HomeMy WebLinkAboutOCSD 98-08 (REPEALED)RESOLUTION NO. OCSD 98-8
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 BOARD OF DIRECTORS OF
ORANGE COUNTY SANITATION DISTRICT, 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
WHEREAS, the Orange County Sanitation District has, 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 Board of Directors of Orange County Sanitation District,
DOES 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
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.
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REPEALED BY
OCSD 99-23
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 District's 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 affirmative action employment
program.
The District also recognizes 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
District for small capital projects.
The procedures set forth in this Resolution shall govern the retention of such
professional consultants.
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Section 2: Small Capital Projects: Annual Budget. Upon approval from the
Board of Directors of an annual budget, the District's 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
Board of Directors delegates 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 District 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. District's 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 $200,000.00for all purchase
orders under the provisions of Section 3 of this Resolution, for any one consultant.
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 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.
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D. 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 ("RFP") 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
ca pa bi I ities, 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 Staff's discretion, to narrow the field
of firms submitting proposals on the project.
District shall maintain a comprehensive list of professional consultants'
demonstrated competence. · Notice shall be mailed to all firms requesting notice of any
RFP or RFQ issued by the District. 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.
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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.
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(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 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.
(1) 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 District projects.
(2) At the discretion of the District Chair, additional Directors may
be appointed to the Committee to assist in the consideration of proposals for
specific projects.
E. Review of Proposals by Staff Committee and Selection Committee.
(1) 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
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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.
(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 the 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 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
Board of Directors, 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:
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(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 recommendation to the Selection Committee and the
Board of Directors for the services.
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(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 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 determines
that it is in the best interests of the District 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 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, will report to the Selection Committee
said findings and request authority to negotiate directly with the particular
specialized firm.
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(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
of Directors for consideration.
I. Agreement for Services.
(1) Upon approval by the Board of a negotiated agreement for
professional services, a contract shall be executed in a form approved by the
General Counsel.
terms:
(2) The contract shall include, but not be limited to the following
(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
District 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 $50,000.00 in fees or in other
cases as determined by the District, 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 Board of Directors, 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.
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J. Conflict of Interest.
(1) The Distrid maintains 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 District.
(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 seledion under these procedures that violates
the District's Conflid of Interest Code shall be automatically disqualified.
Section 7: Award of Professional Services Agreements for Major Capital Projeds.
A. Professional Consulting Services. The award and execution of an
agreement for professional consulting services on behalf of the District shall be made in
accordance with the following delegations of authority:
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(1)
(2)
(3)
Authorizing Authority
Department Heads
General Manager
OMTS, PDC, or FAHR
Committee (or Standing
(Committees)
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Authorized Action
Solicitation of Requests for Qualifications
("RFQ") and Requests for Proposals
(RFP").
Authorization to evaluate proposals and
to execute contracts up to $25,000.00.
Receive recommendations of Staff and
General Manager, and approve Profes-
sional Services Agreements of over
$25,000.00, up to $50,000.00.
{ 4) Board of Directors Receive recommendations of Staff,
General Manager and Committee, and
approve Professional Services
Agreements for over $50,000.00.
B. Professional Consulting Services Agreement Addenda. The award
and execution of an addendum to an agreement for professional consulting services on
behalf of the District shall be made in accordance with the following:
{1)
{2)
{3)
{4)
Authorizing Authority
Department Head
General Manager
OMTS, PDC, or FAHR
Committee (or Standing
Committee)
Board of Directors
Authorized Action
Authority to negotiate addenda.
Receive recommendation of Staff and
approve contract changes up to
$25,000.00 per addendum. The additive
value of the· changes shall not exceed
$50,000.00.
Receive recommendations of Staff and
General Manager and approve contract
changes between $25,000.00 and
$50,000.00. The additive value of the
changes shall not exceed $100,000.00.
Receive recommendations of Staff,
General Manager and Committee and
approve contract changes for over
$50,000.00.
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 projed, if the engineer's estimate for the construction contrad,
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 of Directors for approval.
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C. For any projed, if the engineer's estimate for the construdion contrad,
as provided by the Diredor of Engineering or the District's consulting design engineer, is
greater than the approved construdion budget for the projed, the Director of Engineering
shall submit the projed to the Standing Committee for recommendation, and based
thereon, to the Board of Directors for approval.
D. For any project, upon receipt of bids for the construdion, if the lowest
responsive bid of a responsible bidder is equal to or less than the approved construction
budget for the projed, the bid will be submitted to the Board of Diredors. The Board of
Diredors, upon receipt of the bid, shall approve the plans and specifications of the project
and may award a contrad. .
E. For any projed, 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 projed, Staff shall present the bid and a recommendation to the Standing
Committee for review and recommendation to the Board 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 $50,000.00, and a total cumulative amount for all
change order additions to the agreement not to exceed 5% of the original agreement
amount, or $100,000.00, 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 $100,000.00, and a total cumulative amount for all change order additions to the
agreement not to exceed 10% of the original agreement amount of $200,000.00, whichever
is lesser.
C. Management and Staff. At such time as the Staff becomes aware of
a fad or circumstance that will likely result in total additive change orders exceeding five
(5%) percent of the original contrad amount, it shall be presented to the Planning, Design
& Construdion Committee at its next regular meeting for review, consideration and
possible action.
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Section 11 : Effective Date. This Resolution shall be effective upon adoption.
PASSED AND ADOPTED at a Special Meeting held July 1, 1998.
Chair
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