services to be rendered on a single project that will
exceed Fifty Thousand Dollars ($50,000.00),the following procedures shall be followed:
A.Proposals -Notice Requesting
Staff shall prepare a Request for Proposal (“REP”)or a Request for
Qualifications (“RFQ”)for the scope of work which shall include a
request for the firm’s qualifications,personnel capability,
demonstration of firm’s capabilities,identification of personnel
assigned to the project,estimate of number of hours for each aspect
of the project,fee proposals and conflict of interest disclaimer.The
Request for Qualifications’process may be used,at Staffs discretion,
to narrow the field of firms submitting proposals on the project.
Districts shall maintain a comprehensive list of professional
consultants’demonstrated competence.Notice shall be mailed to all
firms requesting notice of any REP or RFQ issued by the District.
-4-12/18/97
Optionally,notice may be given by publication in professional journals
or publications of general circulation.
B.Staff Screening Committee
A screening committee of at least two (2)staff members as chosen by
the Department Director shall review all submitted proposals and
select at least three (3)firms who appear fully qualified for submittal
to the respective Selection Committee or District Board,as described
in Paragraph D below for further evaluation and selection.
C.Proposals -Contents
Proposals submitted shall:
(1)Acknowledge the scope of the project and extent of the
services required.
(2)Include a description of the firm’s qualifications for performing
the proposed work.
(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.
-5-12/18/97
The form of the fee proposal shall be as described in
Subsections F2 and F3 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.
D.Selection Committee -Membership
Joint Works.
(a)The members of the Board of Directors Standing Committee
principally responsible for the project and contract under
consideration for approval shall constitute the Selection
Committee for Joint Works projects.
(b)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.
2.Individual Districts.
(a)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 his designee.
(b)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 his designee.
E.Review of Proposals by Staff Committee and Selection Committee
The Staff 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,the project approach,understanding of the
scope of work,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.
-6-12/18/97
2.The Staff 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.
3.The Staff Committee,upon making a determination of the fully
qualified firms,shall rank the firms considered,in order of preference,
based upon the qualification of each,as described in Paragraph 6E1
above.Thereafter the Committee shall open the sealed fee proposal
of the qualified firms.Based upon the fee proposal,the committee
may recommend to the Selection Committee or the Board(s)of
Directors an individual or firm for award of the contract which is not
ranked higher than firms with higher fee proposals.
4.The Selection Committee shall receive and review the
recommendation of the Staff Committee and either award or
recommend to the Joint Boards or the individual District Board,either
the approval or disapproval of the Staff recommendation to award a
contract,as authorized in Section 7 below.
F.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:
1.The Staff Committee will,at its discretion,invite the firm that is
considered to be the best qualified to appear before the Staff
Committee.
2.The proposal for fees associated with the services as submitted by
the selected firm shall be presented in sufficient detail to enable the
Staff 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.
3.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.
4.If it is the decision of the Staff 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 Staff Committee in its
2094-100
55013 1 -7-12/18/97
recommendation to the Selection Committee and the Board(s)of
Directors for the services.
5.The Staff Committee shall review the compensation requested by the
firm which shall be compared with the maximum fee as previously
established.
6.The final negotiated fee,as recommended to the Selection Committee
and Board(s)of Directors,shall be certified by the Staff Committee as
reasonable for the services requested and not resulting in excessive
profits for the firm.
7.If agreement is not reached,the negotiations should be terminated
and similar interviews should then follow with the next-ranked firm.
8.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.
G.Continuation of Services
1.In some instances where a qualified firm has satisfactorily completed
one phase in the development of a project and the Board(s)
determines that it is in the best interests of the District(s)to retain the
same firm for subsequent phases of related work,the Staff Committee
or the Selection Committee may be authorized to proceed directly
with negotiations with that firm for the additional work.
2.Continuation of services may arise when a firm has completed a
feasibility report or a preliminary engineering 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 or cost effective.
3.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.
H.Specialized Services
1.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 in an amount greater than $50,000.00,the Staff
Committee,in the case where the fees are greater than $50,000.00,
2094-100
55013 1 -8-12/18/97
will report to the Selection Committee said findings and request
authority to negotiate directly with the particular specialized firm.
2.The basis of selection of the specialized firm or individual under
Section 6H1 above,along with the negotiated fee,shall be presented
to the Board(s)of Directors for consideration.
Agreement for Services
Upon approval by the Board(s)of a negotiated agreement for
professional services,a contract shall be executed in a form
approved by the General Counsel.
2.The contract shall include,but not be limited to the following terms:
(a)A statement of the scope of the project.
(b)The basis and individual elements of the fees.
(C)The basis for payment to the firm.
(d)The time limits in which the services must be performed.
(e)Provisions for fee adjustments should there be changes in the
scope of work.
(f)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.
(g)For projects exceeding $50,000 in fees or in other cases as
determined by the Districts,errors and omissions insurance in
an amount recommended by the General Counsel (based
upon engineering data from the Department Director)shall be
required,unless the Standing Committee or District’s Board,
as the case may be,waives said insurance.
3.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.
2100
-9-12/18/97
J.Conflict of Interest
1.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 for the Districts.
2.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 consulting 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 $260.00 in value,in a calendar year,the Director,officer,
employee or agent may be disqualified from participating in the
decision pursuant to Article Ill 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.
3.Any firm seeking selection under these procedures that violates the
District(s)Conflict of Interest Code shall be automatically disqualified.
Section 7:Award of Professional Services Agreements for
Major Capital Projects
A.Professional Consulting Services The award and execution of an
agreement for professional consulting services on behalf of the Districts
shall be made in accordance with the following delegations of authority:
Authorizing Authority Authorized Action
1.Department Heads Solicitation of Requests for Qualifications
(“RFQ”)and Requests for Proposals
(REP”).
2.General Manager Authorization to evaluate proposals and
to execute contracts up to $25,000.
3.OMTS,PDC,or FAHR Receive recommendations of Staff and
Committee (or Standing General Manager,and approve Profes
(Committees)sional Services Agreements of over
$25,000 up to $50,000.
-10-12/18/97
4.Boards of Directors Receive recommendations of Staff,
General Manager and Committee,and
approve Professional Services
Agreements for over $50,000.
B.Professional Consulting Services Agreement Addenda The award and
execution of an addendum to an agreement for professional consulting
services on behalf of the Districts shall be made in accordance with the
following:
Authorizing Authority Authorized Action
1.Department Head Authority to negotiate addenda.
2.General Manager Receive recommendation of Staff and
approve contract changes up to $25,000
per addendum.The additive value of the
changes shall not exceed $50,000.
3.OMTS,PDC,or FAHR Receive recommendations of Staff and
Committee (or Standing General Manager and approve contract
Committee)changes between $25,000 and $50,000.
The additive value of the changes shall
not exceed $100,000.
4.Boards of Directors Receive recommendations of Staff,
General Manager and Committee and
approve contract changes for over
$50,000.
Section 8:Major Capital Projects:Approval of Plans and Specifications
The procedure and authority for the approval of the design plans and specifications
for construction of new or modified District’s major capital projects is as follows:
A.For any project with approved budget authority,the Director of Engineering
is authorized to advertise for construction bids,set a bid date,and receive
all bids.
B.For any project,if the engineer’s estimate for the construction contract,as
provided by the Director of Engineering or the District’s consulting design
engineer is equal to or less than the approved construction budget for the
project,the Director of Engineering may advertise for bids,and upon receipt,
the lowest responsive bid of a responsible bidder will be submitted to the
Board(s)of Directors for approval.
2094-100
550131 11 12118/97
C.For any project,if the engineer’s estimate for the construction contract,as
provided by the Director of Engineering or the District’s consulting design
engineer,is greater than the approved construction budget for the project,
the Director of Engineering shall submit the project to the Standing
Committee for recommendation,and based thereon,to the Board(s)of
Directors for approval.
D.For any project,upon receipt of bids for the construction,if the lowest
responsive bid of a responsible bidder is equal to or less than the approved
construction budget for the project,the bid will be submitted to the Board(s)
of Directors.The Board(s)of Directors,upon receipt of the bid,shall
approve the plans and specifications of the project and may award a
contract.
E.For any project,upon receipt of bids for the construction,if the lowest
responsive bid of a responsible bidder is greater than the approved
construction budget for the project,Staff shall present the bid and a
recommendation tothe Standing Committee for review and recommendation
to the Board(s)of Directors.
Section 9:Major Capital Projects:Approval of Change Orders to
Construction Agreements
The procedure and authority for the approval of change orders to construction
agreements is as follows:
A.General Manager The General Manager is authorized to approve any
single change order with a total amount of additions to the agreement (not
the net amount of the change order),not to exceed $50,000,and a total
cumulative amount for all change order additions to the agreement not to
exceed 5%of the original agreement amount,or $100,000,whichever is
lesser.
B.Planning.Design &Construction Committee The Planning,Design &
Construction Committee is authorized to approve any single change order
with a total amount of additions to the agreement (not the net amount of the
change order),not to exceed $100,000,and a total cumulative amount for
all change order additions to the agreement not to exceed 5%of the original
agreement amount of $200,000,whichever is lesser.
C.Management and Staff At such time as the Staff becomes aware of a fact
or circumstance that will likely result in total additive change orders
exceeding five (5%)percent of the original contract amount,it shall be
presented to the Planning,Design &Construction Committee at its next
regular meeting for review,consideration and possible action.
-12-12/18/97
Section 10:Repealer
Districts’Resolutions Nos.90-43,94-110 and 95-9 are hereby repealed in their
entirety.
Section 11:Effective Date
This Resolution shall be effective upon adoption.
PASSED AND ADOPTED at a regular meeting held
________________,
1997.
-13-12/18/97