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HomeMy WebLinkAbout10-09-2013 Administration Commitee Agenda Package Wednesday, October 9, 2013 5:30 P.M. Orange County Sanitation District - Administration Building Regular Meeting of the Board Room Administration Committee 10844 Ellis Avenue Fountain Valley, CA 714 593-7130 AGENDA PLEDGE OF ALLEGIANCE: DECLARATION OF QUORUM: PUBLIC COMMENTS: If you wish to speak, please complete a Speaker's Form and give it to the Clerk of the Board. Speakers are requested to limit comments to three minutes. REPORTS: The Committee Chair and the General Manager may present verbal reports on miscellaneous matters of general interest to the Committee Members. These reports are for information only and require no action by the Committee. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: CONSENT: 1. Approve Minutes of the September 11, 2013 Administration Committee Meeting. NON-CONSENT: 2. Recommend to the Board of Directors to: Approve the purchasing ordinance, Ordinance No. OCSD-XX entitled "Establishing Requirements and Procedures for the Purchase of Goods, Services, and Public Works Projects" for first reading at the October 2013 Board meeting. 10/09/13 Administration committee Agenda Page 1 of 2 3. A. Waive the one year prohibition in OCSD Personnel Policy 1.4 for James D. Ruth regarding retaining former employees as independent contractors or consultants; and B. Authorize the Board Chair to execute a Consulting Services Agreement with James D. Ruth effective October 1, 2013 for an extension of services relative to labor negotiations at an hourly rate of $200 per hour for a total not to exceed amount of$48,000. INFORMATION ONLY: 4. Information Technology Three-Year Strategic Plan FY 2013-2014. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: ADJOURNMENT: The next Administration Committee meeting is scheduled for Wednesday, November 13, 2013, at 5:30 p.m. Accommodations for the Disabled: Meeting Rooms are wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Clerk of the Board's once at (714)593-7130 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Aaenda Posting: In accordance with the requirements of California Government Code Section 54954.2,this agenda has been posted outside the main gate of the Sanitation District's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all,or a majority of the Board of Directors,are available for public inspection in the office of the Clerk of the Board. NOTICE TO DIRECTORS: To place items on the agenda for the Committee Meeting, items must be submitted to the Clerk of the Board 14 days before the meeting. Mafia E.Ayala Clerk of the Board (714)593-7130 mavala(d)ocsd.com For any questions on the agenda,Committee members may contact staff at: General Manager James Herberg (714)593-7110 iherbere(rpocsd.com Assistant General Manager Bob Ghirelli (714)593-7400 rohirelli[&,ocsd.cem Director of Finance and Lorenzo Tyner (714)593-7550 ItwertDomd.com Administrative Services Director of Human Resources Jeff Reed (714)593-7144 ireed(Mocsd.com 10/09/13 A ministration Committee Agenda Page 2 of 2 ITEM NO. 1 MINUTES OF THE REGULAR MEETING OF THE ADMINISTRATION COMMITTEE Orange County Sanitation District Wednesday, September 11, 2013, at 5:30 P.M. A regular meeting of the Administration Committee of the Orange County Sanitation District was held on September 11, 2013, at 5:30 p.m., in the Sanitation District's Administration Building. Following the Pledge of Allegiance, a quorum was declared present, as follows: COMMITTEE MEMBERS PRESENT: STAFF PRESENT: Brad Reese, Chair Jim Herberg, General Manager John Withers, Vice-Chair Bob Ghirelli, Assistant General Manager David Benavides Lorenzo Tyner, Director of Finance Steven Choi & Administrative Services Tyler Diep Jeff Reed, Director of Human Resources Jim Ferryman Nick Arhontes, Dir. Of Facilities Support Peter Kim Services Prakash Narain Ed Torres, Director of Operations & Janet Nguyen Maintenance Joe Shaw Kelly Lore, Administrative Assistant Teresa Smith Maria Ayala, Clerk of the Board Troy Edgar, Board Chair Rich Castillon, IT Systems & Operations John Anderson, Board Vice Chair Manager Wesley Bauer COMMITTEE MEMBERS ABSENT: Jennifer Cabral Jim Colston None Ted Gerber Roya Sohanaki Rob Thompson OTHERS PRESENT: Brad Hogin, General Counsel Stephanie King, Consultant, PIMCO Todd Stanley, Consultant, PIMCO PUBLIC COMMENTS: None. REPORT OF COMMITTEE CHAIR: Committee Chair Reese did not give a report. REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES: Lorenzo Tyner introduced Wes Bauer, Safety and Health Supervisor who briefly explained and demonstrated the two types of Atmospheric Monitors. Lorenzo Tyner introduced PIMCO representatives, Stephanie King and Todd Stanley, who provided a "Strategy Review" handout to the Committee and reported on the status of the Orange County Sanitation District Investment Portfolio. The Committee expressed concerns over the market performance of the portfolio and requested further clarification of the Investment Policy and also requested a 10-year trend comparison to other agencies be completed and presented to the Committee at a future meeting. CONSENT: 1. MOVED, SECONDED, AND DULY CARRIED: Approve Minutes of the July 10, 2013 Administration Committee Meeting. 2. MOVED, SECONDED, AND DULY CARRIED: Recommend to the Board of Directors to: Receive and file report of reimbursements to Board Members and Staff per Government Code 53065.5 for the period July 1, 2012 through June 30, 2013. Director Nguyen abstained. 3. MOVED, SECONDED, AND DULY CARRIED: Recommend to the Board of Directors to: A. Approve the Electronic Recording Memorandum of Understanding (MOU) with the County of Orange, Clerk-Recorder's office; and B. Authorize the Clerk of the Board, or her designee, to transmit/record any and all required Orange County Sanitation District real property documents in an electronic format. Director Nguyen abstained. NON-CONSENT: 4. MOVED, SECONDED, AND DULY CARRIED: Recommend to the Board of Directors to: A. Adopt Resolution No. OCSD 13-XX, authorizing the execution and delivery by the Orange County Sanitation District of an Installment Purchase Agreement, a Trust Agreement and a Continuing Disclosure Agreement in connection with the execution and delivery of Orange County Sanitation District Revenue Refunding Certificate Anticipation 09/11A3 Administration Committee Minutes Page 2 of 4 Notes, Series 2013A, authorizing the execution and delivery of such Notes evidencing principal in an aggregate amount of not to exceed $135,000,000, approving a Notice of Intention to Sell, authorizing the distribution of an Official Notice Inviting Bids and an Official Statement in connection with the offering and sale of such Notes and authorizing the execution of necessary documents and related actions; and B. That the Orange County Sanitation District Financing Corporation approve the documents supporting and authorizing the Notes in an aggregate amount not to exceed $135,000,000. Lorenzo Tyner responded to questions from the Committee regarding the refunding of the notes and its fixed-rate debt issuance. 5. MOVED, SECONDED, AND DULY CARRIED: Recommend to the Board of Directors to: A. Approve a Professional Services Agreement with enfoTech & Consulting, Inc., Specification CS-2012-5256D, for Implementation of a Commercial- off-the-shelf Pretreatment Information Management System, for an amount not to exceed $780,393; and B. Approve first year technical support and maintenance for the amount of $65,266; and C. Approve a contingency of$84,566 (10%). Lorenzo Tyner, Rich Castillion and Ted Gerber responded to various questions from the Committee regarding: proposal evaluations, software functionality and costs. INFORMATION ONLY: None OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. 09/11/13 Administration Committee Minutes Page 3 of 4 ADJOURNMENT: Committee Chair Reese declared the meeting adjourned at 6:30 p.m. Submitted by: Kelly A. Lore Administrative Assistant 09/11/13 Administration Committee Minutes Page 4 of 4 ADMINISTRATION COMMITTEE Meeting Date TOBd.of Dir. 10/09/13 10/23/13 AGENDA REPORT ItemNumber Item Number z Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance &Administrative Services SUBJECT: PURCHASING ORDINANCE GENERAL MANAGER'S RECOMMENDATION Approve the purchasing ordinance, Ordinance No. OCSD-XX entitled "Establishing Requirements and Procedures for the Purchase of Goods, Services, and Public Works Projects'for first reading at the October 2013 Board meeting. SUMMARY The proposed Purchasing Ordinance sets forth the requirements that apply to the District's purchase of goods and services. These requirements are currently set forth in Resolution No. OCSD 07-04, and subsequent amending Resolution No. OCSD 07-13 and Resolution No. OCSD 12-17. The proposed Ordinance updates and reorganizes the requirements set forth in all three resolutions, clarifies a number of individual requirements, and makes some substantive changes. The Ordinance, for example, adds new procedures whereby an aggrieved bidder or proposer may protest the solicitation process and/or the award of a contract. Purpose. The Ordinance is designed to ensure that (1) the District complies with state law requirements governing procurement; (2) the District obtains quality goods and services at the lowest price and/or the best overall value; (3) purchasing decisions are transparent for the public; and (4) the procurement process is fair to prospective contractors while serving the interests of the District's ratepayers. The Ordinance also delegates spending authority to the Standing Committees and the General Manager within specified limits. Competitive Selection in General. Depending on the nature of the procurement, the Ordinance generally requires the District to select contractors based on either competitive bids or competitive proposals. Under a competitive bid process, the District issues a notice inviting bids. Prospective contractors then submit sealed bids, and the District awards the contract to the lowest responsive, responsible bidder. Under a competitive proposal process, the District issues a request for proposals. Prospective contractors then submit sealed proposals, and the District awards the contract to the proposal that best meets the criteria specified in the request for proposals. The winning proposal may or may not be the proposal that offered the lowest price. Page 1 of 3 Exceptions to Competitive Selection. In exceptional circumstances, the Ordinance allows the District to select contractors without any competitive process. The Ordinance allows the District, for example, to award a contract on a "sole source" basis when the goods or services in question are unique or only available from one source. The Ordinance also allows the District to award contracts without any competitive process as may be necessary to respond to an emergency. Types of Procurements. The Ordinance sets forth different requirements for four types of procurements: (1) goods and services (other than professional services); (2) professional services (other than professional design services); (3) professional design services; and (4) public works construction. The Ordinance generally requires the District to purchase goods and services, other than professional services, based on the lowest price. In contrast, however, the Ordinance generally requires the District to award professional service contracts to the most qualified firm, as long as the proposed price is fair and reasonable. Finally, pursuant to State law, the Ordinance generally requires the District to award contracts for public works construction to the lowest responsive, responsible bidder. Bid Protests. For the first time, the Ordinance requires procedures whereby a bidder or proposer may challenge the District's solicitation process and/or the proposed award of a contract. A bidder or proposer may challenge the solicitation process on the ground that a free and open competition has not taken place, or cannot take place, and/or that a particular specification or requirement is impractical, unduly restrictive, or ambiguous. A bidder or proposer may also challenge the proposed award of a contract on the grounds that a free and open competition has not taken place. Delegation of Spending Authority. In the interest of efficiency, the Ordinance delegates specified spending authority to the Standing Committees and the General Manager. Standing Committees may approve purchases over $100,000 up to $200,000, plus a contingency of up to 50%, for a total spending authority of up to $300,000. The General Manager may approve purchases up to $100,000, and approve amendments and change orders within established contingencies. These are the same limits set forth in the current Resolution No. OCSD 07-04. General Manager Policies and Procedures. Under the proposed Ordinance, the General Manager will adopt detailed policies and procedures governing procurement in order to implement the requirements of the Ordinance. PRIOR COMMITTEE/BOARD ACTIONS December 2012 — Board of Directors adopted Resolution No. OCSD 12-17, A Resolution of the Board of Directors of the Orange County Sanitation District Amending Section 4.09 Request for Proposal Procedure of Resolution No. OCSD 07-04 to Expand the Request for Proposal Procedure to Include the Purchase of Critical, Routine, or Recurring Goods or Services and to Define Best Value. June 2007 — Board of Directors adopted Resolution No. OCSD 07-13, A Resolution of the Board of Directors of the Orange County Sanitation District Establishing Policy for the Page 2 d 3 Payment of Mandatory and Statutory Fees Greater than the Limits Established in Resolution No. OCSD 07-04 and Future Updates to the Delegation of Authority. February 2007 — Board of Directors adopted Resolution No. OCSD 07-04 Establishing Policies and Procedures for: The Award of Purchase Orders and Contracts; Public Works Project Contracts; Professional Services Contracts; And Delegation of Authority to Implement Said Policies and Procedures. ADDITIONAL INFORMATION Under Government Code Section 54202, the District must adopt policies and procedures governing the purchase of supplies and equipment. Government Code Section 4526 applies to the purchase of professional services from private architects, landscape architects, engineers, environmental professionals, land surveyors, and construction managers. Under Section 4526, the District must select the specified professionals based on demonstrated competence and the professional qualifications necessary for the satisfactory performance of the services required. Section 4526 allows the District to adopt by ordinance procedures ensuring that the specified services are engaged on the basis of demonstrated competence and professional qualifications at fair and reasonable prices. Under Public Contract Code Section 20783, the District must award contracts for public works construction worth more than $35,000 to the lowest responsive, responsible bidder. The Public Contract Code otherwise imposes a variety of requirements on the award of public works construction contracts. CEQA Adoption of the Ordinance is not a "project' subject to CEQA because it constitutes general policy and procedure making that will not result in any physical impact on the environment. Public Resources Code Section 15378. BUDGET/DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENT The following attachment(s)are provided in hard copy and may be viewed on-line at the OCSD webslte(www.ocsd.com) with the complete agenda package: DRAFT Ordinance No. OCSD-XX Establishing Requirements and Procedures for the Purchase of Goods, Services, and Public Works Projects. Page 3 of 3 Return to Aaenda Report ORDINANCE NO. OCSD-XX AN ORDINANCE OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ESTABLISHING REQUIREMENTS AND PROCEDURES FOR THE PURCHASE OF GOODS, SERVICES, AND PUBLIC WORKS PROJECTS OCSD-XX-1 Contents Article 1. General Provisions .......................................................................................4 Section 1.01. Purpose and Scope......................................................................4 Section1.02. Title...............................................................................................4 Section 1.03. Definitions..................................................................................... 4 Section 1.04. Rules and Guidelines. ..................................................................4 Section 1.05. Budgeted Funds........................................................................... 5 Section 1.06. The Purchasing Manager.............................................................5 Section 1.07. Exceptions to Competitive Selection ............................................ 5 Section 1.08. Evaluation Committees.................................................................6 Section 1.09. Severability............... 6 .............. Article 2. Goods and Services .....................................................................................6 Section 2.01. Purpose and Scope......................................................................6 Section 2.02. Selection Process.........................................................................7 Section 2.03. Exceptions....................................................................................7 Article 3. Professional Services...................................................................................9 Section 3.01. Purpose and Scope......................................................................9 Section 3.02. Selection Process........6A...........................................................9 Section 3.03. Exceptions.................................................................................. 10 Article 4. Professional Design Services..................................................................... 11 Section 4.01. Purpose and Scope.................................................................... 11 Section 4.02. Selection Process....................................................................... 11 Section 4.03. Exceptions.................................................................................. 15 Article 5. Public Works Projects................................................................................ 15 Section 5.01. Purpose and Scope.................................................................... 15 Section 5.02. Selection Process....................................................................... 16 Section 5.03. Exceptions.................................................................................. 19 Article6. Protests ......................................................................................................20 Section 6.01. Solicitation Protests....................................................................20 Section 6.02. Award Protests...........................................................................21 OCSD-XX-2 Return to Mende Report Section 6.03. Delay in Award ...........................................................................21 Section6.04. Remedies ...................................................................................22 Section 6.05. Public Documents ......................................................................22 Article 7. Delegation of Authority to Award Contracts................................................22 Section 7.01. Award Authorization. ..................................................................23 Section 7.02. Task Orders................................................................................24 Section 7.03. Time Extensions to Public Works Projects. ................................24 Article8. Ethics..........................................................................................................24 Section 8.01. Unlawful Consideration Prohibited. ............................................24 Section 8.02. Conflicts of Interest.....................................................................24 Article 9. Miscellaneous.............................................................................................25 Section 8.01 Noncompliance............................................................ .............25 Section 9.02. Effective Date. ............................................................................25 Section 9.03. Repeal of Resolution Nos. OCSD 07-04, OCSD 07-13 & OCSD12-17...............................................................................25 AppendixA Definitions..................................................................................................28 OCSD-XX-3 NOW, THEREFORE, the Board of Directors of the Orange County Sanitation District does hereby ORDAIN: Article 1 General Provisions Section 1.01. Purpose and Scope. A. Purpose. This Ordinance is intended to: (1) Comply with certain provisions of state law requiring the District to adopt written purchasing procedures; (2) Ensure that the District complies with state law governing the award of Contracts for Goods, Services, and Public Works Projects; (3) Establish procedures to ensure that the District obtains quality goods and competent services at the best price and/or the best value; (4) Delegate certain spending authority to District employees in the interest of efficient administration; (5) Ensure that purchasing decisions are transparent for the public; and (6) Ensure that Contracts are awarded through a process that is fair to prospective Contractors and in the best interests of the District. B. Scope. This Ordinance governs the purchase of Goods, Services and the award of Contracts for Public Works Projects. Section 1.02. Title. This Ordinance may be referred to as the District's "Purchasing Ordinance." Section 1.03. Definitions. As used throughout this Ordinance, the terms set forth in Appendix A shall have the meanings as defined therein, unless the context in which they are used clearly requires a different meaning, or a different definition is prescribed for a particular Article or provision. Section 1.04. Rules and Guidelines. The General Manager shall implement the requirements of this Ordinance through policies, rules, and guidelines governing the purchase of Goods and Services, and the award of Contracts for Public Works Projects. OCSD-XX-4 Return to Mende Report Section 1.05. Budgeted Funds No Contract for the purchase of Goods, Services, or Public Works Projects shall be awarded unless and until the General Manager identifies funds in the current budget that are allocated to the purchase. Section 1.06. The Purchasing Manager A. Duties. Consistent with the provisions of this Ordinance, the Purchasing Manager shall: (1) Procure, or supervise the procurement of, all Goods, Services, and Public Works Projects purchased by the District; and (2) Supervise and control inventories of supplies and materials. B. Requests for Procurement. When a Department desires to procure Goods and/or Services, the Department Director shall file a written Requisition, in advance, with the Purchasing Manager. The Requisition shall describe the Goods and/or Services to be acquired. Section 1.07. Exceptions to Competitive Selection Depending on the nature of the Contract and/or the circumstances, certain provisions of this Ordinance require that Contracts for Goods and/or Services be awarded based on Competitive Sealed Bids or Competitive Sealed Proposals. This Section 1.07 establishes certain general exceptions to competitive selection requirements for the procurement of Goods and Services. The exceptions set forth in this Section 1.07 do not apply to the award of Contracts for the construction of Public Works Projects. A. Sole Source Procurement. Notwithstanding any other provision of this Ordinance, a Contract for Goods and/or Services may be awarded based on Sole Source Procurement, without soliciting bids or proposals as might otherwise be required, if the General Manager or his designee determines in writing that it is in the best interest of the District to award the Contract because the Goods and/or Services are (i) of a unique nature based on their quality, durability, availability, fitness or qualifications for a particular use; or (ii) only available from one source. B. Emergency Procurement. Notwithstanding any other provision of this Ordinance, a Contract for Goods and/or Services may be awarded through Negotiated Procurement, without soliciting bids or proposals as might otherwise be required, if the General Manager or his designee determines in writing that OCSD-XX-5 the District urgently needs the Goods and/or Services in order to respond effectively to an emergency. For purposes of this Section, emergency procurements are those purchases that are required to prevent immediate interruption or cessation of necessary services or to safeguard life, property, or the public health and welfare. In addition, emergency procurements as used in this Section also include critical time sensitive purchases where time is of the essence, and the District does not have sufficient time to solicit bids or proposals. For emergency procurements greater than $100,000, the General Manager shall obtain the concurrence of the Chair of the District's Board of Directors or, if the Chair is unavailable, the Vice Chair, and such action shall be ratified by the Board of Directors at its next regular meeting. Section 1.08. Evaluation Committees A. Evaluation committees convened in connection with procurements under this Ordinance shall generally be composed of District employees. In exceptional circumstances, however, the General Manager may appoint one or more persons not employed by the District to an evaluation committee if the General Manager determines that (1) evaluating proposals in connection with a particular procurement requires specialized expertise not available among District employees; (2) the procurement will impact another agency, and that agency desires to place a representative on the evaluation committee; or (3) it is otherwise in the District's interest to do so. Section 1.09. Severability A. If any provision of this Ordinance, or any application thereof to any person or circumstance, is held invalid, such invalidity shall not affect any other provision of this Ordinance or application to any person or circumstance which can be given effect without the invalid provision or application. The provisions of this Ordinance are declared to be severable. Article 2. Goods and Services Section 2.01. Purpose and Scope A. Purpose. California Government Code Sections 54202 et seq. requires the District to adopt written policies and procedures, including bidding requirements, governing the purchase of Goods and Services. This Article is intended to comply with Section 54202. OCSD-XX-6 Return to Mende Report B. Scope. The provisions of this Article 2 apply to Contracts for the purchase of Goods and Services other than Contracts for Professional Services (governed by Article 3), Professional Design Services (governed by Article 4), and Contracts for Public Works Projects (governed by Article 5). Section 2.02. Selection Process A. Subject to the exceptions set forth in Section 2.03, the award of Contracts for the purchase of Goods and Services shall be shall be based on Competitive Sealed Bids. For each procurement, the Purchasing Manager shall: (1) Publish a Notice Inviting Bids that contains (a) a description of the Goods and/or Services required, (b) a description of the selection process, (c) bidder's security requirement, if applicable, (d) performance bond requirements, if applicable, and (a) such provisions, terms, and conditions, consistent with this Ordinance, that the Purchasing Manager determines are necessary, desirable, and/or advantageous to the District; (2) Open the bids publicly at the time and place designated in the Notice Inviting Bids, and record the amount of each bid; and (3) Determine whether the bids are responsive to the Notice Inviting Bids. B. After the bids are opened, one of the following actions may be taken: (1)Award the Contract to the lowest Responsive and Responsible Bidder; (2) Reject any and all bids presented and/or re-advertise the bid; or (3) Declare that the Goods and/or Services may be acquired at a lower cost by negotiation in the open market and authorize the procurement in that manner. C. If two or more Responsible Bidders submit the same lowest bid, the District may, in its discretion, accept either bid or a lower bid, if any, as may be obtained from one of the bidders through negotiation. Section 2.03. Exceptions A. Small Procurements. (1) Procurements of $5,000 or Less. Contracts subject to this Article 2 with an estimated value of $5,000 or less may be awarded without Competitive Sealed Bids if the Purchasing Manager determines that a OCSD-XX-7 Competitive Sealed Bids process would not result in a lower overall cost to the District. (2) Procurements of$50,000 or Less. Contracts subject to this Article 2 with an estimated value of $50,000 or less may be awarded by (a) soliciting at least three bids from identified vendors, and (b) awarding the Contract to the lowest Responsive and Responsible Bidder. If the Purchasing Manager cannot obtain at least three bids, the Contract may be awarded to the lowest Responsive and Responsible Bidder as long as the Purchasing Manager determines that the bid amount is fair and reasonable. (3) Piecemealing Prohibited. Procurements shall not be artificially divided into different individual Contracts so as to keep each Contract amount below one of the monetary thresholds set forth in this Part A. B. Cooperative Purchases. When another public agency or government purchasing cooperative organization has awarded a Contract for Goods and/or Services based on Competitive Sealed Bids or Competitive Sealed Proposals, and the agency or organization followed a process substantially similar to the process described in Section 2.01, the District may acquire Goods and/or Services under that Contract without obtaining Competitive Sealed Bids or Competitive Sealed Proposals. The District may enter into Contracts with other public agencies, government purchasing cooperative organizations within the United States, and/or Contractors for this purpose. C. Multi-Step Sealed Bidding. If the Purchasing Manager determines that it is impractical to initially prepare a description to support an award based on price, a process involving multi-step sealed bids may be utilized. The multi-step sealed bidding process involves (i) issuing an Invitation for Bids requesting the submission of un-priced offers; and (ii) issuing a subsequent Invitation for Bids for priced offers from those vendors whose initial un-priced offers were deemed qualified under the criteria set forth in the initial Invitation for Bids. Award under this process shall be based on the lowest Responsive and Responsible Bidder. D. Competitive Sealed Proposals. If the Purchasing Manager determines in writing that the Competitive Sealed Bids procedure is not practical and/or not advantageous for the District in a particular case, one or more Contracts subject to this Article may be awarded based on Competitive Sealed Proposals. The Competitive Sealed Proposals process may be used (i) for Goods and/or Services that prove difficult to quantify or describe, where proposers are provided the opportunity to offer different approaches or solutions; and/or (ii)for critical, routine or recurring goods or services that require consideration of the OCSD-XX-S Return to Mende Report broadest possible range of competing services, products and materials available, fitness of purpose, performance reliability, standardization, life cycle costs, delivery timetables, reliable supply, support logistics, diversification of available sources and/or other similar factors in addition to the price in the award of these contracts. Award under this process shall be based upon criteria that provide the best value for the District, wherein best value is not solely determined by price. E. Critical Time-Sensitive Procurements. The Purchasing Manager may purchase Goods and/or Services through Negotiated Procurement if the Purchasing Manager determines in writing that time is of the essence in the purchase of the Goods and/or Services. For critical time-sensitive procurements valued at more than $100,000, the General Manager shall obtain the concurrence of the Chair of the District's Board of Directors or, if the Chair is unavailable, the Vice Chair. F. Renewals. The Purchasing Manager may exercise any options to renew as may be included in existing Contracts without observing the bidding procedures prescribed in Section 2.02 or the delegation of authority requirements prescribed in Section 2.02 that might otherwise be applicable. Sole Source and Emergency Procurements. A Contract for the purchase of Goods and/or Services may be awarded without soliciting competitive bids if any of the exceptions set forth in Section 1.07 apply. Article 3. Professional Services Section 3.01. Purpose and Scope A. Purpose. This Article 3 is intended to ensure that the District retains Professional Services at fair and reasonable prices based on demonstrated competence and the professional qualifications necessary for the satisfactory performance of the services required. B. Scope. The provisions of this Article 3 apply to the award of Contracts for Professional Services and incidental services that members of a Professional Service firm, and those in their employ, may logically perform. The provisions of this Article 3 do not apply to the award of Contracts for Professional Design Services (governed by Article 4). Section 3.02. Selection Process OCSD-XX-9 Contracts for Professional Services shall be awarded pursuant to the following procedures: A. Reauest for Proposals. The Purchasing Manager shall prepare a Request for Proposals in consultation with the Director of the Department requesting the Procurement. The Purchasing Manager, with the concurrence of the Director of the Department requesting the Procurement, may select a limited number of Professional Service firms to receive the Request for Proposals. The Purchasing Manager may issue a Request for Qualifications to prospective Contractors as a means of identifying prospective recipients. The Purchasing Manager may publish notice of the Request for Proposals or Request for Qualifications. B. Evaluation and Ranking of Proposals. All responsive proposals shall be evaluated and ranked, from most qualified to least qualified, based on each firm's demonstrated competence and professional qualifications necessary for the satisfactory performance of the services required. The Purchasing Manager may establish a committee to conduct the evaluation. The Purchasing Manager or evaluation committee, if any, may discuss each proposal with its author to seek clarification or otherwise obtain relevant information. C. Negotiation of Contract. The Purchasing Manager shall negotiate a Contract with the firm deemed to be most qualified at a price that the Purchasing Manager, with the concurrence of the Director of the Department requesting the Procurement, deems to be fair and reasonable. If the Purchasing Manager is unable to negotiate a satisfactory Contract with the firm deemed to be most qualified, the Purchasing Manager shall terminate negotiations with that firm and negotiate with the firm deemed to be second most qualified. If those negotiations fail, the Purchasing Manager shall negotiate with the third most qualified firm, and so on, until an agreement is reached. If the Purchasing Manager determines that it is in the best interest of the District to enter into Contracts with two or more firms, the Purchasing Manager shall negotiate with the desired number of firms starting with the most qualified. The Purchasing Manager shall proceed down the list from most to least qualified until the he or she has concluded negotiations with the desired number of firms at fair and reasonable prices. D. The District may, in its sole discretion, reject all proposals. Section 3.03. Exceptions OCSD-XX-10 Return to Mende Report A. Sole Source and Emergency Procurements. A Contract for Professional Services may be awarded without soliciting Competitive Sealed Proposals if the Purchasing Manager makes one of the determinations set forth in Section 1.07. B. Contractors Reporting to the Board. The provisions of this Article 3 shall not apply to the retention of Professional Service firms or individuals that are selected by the Board and report directly to the Board. For such Contracts, the Board shall determine the method of selection, consistent with the requirements of applicable law. Article 4. Professional Design Services Section 4.01. Purpose and Scope A. Purpose. This Article 4 is intended to ensure that the District retains Professional Design Services at fair and reasonable prices based on demonstrated competence and the professional qualifications necessary for the satisfactory performance of the services required. B. Scope. This Article 4 applies to the selection of Contractors for Professional Design Services. Section 4.02. Selection Process A. Competitive Selection. All Contracts estimated to be greater than $100,000 shall be awarded based on Competitive Sealed Proposals. All Professional Design Services with an estimated value of $100,000 or less shall have a separate selection process based upon a master contract procedure whereby the District shall solicit Competitive Sealed Proposals and award one or more master contracts not to exceed $250,000 per year. B. Contracts Greater Than $100,000 The requirements set forth in this Section 4.02, subsection B, shall apply to the purchase of Professional Design Services estimated to cost more than One Hundred Thousand Dollars ($100,000). (1) Each Director of a Department that utilizes Professional Design Services shall file annually with the Purchasing Manager a list of specific disciplines for which Professional Design Service may be required. The Purchasing Manager may from time to time prepare and distribute a OCSD-XX-11 Request for Qualifications for each professional discipline or project design service required by the District subject to this Part B. For each Request for Qualifications issued, the Purchasing Manager shall evaluate the responses, identify qualified firms, and maintain the responses of the qualified firms on file to be used in the Request for Proposals process describedbelow. (2) Request for Proposals. The Purchasing Manager, in consultation with the Director of Engineering, shall issue a Request for Proposals for each Professional Design Service requested. (3) Content of Request for Proposals. Each Request for Proposals shall describe the Professional Design Services required and the selection process. Each Request for Proposals shall also set forth such provisions, terms, and conditions, consistent with this Ordinance, that the Purchasing Manager, in consultation with the Director of Engineering, determines are necessary, desirable, and/or advantageous to the District. Each Request for Proposals shall require that proposals contain, at a minimum, the following information: (a)The firm's qualifications for performing the proposed work. (b)The firm's relevant experience and performance on similar projects. (c) A fee proposal, based on the method of compensation specified in the Request for Proposal, and an estimate of total fees. Commonly used methods of compensation for Professional Design Service Contracts include (i) cost plus fixed fee with a maximum amount; (ii) per diem rate(s) with a maximum amount; (iii) a lump sum (fixed) fee; and (iv) cost of time and materials. (d) The firms ability to complete the work within the time allotted. (e) The personnel that will be assigned to the project. (f) The estimated number of hours that each member of the team will spend on the project. (g) A statement that the firm's engagement for the project would not create a conflict of interest. (h)Any other information required to properly evaluate the firm's qualifications and experience with similar projects. (i) Proposals for construction management services shall demonstrate that the designated personnel have expertise and experience in construction project design review and evaluation, construction OCSD-XX-12 Return to Mende Report mobilization and supervision, bid evaluation, project scheduling, cost- benefit analysis, claims review and negotiation, and general management and administration of a construction project. (4) Publication of Request for Proposals. The District shall publicize each Request for Proposals by one or more of the following methods: (a)Advertising in print or electronic media; and/or (b) Mailing the Request for Proposals to each Contractor who has submitted a Statement of Qualifications; and/or (c) Mailing the Request for Proposals to each vendor registered in the applicable category, based on the services identified in the Request for Proposals, in the District's on-line vendor database; and/or Multiple projects may be bundled into one Request for Proposals such that multiple Contract awards may result from one Request for Proposals and selection may be based upon specialized services. (5) Staff Evaluation Committee. The Purchasing Manager shall convene an evaluation committee to evaluate the proposals. (a) Management and Composition. The Purchasing Manager shall serve as chair of the evaluation committee. The Director of Engineering shall appoint the other members of the committee. (b) Ranking of Firms. All proposals shall be evaluated and ranked, from most qualified to least qualified, based on each firm's demonstrated competence and professional qualifications necessary for the satisfactory performance of the services required. (c) Interviews. At its discretion, the evaluation committee may interview one or more of the firms that have submitted proposals. (d) Report. The evaluation committee shall prepare a written report for the Purchasing Manager and the Director of Engineering setting forth, at a minimum, the ranking of firms from most qualified to least qualified. (6) Negotiations. The Purchasing Manager and the Director of Engineering shall negotiate a Contract with the firm that the evaluation committee deems to be most qualified, and otherwise follow the process set forth in Section 3.02.C. The Director of Engineering shall make a written determination that the negotiated fee is fair and reasonable. C. Contracts Less Than or Equal to $100,000. OCSD-XX-13 The requirements set forth in this Section 4.02, subsection C, shall apply to the purchase of Professional Design Services estimated to cost less than or equal to One Hundred Thousand Dollars ($100,000). (1) Reguest for Qualifications. At least once every three years, the Purchasing Manager shall prepare and distribute a Request for Qualifications for each professional discipline or project design service required by the District subject to this Part C. Each Request for Qualifications shall describe the selection criteria that will be used to determine whether firms are eligible for the prequalified list. The Request for Qualifications shall require the following information, at a minimum, from proposers: (i) The firm's demonstrated competence and specialized expertise necessary to perform the type of services needed; (ii) The education, experience, training, and skills of the key personnel that will perform and manage the work for the District; (iii) The firm's capacity and resources to deliver the services required within the specified period of time, including but not limited to a sufficient number of qualified staff, computer hardware, computer software, special equipment and facilities as applicable; and (iv) The proximity of the firm's office(s) to the District, the specific location of key personnel, and the firm's experience and familiarity with the operation of local government. (2) Evaluation Committee. The Purchasing Manager shall convene an evaluation committee to evaluate the responses to each Request for Qualifications. The Purchasing Manager shall chair the committee, and the Director of Engineering shall appoint the remaining members. Each evaluation committee shall determine whether each firm has the demonstrated competence and professional qualifications necessary for the satisfactory performance of the services required. (3) Lists. Based on the recommendations of the evaluation committee, with the concurrence of the Director of Engineering, the Purchasing Manager shall establish a list of at least five prequalified Contractors within each discipline. Each list shall be used for a maximum of three years. No later than three years after establishing a prequalified list for each discipline, the Purchasing Manager shall issue a new Request for Qualifications and establish a new list. OCSD-XX-14 Return to Mende Report (4) Master Contract. Master Contracts with firms on the prequalified list shall be awarded by the Board of Directors in an amount not to exceed $250,000 per year. The original tens of such Contracts shall be for one (1) year, with an option to extend each Contract for up to two (2) additional one (1) year renewal periods. (5) Task Orders. The Director of Engineering shall notify the Purchasing Manager when Professional Design Services subject to this Part C are required for a project. Proposals shall be solicited from at least two firms on the prequalified list and one of the firms shall be selected pursuant to the process set forth in Section 3.02. In determining which firms will be invited to submit proposals, the Purchasing Manager shall follow the selection or rotation process, if any, set forth in the Request for Qualifications, subject to the best interests of the District in any particular case. Individual Task Orders in an amount not to exceed $100,000 will be awarded for each project. Section 4.03. Exceptions A. Sole Source and Emergency Procurements. Contracts for Professional Design Services may be awarded without soliciting Competitive Sealed Proposals if the Purchasing Manager makes one of the determinations set forth in Section 1.07. B. Continuation of Services. A new contract for additional services related to work already performed under an existing Contract for Professional Design Services may be awarded without observing the bidding procedures prescribed in Section 4.02.13 or Section 4.02.C, as applicable. In connection with any suchnew contract, the Purchasing Manager shall determine in writing that (1) it is in the District's best interests to have the original firm perform additional, related services, and (2) the negotiated price is fair and reasonable. Article 5. Public Works Projects Section 5.01. Purpose and Scope A. Purpose. This Article 5 is intended to implement state statutes that govern the District's award of construction Contracts for Public Works Projects. OCSD-XX-15 B. Scope. This Article 5 applies to the District's award of Contracts for the construction of Public Works Projects exceeding thirty-five thousand dollars ($35,000) pursuant to Public Contract Code section 20783. Section 5.02. Selection Process A. Design-Bid-Build (1) Competitive Sealed Bids. For projects subject to Public Contracts Code section 20783, the District shall select firms for Public Works Projects pursuant to the process described in this Section 5.02A. (a) Notice Inviting Bids. For each prospective Contract, the Purchasing Manager shall publish a Notice Inviting Bids. (i) Manner of Publication. Each Notice Inviting Bids shall be published in a newspaper of general circulation, on industry bulletin boards, and/or on the District's website at least ten (10) days before the date for the opening of bids consistent with the requirements set forth in Public Contracts Code section 20783. (ii) Contents. Each Notice Inviting Bids shall: 1. Establish a deadline for the receipt of bids that is at least ten (10) calendar days after publication of the notice; 2. Provide that the District, in its sole discretion, may reject any and all bids; 3. Set forth a procedure that shall be followed in the event of a tie between the lowest Responsive and Responsible bidders; 4. Require bidders to post a bidder's security; 5. State that if a Contract is awarded to the bidder, a payment bond is required pursuant to Civil Code section 9550; 6. Contain detailed plans and specifications for the project. Subject to the exceptions set forth in Section 5.03.6, the specifications shall not call for a designated material, product, thing, or service by specific brand or trade name unless the District complies with the requirements under California Public Contract Code section 3400 et seq.; and OCSD-XX-16 Return to Mende Report 7. Contain whatever provisions, consistent with this Ordinance, the Purchasing Manager determines are necessary, desirable, and/or advantageous to the District. (b) Bid Opening. The Purchasing Manager shall open the bids publicly in the presence of one or more witnesses at the time and place designated in the Notice Inviting Bids. The Purchasing Manager shall record the amount of each bid together with the name of each bidder. This record, and each bid, shall be considered public records and shall be available to the public at the point in time specified in the Notice Inviting Bids and consistent with the Public Records Act. (c) Refection of Bids. The District's Board of Directors may reject all bids received for a particular project and: (1) Re-advertise for bids; or (ii) Authorize construction of the project through a Negotiated Procurement of day labor and/or materials or supplies, if the Board adopts a resolution by a four-fifths vote declaring that (i) the work can be performed more economically by day labor, and/or (ii) the materials or supplies can be obtained at a lower price in the open market. (d) No Bids. If the District does not receive any bids for a particular project, the District's Board of Directors may authorize the Purchasing Manager to conduct a Negotiated Procurement, and present his or her recommendation to the Board for approval. (e) Award to Lowest Responsive and Responsible Bidder. Unless the District rejects all bids, the Board shall award the Contract to the lowest Responsive and Responsible Bidder. If two or more Responsiblel Bidders submit the same lowest bid, the Board of Directors may, in its discretion, accept either bid or a lower bid, if any, as may be obtained from one of the lowest bidders through negotiation. If the lowest Responsive and Responsible Bidder refuses to enter into a Contract, then the lowest Responsive and Responsible Bidder shall forfeit its bidder's security, and the District's Board of Directors shall award the Contract to the next lowest Responsive and Responsible Bidder. B. Design-Build. As may be authorized by the Public Contract Code or other statute, the District may utilize a design-build selection process for the award of Public Works Contracts. OCSD-XX-17 C. Pregualification. The Purchasing Manager may limit the field of prospective bidders for Public Works Contracts by prequalifying Contractors pursuant to California Public Contract Code Section 20101 and the requirements of this Subsection C. Prequalification shall only be required when the Purchasing Manager or the Director of Engineering determines that prequalification is necessary or desirable. The Purchasing Manager may (i) prequalify a list of Contractors for the right to bid on any specific Public Works Project, and/or (ii) prequalify lists of Contractors for the right to bid on unspecified projects of a certain type or size pursuant to Public Contracts Code Section 20101(c). If the Purchasing Manager elects to prequalify lists of Contractors for the right to bid on unspecified projects of a certain type or size, he or she shall conduct a prequalification process quarterly, and all qualifications shall be valid for one year. For each prequalified list of either type, the Purchasing Manager shall evaluate and prequalify Contractors pursuant to the following procedures: (1) Questionnaires and Rating Criteria. The Purchasing Manager shall develop a questionnaire and rating criteria for each prequalification. All criteria shall be relevant and objective. The Purchasing Manager may rely on the Department of Industrial Relations model guidelines, questionnaires, and forms, and/or establish additional or modified criteria. (2) Statements of Qualifications. The Purchasing Manager shall solicit Statements of Qualifications from prospective bidders. (3) Evaluation Committee. The Purchasing Manager shall convene an evaluation committee to evaluate each Statement of Qualifications. The Purchasing Manager shall chair the committee, and the Director of Engineering shall appoint the remaining committee members. The evaluation committee shall review each Statement of Qualifications, rate the Contractors according to their qualifications and objective criteria, and determine which Contractors are qualified and which Contractors are not qualified. (4) Notice of Determination. When the evaluation committee completes its review, the Purchasing Manager shall send each Contractor written notice of the committee's determinations regarding that Contractor. If the evaluation committee determines that a Contractor is not qualified, the written notice shall also set forth the basis for that determination and any relevant supporting evidence that the evaluation committee considered. OCSD-XX-18 Return to Mende Report (5)Appeal Process. (a) Notice of Appeal. Any Contractor may appeal to the General Manager any determination of the evaluation committee, including any rating assigned to the Contractor and any decision to disqualify the Contractor, by filing a written notice of appeal within seven (7) working days after the Purchasing Manager mails the notice described in Section 5.02, subsection C (4). (b) Hearing. Within five working days of the receipt of an appeal, the General Manager, or a designee of the General Manager who has not been involved in the evaluation of qualifications of Contractors for the project, shall conduct a hearing on the appeal. During the hearing, the affected Contractor or subcontractor shall have the opportunity to rebut any evidence used as a basis for disqualification and to present evidence to the General Manager or the General Manager's designee as to why the prospective bidder should be found qualified. (c) Decision. Within five working days of the conclusion of the hearing, the General Manager or the General Manager's designee shall issue a written decision on the appeal. The decision of the General Manager or the General Manager's designee shall be final. Section 5.03. Exceptions A. Emergencies and Calamities. (1) The provisions of this Section A apply in the event of an emergency or calamity involving a sudden, unexpected occurrence that poses a clear and imminent danger requiring immediate action to prevent or mitigate the loss or impairment of life, health, property, or essential public services. In the event of such an emergency or calamity, the District may, through Negotiated Procurement, award Contracts to repair or replace facilities, take any directly related and immediate action required by the emergency or calamity, and procure the necessary equipment, services, and supplies for those purposes. (2) The General Manager may take the actions described in (1), with the concurrence of the Chair of the Board of Directors and/or the Vice Chair, without obtaining prior approval of the District's Board of Directors. In taking any such action, the General Manager shall follow the procedures set forth in Public Contracts Code Section 22050. (3) In the alternative, the District's Board of Directors may, by resolution adopted by a four-fifths vote, take the actions described in Subsection OCSD-XX-19 (1). In taking any such action, the District shall follow the procedures set forth in Public Contracts Code 22050. B. Specification of Brand or Trade Name. Notwithstanding Section 5.02.A(1)(a)(ii)5, the specifications for a Public Works Contract may call for a designated material, product, thing, or service by specific brand or trade name without inserting the words "or equal" if the District complies with the requirements of the California Public Contract Code section 3400 et seq. The General Manager is authorized to make the findings required under California Public Contract Code section 3400 et seq. The Notice Inviting Bids or Request for Proposals shall state that a particular material, product, thing, or service is necessary or desirable for any of the following purposes: (1) In order that a field test or experiment may be made to determine the product's suitability for future use; (2) In order to match other products in use on a particular public improvement either completed or in the course of completion; (3) In order to obtain a necessary item that is only available from one source; (4) In order to respond to an emergency declared by the District, but only if the declaration is approved by a four-fifths vote of the governing board of the District; or (5) In order to respond to an emergency declared by the state, a state agency, or political subdivision of the state, but only if the facts setting forth the reasons for the finding of the emergency are contained in the public records of the District. Article 6. Protests The District shall afford Interested Parties an opportunity to protest the solicitation of bids and proposals and the award of contracts as set forth in this Article 6. The General Manager shall adopt detailed protest procedures consistent with this Article 6. The protest procedures governing any particular procurement shall be set forth in the Notice Inviting Bids or the Request for Proposals, as applicable. Section 6.01. Solicitation Protests A. Interested Parties may file a Solicitation Protest Statement with the Purchasing Manager on the grounds that a free and open competition has not taken place, or cannot take place, and/or that a particular specification or requirement is impractical, unduly restrictive, or ambiguous. Each Notice Inviting Bids and OCSD-XX-20 Return to Agenda Report Request for Proposals shall identify the date and time that the Solicitation Protest Statement is due, the information required to be included in the Solicitation Protest Statement, the evaluation process, and the types of remedies available. B. The Purchasing Manager shall evaluate each Solicitation Protest Statement and determine what actions, if any, will be taken to remedy any deficiency. The decision of the Purchasing Manager shall be final. Section 6.02. Award Protests A. Interested Parties may file an Award Protest Statement with the Purchasing Manager on the ground that a free and open competition has not taken place in connection with the award recommendation. The Purchasing Manager shall not consider any protest based on a finding that a bid or proposal is not responsive. Each Notice Inviting Bids and Request for Proposals shall identify the date and time that the Award Protest Statement is due, the information required to be included in the Award Protest Statement, the evaluation process, the appeal process, and the types of remedies available. B. The Purchasing Manager shall evaluate each Award Protest Statement and determine what actions, if any, will be taken to remedy any deficiency. C. The Purchasing Manager's decision on an Award Protest Statement may be appealed to the Director of Finance and the Director of the Department requesting the Goods or Services. The Director of Finance and the Director of the Department requesting the Goods or Services shall evaluate each Award Protest Statement and determine whether to uphold or reject the Purchasing Manager's determination. Section 6.03. Delay in Award A. Execution of any proposed contract shall be delayed pending resolution of any protests unless one or more of the following conditions is present: (1) The items or services being procured are urgently required; (2) Delivery or performance will be unduly delayed by failure to make an award promptly; or (3) Failure to make prompt award will otherwise cause undue harm to the District. OCSD-XX-21 Section 6.04. Remedies A. If the District determines that the award or proposed award was not made in accordance with applicable statutes, regulations, policies and/or procedure, the District, in its sole discretion, may grant any of the following remedies or any other remedy it deems appropriate: (1) Prior to award, the District may issue a new solicitation, make a new selection/award recommendation, or award a contract consistent with applicable statutes, regulations, policies and procedures; (2) Take no further action; or (3) Take any other action that is permitted by law to promote compliance with applicable statutes, regulations, policies and/or procedure. B. In determining the appropriate remedy, if any, the District shall consider all the circumstances surrounding the Notice Inviting Bids or Requests for Proposal and/or award, including, but not limited to: (1) The seriousness of any deficiency found to exist in the contracting process; (2) The effect of the action on the competitive process; (3)Any urgency surrounding the contract requirement; and (4) The effect that implementing the remedy will have on the District. C. Nothing contained herein shall be construed to act as a limitation on the District's choice of remedies or confer any right upon any Interested Party or affected party to a remedy. Section 6.05. Public Documents A. Solicitation Protest Statements and Award Protest Statements are public documents. The District will notify the affected parties when a protest has been submitted, and will provide copies of the Protest Statements to the affected parties upon written request. Article 7. Delegation of Authority to Award Contracts This Article 7 applies to all Contracts for Goods, Services, and Public Works Projects entered into by the District. OCSD-XX-22 Return to Mende Report Section 7.01. Award Authorization. A. Delegation by General Manager. The General Manager shall establish written procedures governing the delegation of authority to award and execute Contracts consistent with this Ordinance. Upon delegation of authority by the General Manager, each Department Head may further delegate authority to initiate a written Requisition consistent with the General Manager's written procedures. B. Original Contracts and Contingencies. The award and execution of an original Contract on behalf of the District shall be made in accordance with the following delegations of authority: Delegated Authority Authorized Action General Manager/ Authorization to approve and execute Contracts for Assistant General budgeted procurements up to $100,000. All Manager procurements over$50,000 are to be reported to the Board of Directors on a quarterly basis. Standing Committees Authorization to approve procurements over $100,000 up to $200,000, plus a contingency of up to 50%, for a total spending authority of up to $300,000. C. Amendments and Change Orders. The award and execution of Amendments and Non-Public Works Project Change Orders on behalf of the District shall be made in accordance with the following delegations of authority: Delegated Authority Authorized Action General Manager/ Authorization to approve and execute Amendments Assistant General and Change Orders as long as (1) the Amendment or Manager Change Order is recommended by the applicable Department Director, and (2)the Amendment or Change Order amount is within the approved contingency. Authorization to approve and execute Contracts for all Amendments to chemical Contracts, unless the OCSD-XX-23 Contract unit price has been changed from the original amount approved by the DistricPs Board of Directors. Unit price increases in chemical Contracts require Board of Directors approval. Section 7.02. Task Orders. The award and execution of a Task Order shall be made in accordance with the following delegation of authority: Delegated Authority Authorized Action General Manager/ Authorization to approve, upon the recommendation of Assistant General the Department Director, and execute Task Orders Manager and/or Amendments to the Task Orders provided the cumulative total of the Task Order and Amendments thereto do not exceed $100,000. Standing Committees Authorization to approve, upon the recommendation of the General Manager/Assistant General Manager, Task Orders and/or Amendments to the Task Orders provided the cumulative total of the Task Order and Amendments thereto are over$100,000, but do not exceed $200,000 Section 7.03. Time Extensions to Public Works Projects. The General Manager shall be authorized to approve and execute Change Orders for Public Works Project Contract time extensions that do not involve any increase in compensation over the project approved Contingency. Article 8. Ethics Section 8.01. Unlawful Consideration Prohibited. District Officials shall neither solicit nor receive bribes, rebates, kickbacks, and/or any other unlawful consideration from any contracting party, or any party seeking a Contract with the District, in exchange for favorable treatment or any other action. Section 8.02. Conflicts of Interest. A. Compliance with the Political Reform Act. District Officials shall not make any Contracts, participate in the making of any Contracts, or in any way attempt to OCSD-XX-24 Return to Mende Report use their official positions to influence any decision on any Contracts, in violation of Government Code Sections 87100 at seq. B. Compliance with Government Code S 1090. Without limiting the requirements of Part A above, no District Official shall make any Contract, participate in the making of any Contract, or in any way attempt to use his or her official position to influence any decision on a Contract, in violation of California Government Code Section 1090. C. Requirements Applicable to Consultants. Consultants designated by the DistricPs Conflict of Interest Code shall comply in all respects with Government Code Section 87100 et seq., and its implementing regulations. Article 9. Miscellaneous Section 8.01 Noncompliance. Any Contract entered into which fails in any respect to comply with the provisions of this Ordinance may be voided by the Board of Directors in its sole and absolute discretion. Any employee who willfully and knowingly violates any provision of this Ordinance may be subject to disciplinary action. Section 9.02. Effective Date. This Ordinance No. OCSD-XX shall take effect January 1, 2014, upon adoption by the Board of Directors. Section 9.03. Repeal of Resolution No. OCSD 07-04; OCSD 07-13 & Resolution No. OCSD 07-04, entitled "A Resolution of the Board of Directors of the Orange County Sanitation Establishing policies and procedures for: The award of purchase orders and contracts; public works project contracts; professional services contracts; and delegation of authority to implement said policies and procedures" is hereby repealed in its entirety. Resolution No. OCSD 07-13, entitled "A Resolution of the Board of Directors of the Orange County Sanitation District Establishing Policy for the payment of mandatory and statutory fees greater than the limits established in Resolution No. OCSD 07-04 and future updates to the Delegation of Authority" is hereby repealed in its entirety. OCSD-XX-25 Resolution No. OCSD 12-17, entitled "A Resolution of the Board of Directors of the Orange County Sanitation District amending Section 4.09 request for proposal procedure of Resolution No. OCSD 07-04 to expand the request for proposal procedure to include the purchase of critical, routine, or recurring goods or services and to define best value" is hereby repealed in its entirety. Section 10.01. Certification and Publication. The Clerk of the Board shall certify to the adoption of this Ordinance, and shall cause a summary to be published in a newspaper of general circulation within 15 days as required by law. PASSED AND ADOPTED by a majority of the Board of Directors of the Orange County Sanitation District at a Regular Meeting held November 20, 2013. Troy Edgar Chairman of the Board of Directors Orange County Sanitation District ATTEST: ` Maria E. Ayala Clerk of the Board Orange County Sanitation District APPROVED AS TO FORM: Bradley R. Hogin, General Counsel OCSD-XX-26 Return to Mende Report STATE OF CALIFORNIA) )SS. COUNTY OF ORANGE ) I, MARIA E. AYALA, Clerk of the Board of Directors of Orange County Sanitation District, do hereby certify that the above and foregoing Ordinance No. OCSD-XX was passed and adopted at a regular meeting of said Board on the day of 2013, by the following vote, to wit: AYES: NOES: ABSTENTIONS: I ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand this day of 2013. Maria E. Ayala Clerk of the Board Orange County Sanitation District OCSD-XX-27 Appendix A Definitions A. Amendment means a properly executed written agreement entered into and between the District and the Contractor, or issued by the District, covering modifications to the original Contract and which may result in adjustments to provisions of the Contract, including, but not limited to, terms, scope of work, compensation, and/or period of performance. B. Award Protest Statement shall mean a written objection to the award recommendation prior to final action to award the contract, which shall be submitted after receipt of bids, but before award of a contract, as specified herein. C. Best value means the overall combination of quality, price, and other elements of a proposal/bid (or combination of several proposals/bids) that, when considered together, provide the greatest overall benefit in response to the requirements described in the solicitation documents. D. Change Order means a properly executed written agreement entered into and between the District and the Contractor, or unilaterally issued by the District, covering modifications to the original Contract, and which may result in adjustments to the provisions of the Contract, including, but not limited to, terms, scope of work, cost and/or period of performance. E. Competitive Sealed Bids means a selection process whereby prospective Contractors submit sealed bids and the Contract is awarded to the lowest Responsive and Responsible Bidder. F. Competitive Sealed Proposals means a selection process whereby prospective Contractors submit sealed proposals and the Contract is awarded to the proposal that best meets the criteria specified in the Request for Proposals. G. Contingency means an amount above the original Contract price, as awarded by the delegated authority, established at the time of Contract award, as may be amended thereafter, to be used for Contract changes. H. Contract means any type of agreement for the purchase of Goods, Services, and/or Public Works Projects. Contracts may be labeled in various different ways, including, but not limited to, "contract," "agreement," "purchase order," and "task order." OCSD-XX-28 Return to Mende Report I. Contractor means any person or entity that has a Contract with the District. J. Department means one of the District's designated departments. K. Design-Bid-Build means a selection process for the award of Public Works Contracts involving three basic steps: (1)the District hires a design professional to prepare detailed plans and specifications or the District prepares detailed plans and specifications; (2) the District solicits bids from construction firms based on the detailed plans and specifications; and (3)the District awards the Contract to the lowest Responsive and Responsible Bidder. L. Design-Build means a selection process for the award of Public Works Contracts involving two basic steps: (1) the agency solicits proposals from pre-qualified firms to design and construct a project; and (2) depending on the award criteria set forth in the Request for Proposals, the agency awards the Contract to either (a) the lowest Responsive and Responsible Bidder, or(b) the proposal that presents the "best value" M. Director means a director of one of the District's designated departments, or his or her designee(s). N. Director of Engineering means the District's Director of Engineering or his or her designee(s). O. District means the Orange County Sanitation District. P. District Board or Board means the Board of Directors of the Orange County Sanitation District. O. District Official means any member of the District's Board of Directors, any District employee, and any District consultant that is designated under the District's Conflict of Interest Code. R. General Manager means the General Manager of the District, or his or her designee(s). S. Goods means fixed, movable, disposable, and/or reusable products, commodities, equipment, materials, supplies or items used by the District, and excludes land or any interest in real property. OCSD-XX-29 T. Interested Party shall mean all bidders or proposers, and prospective bidders or proposers, on a procurement. U. Mailing means transmission by United States Postal Service, electronic mail, or facsimile. V. Negotiated Procurement means a selection process whereby the Purchasing Manager identifies one or more prospective Contractors of his or her choice, negotiates with one or more of them, and awards the Contract to one of them based on the best interest of the District. W. Notice Inviting Bids/Invitation for Bids means all documents, whether attached or incorporated by reference, utilized for soliciting bids. X. Procurement means buying, purchasing, renting, leasing, or otherwise acquiring any goods, services, construction, construction services, or professional services. It also includes all functions that pertain to the obtaining of any goods, services, or construction, including description of requirements, election and solicitation of sources, preparation and award of contract, and all phases of contract administration. Y. Professional Services means (i) services provided by professionals that involve specialized judgment, skill, and expertise, and (ii) incidental services that professionals, and those in their employ, may logically or justifiably perform. Professional Services include, but are not limited to, services provided by engineering, architectural, environmental, land surveying, construction management, accounting, financial, information technology, human resources consultation and advocacy, legislative advocacy, and scientific research/consulting firms. Z. Professional Design Services means engineering, architectural, environmental, land surveying, construction management, and similar Professional Services retained by the District in connection with, but not limited to, construction, alteration, and/or repair projects. AA. Public Works/Public Works Project means a project involving the construction, erection, or alteration of any type of structure, building, or improvement other than sewerage maintenance or repair projects. BB. Purchasing Manager means the Districfs Contracts, Purchasing and Materials Management Manager, or his or her designee(s). OCSD-XX-30 Return to Mende Report CC. Request for Proposals means all documents, whether attached or incorporated by reference, utilized for soliciting proposals. DD. Request for Qualifications means a request for detailed information concerning the qualifications of prospective Contractors. EE. Requisition means an approved written document making a request for Goods and Services FF. Responsible Bidder means a bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity, and experience to satisfactorily perform the requested services or project. GG. Responsive Bidder/ Proposer means a bidder/proposer who has submitted a bid/proposal which conforms in all material respects to the Notice Inviting Bids/Invitation for Bids/Request for Proposals. HH. Services means the furnishing of labor, time, or effort by a Contractor. Services include both general services (janitorial, landscape, repair, maintenance, etc.) and professional services, unless otherwise specified. ll. Sealed (Bids or Proposals) means the submittal of bids or proposals, either in paper or electronic format, whereby the bid or proposal documents are opened at a specific time and not before. JJ. Sole Source Procurement means the acquisition of Goods and/or Services from a single source. KK. Solicitation Protest Statement shall mean a written objection during the solicitation phase of the procurement, which shall be submitted prior to the bid due date as specified herein. LL. Standing Committee means one of the permanent committees designated by the Board of Directors as "Standing Committees." MM. Task Orders means a written document pursuant to a Contract issued by the Purchasing Manager which provides for the issuance of orders, containing a defined budget, scope of services, and schedule, and authorizes a Contractor to incur a specified amount for the performance of tasks. OCSD-XX-31 ADMINISTRATION COMMITTEE Meeting Date To ad.of Dir. 0/g/13 AGENDA REPORT ItemNumber Item Number 3 Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Jeff Reed, Director of Human Resources SUBJECT: CONSULTING SERVICES AGREEMENT FOR JAMES D. RUTH AS CHIEF LABOR NEGOTIATOR BOARD CHAIR'S RECOMMENDATION A. Waive the one year prohibition in OCSD Personnel Policy 1.4 for James D. Ruth regarding retaining former employees as independent contractors or consultants; and B. Authorize the Board Chair to execute a Consulting Services Agreement with James D. Ruth effective October 1, 2013 for an extension of services relative to labor negotiations at an hourly cost of $200 per hour for a total not to exceed amount of$48,000. SUMMARY On March 13, 2013 the Administration Committee exercised its authority pursuant to Section 6.1.8 of OCSD Personnel Policy 1.4 to waive the one-year prohibition to retain Mr. Ruth as a consultant/independent contractor, as provided in Section 6.1.5 of OCSD Personnel Policy 1.4, and authorize the Board Chair to execute a Consulting Services Agreement with Mr. Ruth. The Agreement took effect on April 1, 2013, providing for a three month term, and a three month extension, which was exercised. On September 30, 2013, the six month term will expire. Labor Negotiations with the Supervisor Group and Professional Group (S&P) have continued past the expiration of the contract, and the District continues to meet and confer in good faith with the S&P groups, with Mr. Ruth serving as the District's Chief Negotiator. The existing consulting agreement with Mr. Ruth includes a flat monthly fee of $10,000.00 per month. During the five (5) months to date, Mr. Ruth has reported an average of 42 hours of work per month, with 75% of these hours focused on the labor contract negotiations. Due to undetermined timelines regarding these future negotiations with the S&P Groups, there may be intervals of time that will not require Mr. Ruth's participation. Plus, Mr. Ruth's scope of work will be focused solely on labor negotiations going forward. A flat monthly fee may potentially escalate Mr. Ruth's true hourly rate, based on the rate in which labor negotiations progresses. In lieu of a monthly fee, it is recommended that an hourly rate of $200.00 per hour for Mr. Ruth's services be approved, which would be consistent with that of an externally hired negotiator, not to exceed $48,000. It is possible that labor negotiations with the S&P groups could extend as far out as February/March of 2014, which based on historical hours worked, would yield 40 hours of work per month. Page 1 of 2 The new Agreement provides that Mr. Ruth will provide consulting services to OCSD in the role of Chief Negotiator for labor negotiations with the Supervisor Group and Professional Group. PRIOR COMMITTEE/BOARD ACTIONS March 2013 — The Administration Committee authorized the Board Chair to execute a Consulting Services Agreement with Mr. Ruth for a minimum duration of three months to a maximum of six months. The consulting services included assessment of sewer service fees, labor negotiations, organizational structure and operational efficiencies, and other matters as may be required by the Board. ADDITIONAL INFORMATION Mr. Ruth has been employed with OCSD since 2005, and he has provided General Manager services for the District. As of April 1, 2013, Mr. Ruth's employment with OCSD as General Manager terminated. In accordance with Resolution No. OCSD 07- 04, Section 3.10 regarding the selection of specialized services, the Board of Directors desires to retain the consulting services of Mr. Ruth upon the expiration of the current agreement (September 30, 2013). OCSD Personnel Policy 1.4 (Recruitment & Selection), Section 6.1.5, prohibits former employees from being retained as an independent contractor or consultant to provide service directly to OCSD for a period of one year after leaving OCSD employment. Section 6.1.8 of the policy also authorizes the Administration Committee to waive this prohibition if the Administration Committee determines it is in the best interest of OCSD to do so. It is proposed that the Administration Committee waive the one-year prohibition for retaining Mr. Ruth as a consultant because he possesses a unique set of knowledge, skills and abilities to continue in the role of Chief Negotiator as labor negotiations continues to progress. The Meyers-Milias-Brown Act (MMBA) was enacted to ensure labor negotiations are conducted in good faith on all matters relating to wages, hours of work and other terms and conditions of employment. These labor negotiations have progressed in compliance with the requirements and spirit of the MMBA. Therefore, it is recommended that Mr. Ruth be retained as the District's Chief Negotiator through the completion of these labor negotiations. The proposed term of the consulting services commences October 1, 2013 for the duration of labor negotiations with the Supervisor Group and Professional Group, as Chief Negotiator. The existing consulting agreement with Mr. Ruth includes a flat monthly fee of $10,000.00 per month. During the five (5) months to date, Mr. Ruth has reported an average of 42 hours of work per month, with 75% of these hours focused on the labor contract negotiations. Due to undetermined timelines during future negotiations with the S&P Groups, there may be intervals of time that will not require Mr. Ruth's participation. A flat monthly fee may potentially escalate Mr. Ruth's true hourly rate, based on the rate in which labor negotiations progresses. In lieu of a monthly fee, it is recommended that an hourly rate of $200.00 per hour for Mr. Ruth's services be used, which would be consistent with that of an externally hired negotiator. Page 2 of 2 CEQA N/A BUDGET/DELEGATION OF AUTHORITY COMPLIANCE The funds for these services will be derived from the OCSD Operating Budgets for FY 2013-14. ATTACHMENTS The following attachment(s) are provided in hard copy and may also be viewed on-line at the OCSD website(www.ocsd.com) with the complete agenda package: Proposed Consulting Services Agreement (5 Pages) Page 3 of 2 Return to Aaenda Report CONSULTING SERVICES AGREEMENT THIS CONSULTING SERVICES AGREEMENT ("Agreement") is made and entered into by and between the ORANGE COUNTY SANITATION DISTRICT (hereinafter, "OCSD" or "Sanitation District"), a public agency, and James D. Ruth, an individual, (hereinafter referred to as "Consultant"), to be effective this 1st day of October 2013. OCSD and Consultant are sometimes hereinafter individually referred to as "Party"and are hereinafter collectively referred to as the "Parties" RECITALS A. The Sanitation District,by and through its Board of Directors, desires to retain the consulting services of James D. Ruth as its Chief Labor Negotiator for meet and confer with the Supervisor Group and Professional Group bargaining units; and B. Based on Consultant's experience, knowledge, and skills, Consultant is qualified to perform these specialized services; and C. Consultant desires to provide the necessary consulting services to the Sanitation District and the Board of Directors pending completion of the labor negotiations; and D. The Sanitation District has adopted procedures in accordance with Resolution No. OCSD 07-04, Section 3.10, for the selection of specialized services and has proceeded in accordance with said procedures; and E. Pursuant to OCSD's Personnel Polices, Policy Number 1.4, section 6.1.8, on October 9, 2013, the Administration Committee of OCSD's Board of Directors determined that it is in the best interest of OCSD to waive the limitations of section 6.1.5 and to enter into this Agreement. NOW, THEREFORE, in consideration of the promises and mutual benefits, which will result to the Parties in carrying out the terms of this Agreement, it is mutually agreed as follows: 1.0 Retention 1.1 The Sanitation District hereby retains the services of Consultant to provide services concerning labor negotiations with the Supervisor Group and Professional Group bargaining units,effective October 1, 2013. 1.2 All services performed by Consultant, including but not limited to all drafts, data, correspondence, proposals, and reports, compiled or composed by the Consultant, pursuant to this Agreement, are for the sole use of the Sanitation District, its agents and employees. Neither the documents nor their contents shall be released to any third party without the prior written consent of the Sanitation District. This provision does not apply to information that (a) was publicly known, or otherwise known to the Consultant, at the time that it was disclosed to the Page 1 of 5 Return to Mende Report Consultant by the Sanitation District, (b) subsequently becomes publicly known to the Consultant other than through disclosure by the Sanitation District. Neither the documents nor their contents shall be released to any third party without the prior written consent of the Sanitation District. 2.0 Term of Agreement The term of this Agreement shall commence on October 1, 2013, and shall continue in full force until the conclusion of the current labor negotiations with the Supervisor Group and Professional Group bargaining units, unless sooner terminated with or without cause or notice by the Sanitation District or by Consultant, with no less than 30 calendar days' advanced written notice,provided in accordance with paragraph 12.2 herein. 3.0 Compensation 3.1 Consultant will receive compensation at the hourly rate of two hundred dollars ($200) per hour for hours worked pursuant to this Agreement, payable in accordance with OCSD's established protocols and procedures used for all other consultants and contractors. Consultant shall not be entitled to any additional compensation or any severance pay upon termination of this Agreement. 3.2 Consultant's compensation set forth in Section 3.1 is limited to hours billed and approved by OCSD's General Manager for OCSD related business, regardless of when performed, but excludes travel to and from business related meetings. Consultant may not invoice OCSD for travel to and from home to OCSD, or work of a personal nature, even if performed while at OCSD and during regular business hours of OCSD. Consultant services compensation may not exceed$48,000. 3.3 Consultant shall not be entitled to receive any benefits of employment provided to OCSD's regular full-time or management employees, including, but not limited to, group health or medical benefits, life insurance,retirement, vacation and other leave accruals. 4.0 Hours of Work 4.1 Consultant's hours of work shall be established by OCSD's General Manager based on the nature and amount of work to be performed as determined by the Board of Directors. 4.2 Consultant shall provide bi-weekly billing invoices for approval and which describe the nature of the services rendered involving labor negotiations and the explanation of the time billed pursuant to this Agreement. Such updates must be submitted to OCSD's General Manager, who shall review progress and approve the invoices. Once submitted, evidence of the scheduled updates and associated documentation will be sent to OCSD's Accounting Department for review and payment in accordance with the OCSD's established accounting practices for all other consultants and contractors. Page 2 of 5 Return to Mende Report 5.0 General Expenses Consultant is not entitled to receive reimbursement for general expenses incurred in the performance of his duties pursuant to this Agreement Notwithstanding the foregoing, if Consultant incurs an extraordinary expense related to the performance of his obligations pursuant to this Agreement and wishes to seek reimbursement from the Sanitation District for such expense incurred, he must do so by submitting a request for reimbursement to the Board of Directors for approval. Any such request must be accompanied by a brief description of the expense and copies of receipts substantiating the expense. 6.0: Insurance 6.1 Consultant shall procure and maintain, at his sole cost and expense, and submit concurrently with his execution of this Agreement, in a form and content satisfactory to OCSD, automobile liability insurance with limits of at least fifty thousand ($50,000) dollars per occurrence. 6.2 Insurance required herein shall be issued by a licensed company authorized to transact business in the state by the Department of Insurance for the State of California with a current rating of A-:VII or better (if an admitted carrier), or a current rating of A:X or better (if offered by a non-admitted insurer listed on the State of California List of Eligible Surplus Lines Insurers (LESLI), by the latest edition of A.M. Best's Key Rating Guide. 6.3 Consultant shall furnish OCSD with both original certificates of insurance and endorsements affecting the coverage required by this Agreement. The certificates and endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All proof of insurance is to be received and approved by OCSD before work commences. OCSD reserves the right to require Consultant's insurer to provide complete, certified copies of the required insurance policies at any time. 7.0: Other Terms and Conditions The Board of Directors, in consultation with the Consultant, shall fix any such other terms and conditions of services to be provided under this Agreement, as it may determine from time to time, provided such terms and conditions are not inconsistent with or in conflict with the provisions of this Agreement, OCSD's resolutions and policies,or any other applicable law. 8.0: Independent Contractor OCSD regards the Consultant's services set forth herein as specialized. It is agreed that Consultant shall act and be an independent contractor and not an employee of OCSD. Consultant shall be issued a Forrn 1099 consistent with his independent contractor status, and OCSD will not be responsible for any tax withholdings. 9.0: Non-Liability of Board of Directors No member of the Board of Directors shall be personally liable to Consultant in the event Page 3 of 5 Return to Aaenda Report of any default or breach by the Board, and or by OCSD, or for any amount, which may become due to Consultant. Consultant's compensation for the services rendered pursuant to this Agreement shall be solely an obligation of OCSD to the extent permitted by law. 10.0: Compliance with Law Consultant shall comply with all applicable laws, ordinances, codes, and regulations of federal, state, and local government in the performance of the duties and obligations that are the subject of this Agreement. 11.0 Governine Law and Venue This Agreement has been negotiated and executed in the State of California and shall be governed by and construed under the laws of the State of California. Any legal action arising under or related to this Agreement shall be brought and prosecuted in the Orange County Superior Court. 12.0 General Provisions 12.1 This Agreement constitutes the entire agreement between the Parties and supersedes all prior negotiations, arrangements, agreements,representations, and understandings, if any, made by or among the Parties with respect to the subject matter hereof. No amendments or other modifications of this Agreement shall be binding unless executed in writing by both Parties hereto,or their respective successors, assigns,or grantees. To the extent that other oral or written agreements exist or OCSD policies may apply to the relationship between OCSD and Consultant, this Agreement supersedes all others. 12.2 Any notices required by this Agreement shall be either given in person or mailed by first class mail with the postage prepaid and addressed as follows. IF TO OCSD: Orange County Sanitation District Attn: Clerk of the Board 10844 Ellis Avenue Fountain Valley, CA 92708 IF TO CONSULTANT: James D. Ruth [Address on File with HR Department] 12.3 If any provision, or any portion thereof, contained in this Agreement is held to be invalid or unenforceable, the remainder of this Agreement, or portion thereof, shall be deemed severed, shall not be affected and shall remain in full force and effect. 12.4 Any modification of this Agreement shall be effective only if it is in writing and signed by the parties. IN WITNESS WHEREOF, this Agreement has been executed in the name of the Page 4 of 5 Return to Mende Report SANITATION DISTRICT, by its officers thereunto duly authorized, and CONSULTANT effective as of the day and year first above written. ORANGE COUNTY SANITATION DISTRICT By Troy Edgar Date Chair, Board of Directors By Maria Ayala Date Clerk of the Board CONSULTANT By James D. Ruth Date Page 5 of 5 ADMINISTRATION COMMITTEE Meeting Date To ad.of Dir. 10/g/13 AGENDA REPORT Item Number Item Number a Orange County Sanitation District FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Director of Finance &Administrative Services SUBJECT: INFORMATION TECHNOLOGY THREE-YEAR STRATEGIC PLAN — FY 2013-2014. GENERAL MANAGER'S RECOMMENDATION Information only. SUMMARY The Information Technology Strategic Plan (ITSP) aligns Information Technology with OCSD's mission, vision, and business goals, and establishes the overall goals and direction of the IT efforts at OCSD. The resources necessary to implement the plan are committed during OCSD's two year budget cycle. The ITSP is updated to coincide with this budget cycle. The attached three-year ITSP is the culmination of the endeavor to create the plan that ties Information Technology's efforts directly to OCSD's strategic plan. The creation of the ITSP involved the following actions: • Access the current state of IT. • Access the needs of the agency to enable OCSD to fulfill the OCSD Strategic Plan. • Determine the gaps between the current state and the technology needs of the agency. • Determine general and specific solutions to fill those gaps. • Using the IT governance process and projected availability of resources, develop annual IT roadmaps and work plans • Obtain funding for IT efforts identified in the ITSP Based on the above actions, specific goals and levels of service were defined that IT needs to achieve to realize the vision of OCSD. High level goals include improving our computing infrastructure, completing a document management system, and continue to implement best practices frameworks. Finally, recommendations were developed to budget for specific efforts. Richard Castillon, the District's Information Technology Systems and Operation Manager will make a presentation at the Administration Committee Meeting on the ITSP and to discuss the Information Technology Division strategy going forward. Page 1 of 2 PRIOR COMMITTEE/BOARD ACTIONS None. ADDITIONAL INFORMATION None. CEQA N/A BUDGET / DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENTS The following attachment(s) maybe viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: Information Technology Strategic Plan FY 2010-13 JH:LT:RC/jmf Page 2 of 2 RE��sE° 012p�3 Orange County Sanitation District Information Technology Three-Year Strategic Plan JULY 2013 `oJNZy SRNI iq lTO We're here 41 � 1 O 9 ? t ? OAF THE E�� Return to Aaenda Reoorl Orange County Sanitation District Information Technology Three -Year Strategic Plan Rw�sJot, Z$,Z0j3 ZgAP Fiscal Years 201 3-2014 2014-201 5 201 5-2016 Orange County Sanitation District 10844 Ellis Avenue, Fountain Valley, CA 92708 714-962-2411 www.ocsd.com TABLE of CONTENTS INFORMATION TECHNOLOGY STRATEGIC PLAN PROJECT TEAM ............... i MESSAGE FROM THE IT SYSTEMS and OPERATIONS MANAGER................ ii EXECUTIVE SUMMARY ............................................................................... III OCSD MISSION and VISION......................................................................... 1 OCSD MISSION STATEMENT............................................................... 1 OCSD VISION STATEMENT................................................................. 1 INFORMATION TECHNOLOGY MISSION and VISION................................... 2 Information Technology Mission Statement....................................... 2 Information Technology Vision Statement.........................................2 Information Technology Guiding Principles ....................................... 2 GOALS and OBJECTIVES..............................................................................4 GoalsCompleted ..............................................................................4 StrategicGoals ................................................................................. 5 Unified Communication............................................................... 5 Enterprise Content Management (ECM)........................................6 Emergency Operations And Business Continuity..........................6 Wastewater Treatment................................................................. 7 Enterprise Information ................................................................ 7 Critical Infrastructure and Cyber Security..................................... 8 Implement Best Practices Framework........................................... 8 SERVICES.....................................................................................................9 INFORMATION TECHNOLOGY APPLICATIONS.....................................9 Infrastructure..............................................................................9 Hardware....................................................................................9 Systems Software And Utilities .................................................. 10 Enterprise Applications ............................................................. 10 Business Unit Applications ........................................................ 12 INFORMATION TECHNOLOGY ORGANIZATION AND SERVICES .......... 14 Staffing..................................................................................... 14 Funding .................................................................................... 17 Departmental Applications........................................................ 17 INFORMATION TECHNOLOGY DECISION MAKING............................. 17 Governance Committees ........................................................... 18 Project Management Office (ITPMO)........................................... 19 Technology Standards............................................................... 19 Computing Policies And Procedures .......................................... 19 FINANCIAL SUMMARY AND IMPLEMENTATION PLAN...............................20 Appendix A- Future IT Centralized Operating Budget.................................21 Appendix B - New Operational & Infrastructure IT Projects..........................22 Appendix C - New Line of Business IT Projects............................................24 Appendix D - Governance Workflow Policy Diagrams ..................................27 Appendix E- Glossary of Terms..................................................................30 Return to Mende Report INFORMATION TECHNOLOGY STRATEGIC PLAN PROJECT TEAM Lorenzo Tyner..................Director of Finance &Administrative Services Rich Castillon ..................IT Systems and Operations Manager John Swindler...................IT Manager Warren Sternin................IT Supervisor Rob Michaels....................IT Supervisor Mike Herrera....................Principal IT Analyst Paul Krzysiak....................Principal IT Analyst Pongsakdi Cady................Principal IT Analyst Eric Hsieh.........................Principal IT Analyst Henry Salgado..................Principal IT Analyst Balachandra Rao..............Principal IT Analyst Pinky Burke......................Staff Analyst/Strategic Plan Coordinator MESSAGE from the IT SYSTEMS and OPERATIONS MANAGER During the last decade, the Information Technology(IT) Department has operated effectively to provide IT services and technology solutions that improve business efficiencies at the Orange County Sanitation District(OCSD). As resources have become scarce, it has been important that we implemented a governance process in which all stakeholders gave necessary input to prioritize and assign IT resources. Following our strategic planning process, I am proud to present this Information Technology Strategic Plan (ITSP) that continues charting our course for the next three years. The mission,vision, and guiding principles adopted as part of the previous plan continue to form the building blocks for our continued success. As IT has grown following agency-wide reorganizations,we continue the effort of reorganizing in a framework that adopts the Information Technology Infrastructure Library(ITIL) standard.This standard is a collection of best practices that aim to improve and then maintain a certain level of computing services quality in the information technology sector.All of the IT technical staff attended the multi-day ITIL foundation training and have obtained certifications. IT reorganized to incorporate the prescribed functions and is phasing in formal implementation of the 24 ITIL processes. IT staff has expended a tremendous effort to define operating and solutions initiatives and implement a detailed planning process to match initiatives with available resources. Combined with an enterprise governance process, these efforts form the baseline for the centralized IT budget. Line items for annual technology operating and capital expenses will be included in OCSD's next two year budget that begins in July of 2014. The Strategic Plan for IT should be viewed in concert with OCSD's Strategic Plan and the District's budget.Together, these documents plan for information technology now and in the future.We will review and update this plan annually to adjust goals and expenditures as changing conditions dictate. I am grateful to the IT team and the many people and executive sponsors in the OCSD community who contributed their time, ideas, and feedback to the strategic planning process. I extend special thanks to the numerous peer groups in local as well as national government including the Water&Wastewater CIO forum and the Municipal Information System Association of California who act as peers in contributing to the success of our IT operations. Respectfully submitted, Richard A. Castillon IT Systems and Operations Manager ii Return b Mende Report EXECUTIVE SUMMARY In November 2012, OCSD's Executive Management Team (EMT) and Board adopted a new comprehensive strategic plan. This IT strategic plan aligns IT with the Orange County Sanitation District's (OCSD)mission,vision, and business goals and establishes the overall goals and direction of the IT efforts at OCSD. This new IT Strategic Plan continues looking forward at a three-year horizon. Following a similar process to the previous plans, senior IT staff conferred with senior technical staff in all divisions to determine their business needs and explore business process improvements. Once this information was gathered, the IT Systems and Operations Manager met with division managers to validate the information and get their input on current and future technology needs required to support their respective operations. These sessions were followed-up with meetings with the Executive IT Steering Committee to vet this plan. Driven by our mission,vision, and guiding principles, this Strategic Plan, updated for 2013, continues our aggressive efforts to enable OCSD to achieve its vision and levels of service by maximizing the contribution of technology solutions. In the past year, significant progress was made in most of the original goals and the goal to establish a framework for enterprise obsolescence was completed. This year,we will add the objective to utilize emerging technologies to increase efficiencies for wastewater treatment. This Strategic Plan will continue to address the objectives and challenges facing Information Technology and OCSD now and into the next three years. • Participate as business leaders at the enterprise level • Integrate tightly with OCSD's business units • Address solutions from a business perspective at the enterprise balcony • Enhance visibility of compliance of Key Performance Indicators (KPIs)using business intelligence tools • Use governance models to make decisions on proposed large technology- driven efforts • Identify annual technology budget requirements • Reduce "islands of information" with integrated database solutions • Continue to promote and update our Geographic Information System(GIS) • Provide high-quality enterprise data and information management This ITSP will continue to be updated each budget cycle to reflect and support the latest OCSD goals and changing levels of service. This is the opportunity, using best practices, to enhance the way OCSD serves its mission of protecting the public health and the environment by providing effective wastewater collection, treatment, and recycling using well planned and managed information technology. iii OCSD MISSION and VISION OCSD MISSION STATEMENT The OCSD Mission Statement is the basic foundation that defines why the Orange County Sanitation District exists. "We protect public health and the environment by providing effective wastewater collection, treatment, and recycling." OCSD VISION STATEMENT The Vision Statement supports the Mission Statement by expressing a broad philosophy of what the Orange County Sanitation District strives to achieve now and in the future in the delivery of services to our customers,vendors, other agencies, the general public and each other. The Orange County Sanitation District is committed to: • Making decisions in an open and honest way to produce optimum financial, environmental and societal results. • Cooperating with other stakeholders to protect the ocean and regional water resources for the people we serve. • Beneficially recycling wastewater, biosolids and other resources using safe and effective processes and systems. • Developing the best possible workforce by providing employees with opportunities to advance their careers through enhanced growth, responsibility, and professional development. l Return to Meade Report INFORMATION TECHNOLOGY MISSION and VISION Information Technology Mission Statement We enable the Orange County Sanitation District to achieve its vision and levels of service by maximizing the contribution of technology solutions. Information Technology Vision Statement We are recognized for our leadership and technical proficiencies and for our ability to seamlessly partner with our customers to create and deliver high quality services and sound business solutions that are consistent within our industry. These services are delivered through a robust infrastructure that is modern, secure, responsive, reliable and available. To achieve this vision, the IT Division is committed to the following Guiding Principles. Information Technology Guiding Principles These guiding principles are formed from a broad and high-level perspective. They will guide IT for many years to come, irrespective of changes in its goals, strategies, type of work, or the top management. • Adopt and implement a set of best practices as defined in recognized IT programs Using best practices such as the Information Technology Infrastructure Library (ITIL)provides operational guidance that enables our IT organization to achieve system reliability, availability, supportability, and manageability of IT products and technologies. Using these practices to guide our organization,we will be able to assess our current IT service management maturity, prioritize the processes of greatest concern, and apply proven principles and best practices to optimize the management of our various platforms. • Utilize a broad collection of partners to act as virtual IT team members This virtual extension of the IT staff provides consulting and partnering as well as hardware, software, networking, hosting, and support services. In the future, external partners will be the primary owners and suppliers of select technologies which will focus on their core competencies of building and running applications. Interfacing with our peers will provide networking opportunities and coalitions to solve common problems while sharing resources. 2 • Make the best possible business decisions in which IT staff use a businessdriven consultative approach IT is no longer just a service provider;we cross organizational boundaries and therefore need to develop relationships while becoming intimately familiar with the business processes of the divisions that we support. IT staff needs to become stewards of corporate information and partner with our customers to generate ideas for business innovation. • Increase IT's commitment to proactively stay on top of new and emerging technologies and practices to ensure quality and cost-effective solutions As IT moves from being an "IT service provider" towards a "value-added business partner",we must have practical awareness of current applications, platforms, and technologies in order to offer technology solutions. IT will move to cross-training staff and will invest in technical training to ensure competencies. • Simplify solutions to lower ongoing maintenance and support costs Support costs greatly exceed initial procurement costs. IT will standardize on commercially available hardware and software, move to consolidate the number of servers and use appropriate software as a service. Whenever possible, we will avoid customizing commercial off the shelf software and instead, encourage business process change to match the software. We will use an enterprise approach in designing and integrating solutions and avoid building islands of information. • Decrease OCSD's dependencies on paper intensive processes We will implement technology to convert to electronic document and data repositories that comply with OCSD's retention policy. • Increase IT's security posture The management of IT staff s privileged accounts and identities need to follow pre-determined policies to ensure the account with least privilege necessary is used. File and data access using privileged accounts require auditing to validate policy compliance. We will aggressively use automation software to enforce compliance and auditing standards. 3 Return to Meade Report GOALS and OBJECTIVES Goals Completed The following goals were completed from the previous strategic plan: Telecommunications System • Provided a new Unified Messaging System • Repaired existing Public Address Systems and expanded the system • Acquired cellular smart phone technologies • Provided remote connectivity in OCSD offsite vehicles • Installed a new plant radio system Enterprise Content Management • Adopted a formal Enterprise Content Management(ECM) initiative • Developed an electronic forms library • Procured hardware and software for the ECM project • Updated www.ocsd.com website Network Infrastructure • Defined the campus wireless infrastructure • Initiated a pilot program for process area wireless network access • Replaced data storage and backup systems Enterprise Obsolescence • Selected and began installing a new Asset Management System • Replaced obsolete servers and desktop computers • Replaced obsolete major enterprise hardware • Upgraded our Financial Information System(FIS) Collaboration Tools • Architected and implemented collaboration tool suite • Implemented enterprise search capabilities • Selected an integrated workflow platform • Designed and implemented executive dashboards to monitor key performance initiatives Critical Infrastructure and Cyber Security • Participated with Water Sector Coordination Council to draft national standards • Received "Best Practices" certification at both divisional and individual levels • Implemented new disaster recovery replication sites 4 Strategic Goals Completing the following goals enable OCSD to provide effective wastewater collection, treatment, and recycling. These goals target areas that will effectively enable IT to fulfill our mission of maximizing the contribution of technology solutions. In order to keep the goals as meaningful as possible,we have limited their horizon to the next 36 months. In some cases, full implementation of a goal or objective will require additional objectives that have not yet been included in this document or budgetary resources that are not yet available. The underlying goals and objectives will be evaluated during the initial undertaking of this strategic Plan and updated annually. Solutions specific to divisional needs identified during the ITSP interview process are identified in the Financial Section of this strategic Plan. The IT Project Management Office(PMO) controls local project plans for each goal that includes operationalizing each goal, responsible parties, resource requirements, and metrics to measure progress. The local project information is sent to the OCSD Agency PMO where the project plans rollup into the Agency project plan. Goal 1: Unified Communication Completing the unified communication infrastructure will permit users to retrieve and send voice, fax, text, and email messages from a single interface whether it is a wired phone,wireless phone, PC, or laptop/tablet PC. Telecommunication systems will be extended to field staff through wireless networking and staff will have real-time connectivity to OCSD's computer applications via tablet computers. The current plant radio system will be converted to a digital system enabling new features that will allow multiple communication channels. Following an engineering planning safety study, identified additions to the public address system will ensure that emergency announcements will be audible in select plant process areas. Objective 1.1: Complete the installation and configuration of the unified communication system to include voice communications Objective 1.2: Complete the implementation of the wireless infrastructure Objective 1.3: Provide remote connectivity to plant field staff Objective 1.4: Provide efface network connectivity to professional staff Objective 1.5: Convert the plant radio system to a digital system Objective 1.6: Complete the expansion of the enterprise public address (PA)system 5 Return to Aaenda Report Goal 2: Enterprise Content Management (ECM) The OCSD IT Steering Committee authorized development and installation of an ECM system. Based on Microsoft SharePoint 2013, this solution allows all departments to facilitate collaboration with staff and outside parties and will provide access to information that is essential to organizational goals. Solutions will be available to effectively implement business processes and provide data repositories on key performance indicators. A comprehensive ECM solution will address records management, document management, image management, content management, and workflow. The fully developed enterprise system will include all of OCSD's major computer activities such as Financial, Operations &Maintenance, Facilities Support, Engineering, and Human Resources. The final system will share appropriate information to provide a single data source for reporting and decision making. Objective 2.1: Complete the development of an enterprise taxonomy Objective 2.2: Upgrade the current software based framework to support the ECM process Objective 2.3: Identify, upgrade, and install applicable software applications Objective 2.4: Complete the forms library Objective 2.5: Complete enterprise ECM plan Objective 2.6: Implement an electronic engineering submittal system Objective 2.7: Implement/configure an ediscovery software solution Goal 3: Emergency Operations and Business Continuity OCSD has been prudent in developing solutions to recover water treatment processes in the event of an emergency. The current Emergency Operations Center(EOC)lacks significant technology to coordinate OCSD's operations with outside agencies. Such technology must be identified, acquired, and implemented in our current and future EOC. A business continuity plan that prepares business functions for future incidents that could jeopardize the organization's core mission and its long-term health needs to be developed and implemented. Business critical computer applications and data are fully replicated between Plants I and 2 but this effort will includes creating an offsite location where operations essential to OCSD will be relocated in the event that the Treatment Plants are not accessible. This site requires computing and telecommunication resources and data be made available to continue operations. Objective 3.1: Architect the new Business Recovery Site Objective 3.2: Configure replication sites for local disaster recovery Objective 3.3: Identify and architect an Emergency Operations Site Objective 3.4: Identify, procure and install appropriate software and hardware for each site 6 Goal 4: Wastewater Treatment The wastewater treatment process facilities are currently completing major capital improvements. Modern equipment contains built-in intelligence allowing for more efficient control of the process. The information is eventually input in to the Industrial Control System(ICS)which securely monitors and controls wastewater operations. The current process network needs to be greatly expanded to handle the increase in secure traffic. Remote video monitoring of the plant processes will allow staff to operate more efficiently. The workforce requires specific training and certifications to work effectively and safely and requires secure access to computer systems and data to operate and maintain the treatment facilities. Objective 4.1: Implement the new ICS that meets capacity and security requirements Objective 4.2: Replace obsolete ICS field computers Objective 4.3: Update network connectivity and security to the pump/lift stations Objective 4.4: Provide video monitoring for select process facilities Objective 4.5: Update the replacement plan for the SCADA system Objective 4.6: Complete the installation of the Asset Management System Objective 4.7: Install the e-nose odor control system Objective 4.8: Instal/configure workforce planning solutions Objective 4.9: Develop a solution to track O&M certifications Goal 5: Enterprise Information The "Beyond 2012" OCSD reorganization moved responsibility for enterprise information systems and data into IT. This includes ensuring quality data is accurate and easily available to appropriate staff and public information is accessible. The OCSD website and social media are solutions that need to be planned and refreshed to communicate current content. Some of the information systems are nearing the end of their supported live span and require upgrades or replacement Objective 5.1: Complete the upgrade to the Geographic Information System (GIS) Objective 5.2: Install and configure the new pretreatment software Objective 5.3: Upgrade the time keeping system Objective 5.4: Develop a framework to provide the public with access to public information Objective 5.5: Maintain OCSD's public website with current and applicable information Objective 5.6: Maintain an appropriate social networking presence 7 Return to Aaenaa Report Goal 6: Critical Infrastructure and Cyber Security The Department of Homeland Security (DHS)recognizes the Water/Waste Water sector as a critical infrastructure. As such,we partner within the sector to design and improve the security of the nation's critical infrastructure. We are developing a plan to reduce cyber threats and vulnerabilities as well as protect critical information from the general public. Objective 6.1: Define and identify information and equipment that are required to be secured Objective 6.2: Secure critical infrastructure and associated information Objective 6.3: Ensure the Industrial Control System is protected in accordance with national standards Objective 6.4: Use the DHS supplied Cyber Evaluation Tool to selfassess our cyber security posture Objective 6.5: Provide appropriate technology for security monitoring and response Objective 6.6 Maintain biannual third party security audits Goal 7: Implement Best Practices Framework The Information Technology Infrastructure Library (ITIL) defines processes, lifecycle concepts, roles, and functions as an internally accepted approach to manage IT services. Using the ITIL framework,we will formally adapt and adopt this integrated IT Service Management framework within our organization. Objective 7.1: Ensure tasks associated with IT Services are captured in the established Service Desk application Objective 7.2: Develop and maintain formal Service Portfolios and Catalogs Objective 7.3: Develop and maintain a Capacity Management process Objective 7.4: Develop and maintain a Security and Access Management process Objective 7.5: Develop and maintain a Release and Deployment process Objective 7.6: Develop and maintain a Software Testing and Development process using renewable virtualized servers and storage 8 SERVICES The following pages define the computer, network, application and related-infrastructure environment at the Orange County Sanitation District.These resources support a user population of approximately 725.Approximately 625 of these are employees; the balances are contractots. 1. Information Technology Applications This section of the ITSP identifies the technology areas for which Information Technology is responsible. The standards for these particular areas change often and are available through Information Technology management. I.I.Infrastructure Low-voltage cabling and radio systems that carry voice or data packets and associated peripherals are the responsibility of the IT division. 1.1.1. Data and Voice Cables: Cables in the facilities that are used to carry data or voice traffic to or from servers,workstations, telephones, or video devices. 1.1.2. Microwave System: The radio system that connects the treatment facilities. 1.1.3. Cable Distribution and Management: The racks and patch panels that interconnect the cable systems throughout the facility. 1.1.4. Fiber Optic Cabling:The fiber that connects buildings and process areas throughout the facilities. 1.1.5. Wireless Access: Wi-Fi and cellular coverage to our devices capable of receiving these signals 1.1.6. Process Peripherals: Fiber to copper transducers used in the process areas. 1.2.Hardware These are the physical devices making up a computer system. IT maintains standards for the device and its configurations. 1.2.1. Telephone System: The voice communication system in use at our facilities. It includes the Voice-Over Internet Protocol(VOIP) infrastructure, desktop phones, and cellular phones. 1.2.2. Radio System: Includes the radio transmitter, repeaters, consoles, and hand. held radio units. 1.2.3. Public Address System: Speakers, amplifiers, and interfaces that broadcast messages to staff. 1.2.4. Network Distribution: Routers, switches, and other network devices that manage traffic on our data and voice network. 1.2.5. Fire&Security Systems: Cameras, sensors, monitors, alarm panels, and card access devices that connect to our life safety systems. 1.2.6. Servers: File servers,web servers, application servers, database servers and virtual server hosts distributed throughout the facilities. 9 Return to Mende Report 1.2.7. Computer Workstations: Personal computers(PCs), notebooks, and tablet computers assigned to OCSD staff. 1.2.8. Printers: Printers and multifunction devices used to print, fax, and scan documents. 1.2.9. Network Storage &Backup: Devices that backup and store data associated with the servers. 1.2.10. Cellular Devices: Cell phones and Smartphones assigned to designated staff. 1.2.11. Reprographics:This includes management of the Copy Center that provides copying/reproduction services staffed by dedicated personnel. 1.2.12. Mailroom: This includes processing of incoming and outgoing mail as well its internal and external mail distribution. 1.3.Systems Software and Utilities These include the software used by the hardware devices and are configured and maintained by IT. The tools and utility software defined below constitute the IT software; they are used to provide interfaces and integration between enterprise and departmental applications and serve to fill the functional gaps in commercial off-the- shelf software. 1.3.1. Server Operating Systems: The operating systems that run on the file, web, application and back end servers at OCSD. 1.3.2. Workstation Operating Systems: The operating system versions currently supported for PCs, notebook, and tablet computers in use at OCSD. 1.3.3. MOBILE Systems: The operating systems used in mobile devices at OCSD. 1.3.4. Database Engines: The database engines for all of OCSD's informational databases. 1.3.5. Report Writing Software: The report writing tools that allow users to access the informational databases. 1.3.6. Conference Bridge: This allows OCSD to host activities where multiple users call a computer,video cameras, and/or toll-free phone number to participate in remote teleconferences. 1.3.7. Application Development Tools: The programming languages used to develop software applications. 1.3.8. Website Management Tools: The tools used to create and manage content of OCSD's internet and intranet. 1.3.9. Internet Monitoring Tools: The tools used to manage and monitor access to outside websites. 1.3.10. Network Security Tools: The firewalls, routers, and intrusion detection systems that protect OCSD's network from viruses, Spam, spyware and unauthorized entry. 1.3.11. System Management Tools: The tools used to distribute and monitor applications and patches and to monitor and control system readiness. 1.3,12. Service Desk Tools: The application that receives and tracks calls and responses to the Service Desk. 1.4.Enterprise Applications 10 These are the software systems that are used for general business functions throughout OCSD and are not a solution for a specific business unit. 1.4.1. Desktop Office Systems: 1.4.1.1. Word Processing 1.4.1.2. Spreadsheets 1.4.1.3. Presentations and Graphics 1.4.1.4. Email 1.4.1.5. Calendaring 1.4.1.6. Printing&Scanning 1.4.2. Web Browsers: 1.4.2.1. Internet Web Browser 1.4.3. Electronic Messaging System: 1.4.3.1. Unified Communication 1.4.4. Enterprise Content Management(ECM): 1.4.4.1. Records Management 1.4.4.2. Document Management 1.4.4.3. Image Management 1.4.4.4. Content Management 1.4.4.5. Workflow 1.4.4.6. Collaboration 1.4.5. Telephone Systems: 1.4.5.1. Telephone Voice Over I/P 1.4.5.2. Telephone voice mail 1.4.6. Internet Services 1.4.6.1. Public website content management 1.4.7. Intranet Services 1.4.7.1. Internal website content management 1.4.8. Enterprise Resource Planning(ERP)System 1.4.8.1. Finance module 1.4.8.2. Payroll module 1.4.8.3. Human Resources module 1.4.8.4. Purchasing module 1.4.8.5. Warehouse module 1.4.9. Enterprise Security 1.4.9.1. Anti-Spam 1.4.9.2. Anti.Malwme 1.4.9.3. Intrusion Prevention 1.4.10. Geographic Information System (GIS) 1.4.10.1. Create and distribute GIS content 1.4.11. Business Intelligence Tools 1.4.11.1. Create and distribute complex data reports 11 Return to Mende Report 1.4.12. Cable Management System: 1.4.12.1. Document fiber optic cable information and locations 1.4.13. Data Warehouse: 1.4.13.1. Document and store treatment plant process information 1.4.14. Citizen Relationship Management(CRM) System: 1.4.14.1. Document, store, and route citizen complaints and comments 1.4.15. Timekeeping 1.4.15.1. Electronic Time Sheet 1.4.16. Mathematical Analysis 1.4.16.1. Statistical Analysis 1.4.16.2. Mathematical Simulations 1.4.17. Life Safety 1.4.17.1. Fire Alarm System 1.4.17.2. Closed Circuit Television(CCTV) 1.4.17.3. Card Access System 1.4.18. Document Management 1.4.18.1. Records Management 1.4.18.2. Records Storage 1.5.Business Unit Applications These are the major applications that are implemented and operated for the benefit of specific business units, even though access to certain modules may be distributed to other business units. IT and/or the Process Control Integration groups initiate integration of these applications into other processes. 1.5.1. Operations and Maintenance 1.5.1.1. Industrial Control System 1.5.1.2. Computerized Maintenance Management System(CMMS) 1.5.1.3. O&M electronic library 1.5.1.4. Condition Assessment 1.5.1.5. Thermal Imaging 1.5.1.6. Electrical Load Monitoring Program 1.5.1.7. Energy Management 1.5.1.8. Engine Control System 1.5.1.9. Monthly Summary of Operations 1.5.1.10. Truck weighing 12 1.5.2. Engineering 1.5.2.1. Project Management 1.5.2.2. Program Control System 1.5.2.3. Computer Aided Design (CAD) 1.5.2.4. Flow Modeling 1.5.2.5. Schedule Analyzer 1.5.2.6. Capital Improvement Program 1.5.2.7. Computerized Emission Management System 1.5.2.8. Industrial Pre-Treatment 1.5.2.9. Reliability-Based Maintenance 1.5.2.10. Non-Industrial Pre- Treatment 1.5.2.11. Biosolids Tracking 1.5.2.12. Environmental Compliance and Awareness Program(ECAP) 1.5.2.13. EPA Permitting and Reporting 1.5.2.14. Construction Management 1.5.2.15. Engineering Library 1.5.3. Laboratory 1.5.3.1. Laboratory Information Management System(LIMS) 1.5.3.2. Chromatography Data System 1.5.3.3. Instrumentation-specific Applications 1.5.3.4. Ocean Monitoring 1.5.4. Facilities Support Services 1.5.4.1. Dig-Alert 1.5.4.2. Fleet Management System 1.5.4.3. Sewer Lines TV 1.5.4.4. Automated Vehicle Location System 1.5.5. Finance 1.5.5.1. General Ledger 1.5.5.2. Accounts Payable 1.5.5.3. Accounts Receivable 1.5.5.4. Budget 1.5.5.5. Fixed Assets 1.5.5.6. Payroll 1.5.5.7. Purchasing 1.5.5.8. Online Bidding 1.5.5.9. Warehousing 1.5.5.10. Contract Management 1.5.6. Human Resources 1.5.6.1. Position Control 1.5.6.2. Employee Information 1.5.6.3. Applicant Tracking 1.5.6.4. Talent Management 13 Return to Mende Report 2. Information Technology Organization and Services The Information Technology Division is organized in a framework to effectively address the mission,vision and goals of the organization. OCSD is committed to provide resources(people, training, funding, facilities and resources)necessary to provide a level of support necessary to support the goals and applications identified in the prior sections. 2.1.Staffing In developing the IT organizational structure, services and solutions are identified that are essential to provide OCSD business units with the structure necessary to support their missions. 2.1.1. IT Management 2.1.1.1. Information Technology Systems and Operations Manager This position is the Information Technology Leader who at the enterprise level,works with other departments to develop strategies to achieve organizational goals and make the enterprise more effective. This position provides leadership,vision and perspective to allocate and support technology resources. This position partners with industry peers, suppliers, and solution providers. 2.1.1.2. Information Technology Manager This position manages day-to-day customer support for all aspects of the division while providing programming and support to address the IT portfolio of projects. This position is the primary liaison between the project development team and the operations groups, and covers configuration management and software control and distribution. 2.1.1.3. Staff Analyst This position provides a variety of analytical and administrative duties in support of IT management including budget coordination, planning and analysis. 2.1.1.4. Administrative Assistant This position performs a variety of secretarial, advanced clerical, and routine administrative work in support of IT staff and maintains all IT maintenance agreements. 2.1.1.5. Program Assistant This position performs a variety of advanced clerical and routine technical, programmatic, and administrative duties requiring the application of specific program knowledge; provides specialized departmental or program information and assistance to IT staff. 14 2.1.2. IT Business Analysts The Business Analyst(BA) function ensures that all of the IT services being provided to customers are aligned to the customers need for these services. This role is fulfilled by a team of Principal IT Analysts who interface regularly with the various business units. 2.1.3. Technical Management This team proactively supports the evolving enterprise architecture and ensures that plans are in place to meet the new and changing requirements of running the business from a networking backbone, telecommunications, hardware, and software perspective. They support enterprise architecture, infrastructure engineering, capacity management, the telephone system, data backup and restore, server support, and the life safety(fire and security) systems. 2.1.3.1. Principal Information Technology Analyst These positions are functional team leader and interact directly with IT Management. 2.1.3.2. Senior IT Analysts These senior level staff members provide highly advanced infrastructure support. 2.1.3.3. ITAnalysts These staff members provide specialized infrastructure support. 2.1.4. IT Service Support This team provides production-systems tasks necessary to run IT on a daily basis and includes the service desk, incident, and problem management functions while providing production support for custom and commercial off th&shelf applications. 2.1.4.1. IT Supervisor This position supervises the Service Desk and IT Operations staff members. 2.1.4.2. Senior IT Analysts These senior level staff members provide highly advanced operations support. 2.1.4.3. IT Analysts These staff members provide specialized operations support, staff the Support Desk and provide specialized hardware and software support. 2.1.4.4. IT Technicians These positions provide technical assistance to system users for computer and network related problems and installs, troubleshoots, repairs, and maintains telecommunications, data, and computer equipment. 15 Return to Aaenda Report 2.1.5. Security The primary goals of the Security function are to protect information and systems from being compromised and ensure data confidentially, integrity, and availability. 2.1.5.1. Principal Information Technology Analyst This position currently reports directly to the IT Systems and Operations Manager. 2.1.6. Solutions and Application Support This team provides software configuration, deployment, and the support required to successfully deliver technology applications,while minimizing risk and producing high quality results. The team functions through a disciplined approach to managing technology projects based on industry best practices in software development and project management. The IT Project Management Office and the associated certified project management staff are included in this function. 2.1.6.1. Principal Information Technology Analysts These positions provide team leadership for programming and database administration, project management functions, and interact directly with IT Management, the IT Services Team, and the customer. This level also provides enterprise Project Management support. 2.1.6.2. Senior IT Analysts These senior level staff members provide highly advanced programming and solutions support. This level also provides local Project Management support. 2.1.6.3. IT Analysts These staff members provide general application support. 2.1.7. Enterprise Information Management(EIM) This unit provides staff and expertise to effectively manage enterprise applications, information, and data. The group actively ensures that data standards are adhered to and that accurate data is delivered for all new projects.The group provides GIS mapping and CAD support and maintains the enterprise libraries and databases with associated documents and data while supporting key applications. 2.1.7.1. IT Supervisor This position supervises the EIM functions and staff members. 2.1.7.2. Senior IT Analyst These positions provide functional leadership and highly advanced support for software, GIS, and Laboratory Information Systems. 2.1.7.3. Data Management Technicians These positions maintain plant facility models and documents while maintaining data quality in the associated databases. They also act as an enterprise CAD and GIS resources and validate associated 16 attributes and data. Staff also maintains the engineering library and plant asset information. 2.1.7.4. Principal Public Affairs Specialist This position acts as the webmaster for the public website and maintains content and exposure of social media. 2.2.Fu nd ing OCSD utilizes a two-year budget cycle. Funding for IT assets is generally centralized and contained in the IT budget. Select enterprise technology solutions or large-scale improvements are funded through the Capital Improvement Program (CIP). CIP efforts that contain technology are approved through IT and contain line items to cover IT related software and hardware and the associated acquisition, management, and support costs. The associated budgets are: 2.2.1. Operating Budget for salaries and other expenses less than$5,000 and a life less than five years budgeted on an annual basis are recognized through the ITSP. 2.2.2. Equipment Budget for equipment(including software)greater than$5,000 and a life of at least than five years budgeted on an annual basis; these expenses are recognized through the ITSP. 2.2.3. CIP Budget for salaries and other expenses pertaining to specific projects. 2.3.Departmental Applications The appropriate IT BA identifies solutions to departmental business requirements. The business unit technical leader works with the IT BA to create a business case. The solution must support installation of an IT approved platform and hardware. Depending on the cost of the solution and the resource requirements, the solution is approved by either the OCSD Clearinghouse or IT Steering Committee before it is added to the ITSP. The IT Steering Committee approves the budget and assigns the effort to the appropriate budget year. Included in the solutions costs are: hardware and software acquisition costs, third party consultant costs, annual licensing costs, and annual maintenance agreement costs. As required, IT will provide or participate in project management and in conjunction with the vendor, install the application, configure the database, and integrate with other departmental and enterprise systems. 3. INFORMATION TECHNOLOGY DECISION MAKING IT Governance is the set of authorities, processes and procedures whereby key strategic and operational decisions are made and aligned with OCSD's strategic plan and business goals. OCSD uses IT Governance to: oversee information technology investments; identify business needs that are candidates for technology solutions; develop enterprise information strategies, policies and standards; structure how OCSD aligns IT strategy with business strategy; review, authorize,sponsor and prioritize enterprise technology efforts from a business perspective; stay abreast of project progress and resolve high level issues; ensure all stakeholders and interests are taken into account and that processes 17 Return b Mende Report provide measurable results; and build and maintain IT relationships with OCSD's business units. 3.1.Governance Committees 3.1.1. Information Technology Steering Committee OCSD has established an Information Technology Steering Committee comprised of members of the Executive Management Team and the IT Operations &Support Manager. The committee supports the development of enterprise information strategies, policies and standards, overseeing information technology investments and creating a secure and efficient information management environment.This must be done in the proper context of business strategies and operational requirements. The committee reviews the status and progress of the ITSP and will meet to approve changes in the IT Portfolio as recommended by the Management Team. In discharging its responsibilities, the Committee shall have the sole authority to, and shall, do the following: • Identify business needs that are candidates for technology solutions • Review, authorize,sponsor and prioritize enterprise technology efforts • Authorize Technology CIP, Equipment, and special Operating Budgets • Stay abreast of project progress and resolve high level issues • Provide feedback or direction to staff • Gain better understanding of Information Technology and how it can be used at OCSD 3.1.2. OCSD Clearinghouse Committee This committee was formed to centralize enterprise project efforts. The Engineering Planning division heads the bi-weekly meetings. The committee consists of Line of Business managers and representatives to give enterprise exposure to new project requests and set the priorities for resource-limited business units that implement the solutions. The committee evaluates new requests for validity and redundancy and determines the appropriate mechanism and budget to accomplish the efforts. The mechanisms point to Engineering Planning, Engineering CIP Project, small Facilities Engineering projects, Facility repairs, or Information Technology. The Clearinghouse chair often combines several smaller requests into large CIP efforts. Once the project is prioritized and assigned to IT, the IT manager adds the project to the IT Roadmap, identifies budget, and assigns appropriate staff. The IT Roadmap is published quarterly and electronically delivered to all management. See Appendix D- Governance Workflow Policy Diagrams 3.1.3. OCSD Managers Team(MT) The MT meets during the ITSP yearly update to recommend placement and prioritization of newly proposed IT solutions into the ITSP and the centralized IT budget. The team also reviews the IT portfolio and 18 recommends changes based on available resources. Recommendations are forwarded to the IT Steering Committee. 3.2.Project Management Office (PMO) The IT PMO methodology is based on the Project Management Institute's Body of Knowledge(PMBOK) and is responsible for identifying and implementing project management best practices.The project processes and standards are published in the Project Managers Manual.The IT PMO also maintains project focus, management visibility, and performs quality control and assurance on IT related projects.All major IT projects are reviewed monthly. Required project elements include project chatters, scopes of work,work breakdown structures, communication plans, issue logs, meeting minutes and status reports. Current support efforts include managing IT project enhancement requests and new project requests, coordinating with the OCSD Clearinghouse Committee, maintaining the scheduled and future IT projects portfolio listing, scheduling and forecasting IT resources, conducting project gate reviews, publishing the monthly IT Roadmap Report and portfolio statistics. 3.3.Technology Standards OCSD has set technology standards that can be supported and updated on a regular basis. These standards are available through Information Technology and are used as required for Requests for Proposals (RFPs) and Scopes of Work(SOWS). The standards apply to: 3.3.1. Server hardware 3.3.2. Desktop, tablet, and notebook computers 3.3.3. Server operating systems and revision/patch updates 3.3.4. Desktop, tablet, and notebook operating systems and revision/patch updates 3.3.5. Databases 3.3.6. Office Systems 3.3.7. Operating system services 3.3.8. Application and server account permissions 3.3.9. Backup applications 3.3.10.Virtual applications 3.3.11. Networking Equipment 3.3.12.Wireless Access Points 3.3.13.Wireless Equipment 3.3.14. Radio Systems 3.4.Computing Policies and Procedures Human Resources,with significant input,vetting, review, and approval from Information Technology, maintains the End-User corporate policy. The Corporate Computing System policies are authored and maintained by Information Technology staff. Input from the Process Controls group is solicited when the policies address wastewater treatment control systems issues. 19 Return to Mende Report FINANCIAL SUMMARY and IMPLEMENTATION PLAN Appendices A through C reflect the work efforts identified by OCSD's business units, their financial impacts, and fiscal year implementation schedules. The plan shows an aggressive sequence of events required to make the transformation over a three-year period. The costs and efforts shown to accomplish the specific tasks in this plan are reasonable estimates based on assumptions of activity requirements. They have been developed as planning estimates and not detailed acquisition costs. Annual plan funding is based on agency priorities as identified by the IT Steering Committee along with assumptions regarding rate of change that can effectively be accomplished. The three-year window was chosen based on the rapid changes in technologies. Annual budgeting considerations will most likely change between years but efforts within available funding will continue as the priority dictates. Each year, the IT Steering Committee will review the ITSP projected efforts and determine which items will be approved for the following year. The financial summary will also be updated to reflect the changing needs of OCSD. Budget Assumptions • The Centralized IT Operating Budget line items will remain consistent with the FY 2013/2014 approved amounts after adjustment for economic inflation • Requests for small(below$5,000) computer items will be procured based on priority but within the allocated budget • Request for programming services that are above the efforts internal staff can provide may be accomplished through professional services based on priority but within the allocated budget • Computer items over$5,000 with a useful lifetime greater than three years will be procured through the Centralized Computer Equipment Capital Budget or the IT Obsolescence CIP. These line items are subject to approval through the normal budgeting process • Software, hardware, or services that are directly related to CIP or long-term Master Plan efforts will be charged against the specific project(s) • Priorities will be determined through the IT governance process based on the goals,vision, and Level of Service as defined by the OCSD Strategic Plan and negotiated through the Management Team(MT) 20 Appendix A - FUTURE IT CENTRALIZED OPERATING BUDGET (FY 2013-14/FY 2014-1 5/FY 201 5-16) Information Technology identified the routine projects for implementation in the next three fiscal years.These projects are repetitive and are currently being implemented. FY 13-14 FY 14-15 FY 15-16 Est. Est. Est. Est. Est. Est. Budget Project Cost Labor Cost Labor Cost Labor Comments I51 Ihoursl I51 Ihoursl I51 (hours) Category Desktop-New/ 275,000 100 288,750 100 303,188 100 Operating PCs,notebooks, Replacements laptops,tablets Maintenance Hardware&software Agreements 1.248,000 150 1,310,400 1001,375,920 100 Operating licensing and maintenance contracts Non-PC hardware, Office Automation 468,000 500 491,400 500 515,970 500 Operating software, peripherals, small computer items Professional 300,000 500 315,000 330,750 Operating External Programming Services Support Labor&materials cost Repairs and gg,g00 200 103,740 200 108,927 200 Operating for maintenance of Maintenance programs,equipment& facilities Reprographics/ Copy Center and mail ,038 5 Mail Room 215,000 50 225,750 50 2370 Operating room equipment, personnel,&postage Telephone 300,000 100 315,000 100 330,750 100 OperatingFndlbn.,ndellular and ,VOiP 21 Return to Aaeada Report Appendix B - STRATEGIC IT BUDGET New Operational and Infrastructure Projects (FY 2013-14/FY 2014-15/FY 201 5-16) This table reflects New IT Operational and Infrastructure Projects for Fiscal Years 2013-14/2014-15/2015-16 Project Estimated Cost Est. Labor Budget Category ($) (hours) Enterprise GIS Implementation and Support $ 75,000 CIP-IT Boardroom AV Upgrades $ 70,000 CIP-IT Conference Phone Replacements/Upgrades $ 6,000 CIP-IT Mutli-Function Printer Replacements $ 105,000 CIP-IT Wireless LAN Controller(WLC)Replacements $ 20,000 CIP-IT Handheld Radios&Microphones $ 265,000 CIP-IT Tablets for P1 (Maintenance) $ 75,000 ICIPAT Wireless Connectivity at P2 $ 900,000 CIP-Eng'g Obsolesence(Hardware&Software) $ 1,500,000 400 CIP-IT Information Security Traffic Analyzer $ 20,000 40 CIP-IT Risk Management Insurance Tracking $ 60,000 60 Equipment Industrial Control System (ICS)Implementation $ 30,000 1000 CIP-IT Cell Repeaters $ 20,000 50 CIP-IT Mobile Device Management $ 10,000 80 Operating Pl Server Room AC $ 80,000 40 CIP-Eng'g P2 Operations Power $ 200,000 80 CIP-Eng'g Pump Station Telecommunications Improvements $ 100,000 200 CIP-IT Enterprise Content Management $ 300,000 2000 CIP-IT Video survelience systems $ 75,000 CIP-Eng g Wireless Connectivity at P1 &P2 Warehouse $ 25,000 CIP-IT Enterprise GIS Implementation and Support $ 75,000 CIP-IT Portable device for round sheets(Operations) $ 50,000 CIP-IT 22 Appendix B - STRATEGIC IT BUDGET New Operational and Infrastructure Projects (FY 2013-14/FY 2014-15/FY 201 5-16) This table reflects New IT Operational and Infrastructure Projects for Fiscal Years 2013-14/2014-15/2015-16 Project Estimated Cost Est.Labor gadget Category ($) (hours) Tablets for P2(Maintenance) $ 75,000 CIP-IT Wireless Connectivity at P2 $ 50,000 CIP-IT Address Plant Radio coverage in specific plant area $ 75,000 CIP-Eng'g (P1 &P2) Obsolesence(Hardware&Software) $ 1,500,000 400 CIP-IT Industrial Control System (ICS)Implementation $ 30,000 500 CIP-IT Cell Repeaters $ 20,000 1 50 CIP-IT Pump Station Telecommunications Improvements $ 100,000 200 CIP-IT Enterprise Content Management $ 500,000 2000 CIP-IT Fiscal Year 2015.2016 Video survelience systems $ 75,000 CIP-Eng'g Portable device for round sheets(Operations) $ 50,000 CIP-IT Wireless Connectivity at P2 $ 50,000 CIP-IT Upgrade Remote Video Monitoring of Plant $ 50,000 Equipment Equipment(P1 &P2) Obsolesence(Hardware&Software) $ 1,500,000 400 CIP-IT Enterprise Content Management 1 $ 500,000 1 2000 CIP-IT Industrial Control System (ICS)Implementation $ 30,000 1 500 CIP-IT Pump Station Telecommunications Improvements $ 100,000 1 200 CIP-IT 23 Return to Aaenda Report Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects (FY 2013-14/FY 2014-15/FY 2015-16) This table reflects New Lin&Of-Business IT Projects for(FY)2013-14 and future years. Project Estimated Cost Est.Labor Budget Category ($) (hours) eDMR(Electronic DMR Submittal) $ 3,500 350 Operating Research methods to audit instrument level data $ 2,000 200 Operating changes who what and when changes were ads). Pretreatment Information Management System(PIMS) $ 950,000 CIP PIMS-Permit Application and renewal process PIMS-Self-monitoring submittal PIMS-Pre-permit Inspection Process PIMS-Mobile integration Mobile Device Based Inspections(Biosolids, 900 Operating, Equipment Stormwater,Air Quality) Non-industrial Source Control-Continued support of $ 5,000 Operating SharePoint Extranet FIR Talent Mgml System-Implement Succession Mgmt $ 25,000 Operating GIS-Facility Atlas Upgrade $ 10,000 100 CIP GIS-Sewer Atlas Upgrade $ 7,000 100 CIP GIS-Database Migration (Oracle to SQL Server) $ 15,000 100 CIP Increase GPS Units $ 20,000 100 CIP P&ID Redraw Project $ 275,000 200 CIP-IT LRIS Data Development and Research $ 100,000 150 CIP-IT Managed File Transfer(FTP rplacement) $ 15,000 75 Operating or CIP Reconciliation of JPM Chase payment activity 80 Operating FIR Reporting category codes and training 160 Operating Absence Compliance Tracking $ 37,000 160 CIP-IT Timecard Upgrade $ 8,000 160 Operating Integrate BI tools(Powerview)into PCS $ 20,000 CIP-IT CIP Buget App replacement 250 Operating or CIP 24 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects (FY 2013-14/FY 2014-15/FY 2015-16) This table reflects New Line-Of-Business IT Projects for(FY)2013-14 and future years. Project Estimated Cost Est.Labor gadget Category ($) (hours) Electronic submission of plans $ 40,000 100 Operating or CIP Forecaster Improvments 80 Operating or CIP Link Connection Permit to user fees 150 Operating or CIP Oracle database Upgrade $ 50,000 100 Operating Upgrade of Oracle Primavera CM 14.0 $ 5,000 80 Operating Process Control Workstation Replacements $ 67,000 200 CIP-IT Process SCADA WS Exceed Licenses $ 25,000 40 CIP-IT Back-Up Target to Replace DNF(ICS Project) $ 10,000 40 CIP-IT PCS Upgrade from ASP to SharePoint $ 225,000 200 CIP-IT EAM Phase III $ 700,000 450 CIP-O&M Primavera P6 Reporting Enhancment $ 6,000 Operating Odor Control a-Nose $ 80,000 40 CIP-Eng'g Disaster Response-Business Continuity $ 100,000 500 CIP-Eng'g Server Obsolescense/EOL servers $ 100,000 150 CIP-IT LIMS v7 Upgrade $ 5,000 500 Operating Leverage GIS for the analysis of laboratory data(SC, $ 1,000 100 Operating OMP Plant Implement method to audit instrument level data 250 Operating changes who what and when changes were made). Public Records Act Requests for Industries(Kiosk 250 Operating based search Non-Industrial Source Control Permits and Local Data Management(Dry Cleaners, Radiator Shops, Emerging 1500 Operating Pollutants, Dentist and FOGs) Increase GPS Units $ 20,000 100 CIP GIS-Electronic Map Book(EMB)Conversion $ 20,000 150 CIP Tablets or Laptops with barwde scanning for P7 &P2 $ 50,000 100 CIP Warehouse 25 Return to Aaeada Report Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects (FY 2013-14/FY 2014-15/FY 2015-16) This table reflects New Lin&Of-Business IT Projects for(FY)2013-14 and future years. Project Estimated Cost Est.Labor Budget Category ($) (hours) 3D Barcode capility for P1 8 P2 Warehouse $ 10,000 20 CIP EAM Phase III $ 200,000 150 CIP Reliability Software(vibration, tube oil,thermography, $ 225,000 250 CIP etc.. Regulatory Data Warehouse(MSO) $ 250,000 200 CIP OMAP Optimization $ 150,000 50 CIP Replacement of LH San $ 120,000 80 Operating PCS Upgrade from ASP to SharePoint $ 225,000 200 CIP-IT Review PIMS Effluent Monitoring Evaluation 80 Operating Review PIMS FOG-Enforcement Module 40 Operating Review Source Control Inspector Performance Requirements 40 Operating Disaster Response-Business Continuity $ 100,000 500 CIP-Eng'g Fiscal Year 2015-2016 Tablets or Laptops with barcode scanning for P7 &P2 $ 25,000 CIP Warehouse EAM Phase IV $ 600,000 250 CIP Regulatory Data Warehouse(MSO) $ 150,000 150 CIP Disaster Response-Business Continuity $ 100,000 500 CIP-Eng'g 26 INFORMATION TECHNOLOGY GOVERNANCE POLICY April 13,2012 `w -Audits m -Technical Change w -Best Practices -Regulatory a -Security o a _ o N o > DRAFT POLICY C p` w 0 t o O F F F a VETTING Review/Revise E 0 u No E m w Review Recommend m F c Yes c mE w Adopt Policy No 0x m 0 Yes a L Implement 27 Return to Aaenda Report INFORMATION TECHNOLOGY GOVERNANCE NEW PROJECTS In Adopted ITSP IT Portfolio Execut SIDE Validate Fund Local CLEARINGHOUSE Funded? Yeses Prioritize For Charter High Level of Effort Capital Items Request for NEW IT Project/Resources No >$5,000 Business Unit \ Enterprise ITSP IT IT -Materials(SW/HW) & � Planning Group PMO Staff Implementation IT Principal Analyst �\ Budget Process -Services �\ . . . . .Updates . . . . . . . \ New Item REJECT Funded REJECT � � Quarterly Updates, <$5,000 Department IT Portfolio Updates Heads >SO hours p -Current Ad Hoc(Not in ITSP) \ \ -Planned -Issues 7 \ 000ss N4'%q �A . . . . . . . . . . . . . . . .: JAN/JULY ITSP Update, � No (Enterprise) • . . . MT&RecomPrioritize mend IT Portfolio \ Small Local? Ves � Monthly Clearinghouse Update (with appeals process to DH) IT Status Update 28 RC/peb April 13, 2012 INFORMATION TECHNOLOGY GOVERNANCE OPERATING/PRODUCTION SYSTEMS April 13,2012 (BUDGETED) Requests: • Software/Hardware Upgrades o • Small Projects Q • Minor Enhancements v o Review/Assess/ s �. � Evaluate/Change/ � ° — Approve Requests) a Q c E w m Prioritize c m r m [LDE Execute 29 Return to Mende Report Appendix E - Glossary of Terms Adaptive-Able to support a wide variety of applications and evolve as business or technology changes. Adaptive Architecture-A set of design specifications that result in an orderly structure than can be changed to fit new circumstances without destruction of the design or plan. Alignment-To be in the correct position relative to something else. See Business Alignment Application-A set of programs and functions that perform a given task or a set of related tasks. Application Architecture-Defines how applications are designed and how they cooperate, promotes common presentation standards to facilitate rapid training and implementation of new applications and functions. Good application architecture enables a high level of system integration, reuse of components and rapid deployment of applications in response to changing business requirements. Architecture-The art or science of designing structures.A set of designs and specifications that results in orderly arrangement of structural components. Architecture Requirements-A set of boundaries and framework under which business- driven enterprise architecture must operate.ARs define the basic IT requirements needed to enable and support the key enterprise business strategies or business drivers of the enterprise. Asset Tag-A tag attached to a specific asset that remains with the asset throughout its lifecycle at OCSD. The tag is labeled with the asset record identification number from the CMMS. Authentication-Authentication is the means by which assurance of the identity of parties to a transaction is established. Baseline Architecture-the set of artifacts that portray the existing enterprise. Commonly referred to as the "As-Is" architecture. Benchmark-A set of conditions against which a product or system is measured. Best Practices- Practices that have been shown in actual application to be of value and are proven practices. Business Alignment-The positioning of technology to match the needs of the business. Business Architecture- Defines the organization and functions of the business processes that support those functions. 30 Business Continuity- Describes the processes and procedures an organization puts in place to ensure that essential functions can continue during and after a disaster. Business continuity planning seeks to prevent interruption of mission-critical services, and to reestablish full functioning as swiftly and smoothly as possible. Business Drivers- External and internal forces that create a need for business action or "drive"the organization's business, as well as the strategies that an organization defines in response to these forces. Business drivers are those "key enterprise level business strategies"that will have the most significant impact on the architecture process. Business Entity-A business entity is an object that implements the business rules in a system application or service. Business Process— 1)A related set of activities that when correctly performed satisfy some business goal. 2)A process orchestrates or coordinates a series of activities needed to satisfy some business goal. 3) A business process controls the step-by-step actions of executing some work, moving the system from one state to another.At each step it may perform a business operation. Capital Improvement Program (CIP) -A short-range plan, usually four to six years,which identifies capital projects and equipment purchases, provides a planning schedule and identifies options for financing the plan. Essentially, the plan provides a link between a public agency and/or other local government entity and its comprehensive strategic plans and annual budget. Chief Information Officer(CIO)-The person responsible for planning, oversight and control of an organization's information assets and information processing systems. Commercial Off-The-Shelf(COTS) -Computer hardware or software products that are ready-made and available for sale, lease, or license to the general public. They are often used as alternatives to in-house developed. Component-A software object that exposes one or more interfaces and that implements logic. In object-oriented programming and distributed object technology, a component is a reusable program building block that can be combined with other components in the same or other computers in a distributed network to form an application. Computerized Maintenance Management System (CMMS)—Software used by Operations & Maintenance staff to manage discrete and linear assets, plan/schedule and monitor work order management, and tract/monitor maintenance related regulatory issues. Conceptual Architecture-A general design that indicates the overall intent and outline of the target architecture and lays the foundation and defines the process that will be used to develop the target architecture. Confidentiality-Confidentiality is the assurance that no one is able to eavesdrop on the transaction in progress. 31 Return to Mende Report Contract-A legally binding agreement that describes all the constraints between multiple parties. Control Server—is the server that hosts supervisory control software that communicates with lower-level control devices.The control server accesses subordinate control modules over an Industrial Control System (ICS) network. Current Technologies-Technologies that are the current standard for use within the enterprise tested and generally accepted as standard by industry. Data Historian -The data historian is a centralized database for logging all process information within an ICS. Information stored in this database can be accessed to support various analyses, from statistical process control to enterprise level planning. Data Life Cycle Management(DLM) -A policy-based approach to managing the flow of an information system's data throughout its life cycle:from creation and initial storage to the time when it becomes obsolete and is deleted. Data Marts- Data warehouses can become enormous with hundreds of gigabytes of transactions.As a result, subsets, known as "data marts," are often created for just one department or product line. Data Warehouse-A data warehouse is a central repository for all or significant parts of the data that an enterprise's various business systems collect. Data from the production databases are copied to the data warehouse so that queries can be performed without disturbing the performance or the stability of the production systems. Database-A database is a collection of information that is organized so that it can easily be accessed, managed, and updated. Databases are sometimes classified according to their organizational approach.The most prevalent approach is the relational database, a tabular database in which data is defined so that it can be reorganized and accessed in a number of different ways.A distributed database is one that can be dispersed or replicated among different points in a network.An object-oriented programming database is one that is congruent with the data defined in object classes and subclasses. Computer databases typically contain aggregations of data records or files, such as sales transactions, product catalogs and inventories, and customer profiles. Database Management System (DBMS) -A Database Management System (DBMS) is a computer program (or more typically, a suite of them) designed to manage a database (a large set of structured data), and run operations on the data requested by numerous clients. DBMSs control the organization, storage, retrieval,security and integrity of data in a database.A DBMS is usually an inherent part of a database product. On PCs, Microsoft Access is a popular example of a single-or small-group user DBMS. Microsoft's SOL Server is an example of a DBMS that serves database requests from multiple (client) users. Other examples include IBM's DB2, Oracle's line of database management products,and Sybase's products. 32 De-facto Standards-Standards that have become accepted and adopted although not originally defined by consent. Often are more important than standards that have been defined by consent of standards groups. A good example is TCP/IP which is accepted as a standard instead of the competing OSI (Open Systems Interconnect) standard which was defined by a standards group. Desktop Computer-A single-user computer.A desktop computer typically includes a monitor, processor, keyboard, mouse, operating system and other hardware and software. Frequently referred to as a Personal Computer, PC or Mac, but may also refer to a workstation from Sun, IBM, etc.Also called a "client computer" or"client" or simply a "desktop," the term implies stationary use,whether it resides on the top of the desk or under the desk in a tower case. Digital Certificate-an electronic"ID"that establishes your credentials when doing business or other transactions on the Web. It is issued by a certification authority(CA). It contains your name,a serial number,expiration dates, a copy of the certificate holder's public key (used for encrypting messages and digital signatures), and the digital signature of the certificate-issuing authority so that a recipient can verify that the certificate is real. Digital Signature-An electronic signature that can be used to authenticate the identity of the sender of a message or the signer of a document, and possibly to ensure that the original content of the message or document that has been sent is unchanged. Digital signatures are easily transportable,cannot be imitated by someone else, and can be automatically time-stamped.The ability to ensure that the original signed message arrived means that the sender cannot easily repudiate it later. Discipline- Logical functional areas to address when building the architecture blueprint.The descriptions of the disciplines. Domain - Logical groupings of disciplines that form the main building blocks within the architectural framework. e-Business-Electronic-business; conducting business online.The term is often used synonymously with e-commerce, but e-business encompasses more than just buying and selling of products on the Web, for example; business licensing, registration and tax payments. e-discovery-The electronic aspect of identifying, collecting and producing electronically stored information in response to a request for production in a law suit or investigation. e-government-The transformation of internal and external business processes toward customer-centric service delivery offered by Web-based technologies to better fulfill the purposes of government. Electronic Collaboration-The interaction of individuals and groups using electronic media. Electronic collaboration technologies promote group productivity. 33 Return to Mende Report Electronic Signature-A paperless way to sign a document using an electronic symbol or process attached or associated with the document. Not the same as a digital signature which offers non-repudiation. Emerging Technologies-The most current technologies.These items will usually require testing prior to acceptance by industry as the current standard. It is generally understood that emerging technologies be considered carefully before implementing in an enterprise- wide architecture. Engineering Library-A library of original hard-copy project records and documents. Examples include, engineering design drawings, specifications, reports, contract shop drawings, codes and standards, etc. Enterprise-An organization supporting a defined business scope and mission. An enterprise is comprised of interdependent resources (people, organizations, and technology)that should coordinate their functions and share information in support of a common mission (or set of related missions). Enterprise Architecture- 1.The set of primitive,descriptive artifacts that constitute the knowledge infrastructure of the enterprise. 2. A strategic information asset base,which defines the business,the information necessary to operate the business,the technologies necessary to support the business operations, and the transitional processes necessary for implementing new technologies in response to the changing business needs. It is a representation or blueprint. 3. An overall plan for designing, implementing and maintaining the infrastructure to support the enterprises business functions and underlying networks and systems. Enterprise Architecture Team-The core team responsible for the development and maintenance of the State's Architecture.The team is responsible for the documentation of the architecture and dissemination of information about the architecture. Enterprise Asset Management(EAM)—is the optimal management of the physical asset from inception to decommission. It covers the design, construction, commissioning, operations, maintenance, and decommissioning or the replacement of the asset. EAM will improve ROI by improving asset performance, reducing capital cost, reducing asset maintenances, and extend the life of the asset. Enterprise Business Strategies-Those highest priority strategies that significantly impact and/or set direction for programs across the enterprise. In essence,they "drive"the overall business of state government. See also Business Drivers Enterprise Life Cycle-The integration of management, business, and engineering life cycle processes that span the enterprise to align IT with the business. Enterprise-Wide Technical Architecture-A logically consistent set of principles that are derived from business requirements, guide the engineering of an organization's systems and technology infrastructure across the various component architectures, are understood 34 and supported by senior management, take into account the "full context" in which the architecture will be applied, and enable rapid change in business processes and the applications that enable them. Entity-An information-sharing unit.All agencies(see definition above) are entities; so are courts and legislative bodies. Private organizations that share governmental information are also entities, as are private persons. Equipment Information Datasheet(EID)-set of forms used to collect and transmit detailed information between CCSD Engineering, IT and Consultants/Contractors about construction project related assets. Extranet-A network or network of networks that can only be accessed by permission, usually protected by firewalls, or other security technology. Facilities Records-documents or data that reflect the "as-is" condition of the facilities (plant and collections). Examples include, design drawings, specifications, baseline models, standards, etc. Firewall -A network device that protects networks from unauthorized entry. A Frewall is a method for keeping a network secure. Firewalls are widely used to give users access to the Internet in a secure fashion as well as to separate a company's public Web server from its internal network.They are also used to keep internal network segments secure. Framework-A basic structure that supports and gives shape.A broad outline or plan that serves to define the shape of the result. Illustration of the various architecture elements, used as a guide for assisting governments as they create enterprise architectures for their organizations. FTP(File Transfer Protocol)-A protocol used to transfer files between two computers over a TCP/IP network (Internet, UNIX, etc.). Function -A major work element that accomplishes the mission or business of an organization,such as accounting, marketing, etc. A sub-function is defined as a component of a function such as accounts receivable, accounts payable, etc. within the accounting function. Gap Analysis-The process of comparing an existing state with a desired state and determining what changes must be made to achieve the desired state. Geographic Information Systems(GIS) -Software and hardware that combines discrete data with spatial data. GIS Architecture- Defines the standards and technologies for implementation of Geographic Information Systems. Governance-The act or process of governing, providing authorization, direction or control. 35 Return to Mende Report Home Page-The first page retrieved when accessing a Web site. It serves as a table of contents to the rest of the pages on the site or to other Web sites. HTML(Hypertext Markup Language) -The set of markup symbols or codes inserted in a file intended for display on a World Wide Web browser page.The markup tells the Web browser how to display a Web page's words and images for the user. Human-Machine Interface-The HMI is software and hardware that allows operators to monitor the state of a process under control, modify control settings, and manually override automatic control operations in the event of an emergency.The HMI also displays process status information, historical information, reports, and other information. IEEE- Institute of Electrical and Electronics Engineers, involved with setting standards for computers and communications. Industrial Control Systems (ICS)-Are networks or collections of networks that consist of elements that control and provide telemetry data on the wastewater treatment process. Industry Trends- Emerging trends within the business world that impact the provision of services and information. Information Architecture- Defines the overall data architecture. Describes the logical structure of databases and the methodology used to correlate data in multiple databases. Provides a framework for defining responsibility for data integrity and distribution. Information Life Cycle Management(ILM)-A comprehensive approach to managing the flow of an information system's data and associated metadata from creation and initial storage to the time when it becomes obsolete and is deleted. Infrastructure-The basic framework of an organization or operation. Infrastructure components are units of technology that support the operation of the information systems. Those components that together offer,through connectivity and computing capability,the potential for all state entities to communicate with each other using voice,video, and data. Statewide infrastructure includes enterprise systems,transport and connectivity, and activities to monitor, maintain, secure, and recover the systems. Integration-The process of bringing together related parts into a single system.To make various components function as a connected system. The ability to access and exchange critical information electronically at key decision points throughout the enterprise. Intelligent Electronic Devices(IDE) -A "smart" sensor/actuator containing the intelligence required to acquire data, communicate to other devices, and perform local processing and control.An IED could combine an analog input sensor, analog output, low-level control capabilities, a communication system, and program memory in one device.The use of IEDs in SCADA systems allows for automatic control at the local level. Internet-An international network of networks based on TCP/IP protocols. 1. A large network made up of a number of smaller networks. 2. (Internet) "The" Internet is made up 36 of more than 65 million computers in more than 100 countries covering commercial, academic and government endeavors. Internet Domain Names-An Internet domain name is an organization's unique name combined with a top-level domain name (TLD). For example, computerlanguage.com would be considered a "second level domain." Following are examples of top level domains: .com=commercial, .org=non-profit organization, .edu=educational and research, gov= government, .mil=military agency. Int=international intergovernmental. Outside of the U.S., the top-level domains are typically the country code; for example, UK for United Kingdom. Interoperability-Theabilitytofunctionseparatelyortogether. The capability to allow users to readily share data among applications residing on varying combinations of hardware and software within and between existing networks. Intranet-A network or network of networks based on internet technologies that are not open to access from the Internet. An in-house Web site that serves the employees of the enterprise. ISO-The International Organization for Standardization, Geneva, is an organization that sets international standards.The U.S. member body is ANSI. IT Governance-Cross-jurisdictional organizational structure that provides a decision- making process for the determination of the services,architecture,standards and policies for the organizations IT. (Determination of who does what and how it gets decided as to who does what.) IT Infrastructure-The systems and network hardware and software that supports applications. IT infrastructure includes servers, hubs, routers, switches,cabling, desktop, lap and handheld devices. Information Technology Infrastructure Library (ITIL) -A set of best practices standards for information technology(IT) service management.The United Kingdom's Central Computer and Telecommunications Agency (CCTA) created the ITIL in response to the growing dependence on information technology to meet business needs and goals.The ITIL provides businesses with a customizable framework of best practices to achieve quality service and overcome difficulties associated with the growth of IT systems. Laboratory Information Management System (LIMS)-An automation software solution used for the data handling requirements of laboratories that include sample tracking and management, instrument and calibration management, standards& reagents management, instrument interfaces, reporting and auditing. Land Records Information System(LRIS)-A system that provides Geographic Information Systems(GIS) and Land Surveying services for the mapping of easements,grant deeds, quitclaim deeds, permits, agreements, access and right-of-way documents, and any other land document. 37 Return to Mende Report Laptop Computer-A portable computer that usually weighs less than eight pounds. Laptops usually come with displays that use thin-screen technology and an integrated keyboard with mouse. Often called just a "laptop" or"notebook," it uses batteries for mobile use and AC power for charging the batteries and desktop use. High-end laptops provide all the capabilities of most desktop computers. Legacy Systems-Those systems in existence and either deployed or under development at the start of a modernization program. All legacy systems will be affected by modernization to a greater or lesser extent. Some systems will become transition systems before they are retired. Other systems will simply be retired as their functions are assumed by modernization systems. Still others will be abandoned when they become obsolete. An automated system built with older technology that may be unstructured, lacking in modularity, documentation and even source code. Line-of-Business (LOB)- Directly relating to the core software applications, operations or practices that have a direct effect on the profit/loss of an enterprise. Loop Tag-A tag found in the process area that represents the operating location of a piece of equipment. The Loop Tag remains in the same location when equipment is removed for rebuild or replacement. Maintenance Library-A collection of Maintenance records including drawings, manuals and submittals for each construction project. Message-A unit of information transmitted electronically from one service to another. Metadata - Data about data. Metadata describes how and when and by whom a particular set of data was collected, and how the data is formatted. Metadata is essential for understanding information stored in data warehouses and has become increasingly important in XML-based Web applications. Methodology-A documented approach for performing activities in a coherent, consistent, accountable, and repeatable manner. Middleware-Software systems that facilitate the interaction of disparate components through a set of commonly defined protocols.The purpose is to limit the number of interfaces required for interoperability by allowing all components to interact with the Middleware using a common interface. Models- Representations of information, activities, relationships and constraints. Monthly Summary of Operations(MSO)-The MSO Report is a culmination of monthly summaries of projects, plant performance, and activities of each Division within the Operations and Maintenance Department.The Chief Operator reports on each plant's unit process status, monthly average of key parameters, chemical usage and personnel status. The daily data captured in the MSO includes the data items from both Plant 1 & Plant 2. 38 Network-Hardware and software components that support the exchange of information between systems. Network Architecture- Defines the communications infrastructure. Defines the various topologies, carrier services and protocols necessary to facilitate the interconnection Nevada institutions of government and education. Included in this architecture is the definition of both internal networks and connections to external networks. Open Source- refers to any program whose source code is made available for use or modification as users or other developers see fit. Operating System-(sometimes abbreviated as "OS') is the program that, after being initially loaded into the computer by a boot program, manages all the other programs in a computer. Operational Data Stores-The data warehouse is structured to support a variety of analyses, including elaborate queries on large amounts of data that can require extensive searching. When databases are set up for queries on daily transactions, they are often called "operational data stores" rather than data warehouses. Operations Manuals and Procedures(OMAP)-A searchable library of documents on SharePoint providing online access to Standard Operating Procedures(SOP), Design Criteria, Theory of Design and Operating and Maintenance manuals. Platforms- Hardware and software systems that can be used for information processing. Policies(and Policy)—Policies are long-term, high-level management instructions on how the organization is to be run and generally are driven by legal concerns (due diligence). Policies reflect an organization's goals, objectives, culture and are intended for broad audiences. They also are mandatory and are application to anyone—employee, contractor, temporary, etc. Special approval if the policy is not be followed (an exception) should be documented. (Yes, a policy for exceptions is necessary!). Policies drive standards, procedures and technical controls. Example: Passwords will be used. Practices- Established or customary methods or procedures. Pretreatment Software -A comprehensive wastewater pretreatment information solution that ensures compliance with increasing regulatory complexities and data requirements. Procedures-A set of administrative instructions for implementation of a policy or standard. Procedures are specific instructions(ordered tasks) for performing some function or action. Procedures are of a somewhat short duration, are mandatory and they reflect organizational change or environmental changes. Example:To change your password,type your old password,then a front slash and then your new password. Process-A series of actions performed repeatedly in sequence to achieve a desired outcome. See business process. 39 Return to Mende Report Programmable Logic Controller-The PLC is a small industrial computer originally designed to perform the logic functions executed by electrical hardware such as relays,switches, and mechanical timer/counters. Project-A discrete set of actions performed over a given period of time to achieve a given objective. Project Management-A methodical approach to planning and guiding project processes from start to finish.The processes are guided through five stages: initiation, planning, executing, controlling, and closing. Project management can be applied to almost any type of project and is widely used to control the complex processes of software development projects. Proprietary- Legally made or distributed only by those holding patents or rights. Most standard operating systems and software are proprietary; owned by a private individual or corporation. Protocol- Rules governing transmitting and receiving of data. Reference Data-A composition of snapshot data used by clients of a service. Remote Terminal Unit-The RTU is a special purpose data acquisition and control unit designed to support SCADA remote stations. RTUs are field devices often equipped with wireless radio interfaces to support remote situations where wire-based communications are unavailable. Repository-An information system used to store and access architectural information, relationships among the information elements, and work products. Scalability-The ability to use the same applications and systems on all classes of computers from personal computers to supercomputers. Security-Safeguards against unauthorized access to or modification of data in systems. Must be balanced against the need for access and the rights of citizens to privacy. Security Architecture- Defines the security standards and policies necessary to both protect the information assets of Nevada and to make the information available to the citizens and workforce. Service-A software component whose behaviors with respect to its clients are message driven. Service Level Agreement(SLA)-is a contract between a service provider and a customer that specifies, usually in measurable terms,what services the service provider will furnish. Service-Oriented Architecture(SOA)-The underlying structure supporting communications between services. SOA defines how two computing entities, such as programs, interact in such a way as to enable one entity to perform a unit of work on behalf of another entity. 40 Service interactions are defined using a description language. Each interaction is self- contained and loosely coupled, so that each interaction is independent of any other interaction. Standard -A prescribed or proscribed specific technical approach, solution, methodology, product or protocol, which must be adhered to in the design, development, implementation or upgrade of systems architecture(e.g., hardware/software/services). Standards shall be designated as either"preferred" or "mandatory'. Standardization -The methods used to reduce or eliminate custom, one-time and seldom- used components and processes that introduce variability and potential added costs and quality problems. Standard Operating Procedure (SOP)-Approved task specific procedures to address operating or business needs of the district. Supervisory Control and Data Acquisition(SCADA)-A human—machine interface or HMI is the apparatus or device which presents process data to a human operator,and through this,the human operator monitors and controls the wastewater treatment process. Sunset Technologies-Technologies that have been phased out and cannot be used within the organization past a specified date. System - 1. A collection of components organized to accomplish a specific function or set of functions. 2. set of different elements so connected or related as to perform a unique function not performable by the elements alone (Rechtin 1991). Systems Development Life Cycle-Guidance, policies, and procedures for developing systems throughout their life cycle, including requirements, design, implementation, testing,deployment, operations, and maintenance. Systems Management-The process of controlling, monitoring and reporting the status and performance of the hardware and software components. Supervisory Control And Data Acquisition(SCADA)—is a computer controlled system that monitor and provides controls of plant/process equipment. SCADA systems allow operators to change the set points, acknowledge alarming conditions, and record real-time plant/process readings. Target Architecture- Representation of a desired future state or"to be built'for the enterprise within the context of the strategic direction. Technology Baseline-An inventory of the "as is" state of technology. Identifies existing technology to determine what can be leveraged for the future and what changes must be made to achieve the desired state. Technology Drivers-Internal business processes or needs and external innovation that influence technology.These are captured in three stages: 1.Technology Trends—Emerging 41 Return to Mende Report trends within the technology world that are impacting how services and the IT portfolio will be provided. 2. IT Best Practices—Trends and approaches that are most successful at providing services and IT portfolio. 3. IT Principles—Those practices and approaches that the organization chooses to institutionalize to better all provided services and IT portfolio pieces. Technology-Tools or tool systems by which we transform parts of our environment and extend our human capabilities. Technology Trends- Existing patterns of change that can be used to infer or predict the future of technology. Template-A form used as a guide, such as a document in which the standard parts are already included and the variable parts are completed as appropriate. Transaction -A single unit of work in which all parties must agree that the work should and can be done. Trust-The confidence a service has in the reliability of other services and the information that they provide. Trust Model -ATrust Model is a framework utilized to establish secure access to multiple systems in an enterprise using one credential (typically a user-id and password) per user. In order for information owners to trust credentials that have been issued to users, the credentials must have been issued, protected and managed according to documented and agreed rules.The Trust Model establishes a standard set of processes,which include registering or identifying users, issuing credentials, using the credentials and recordkeeping and auditing. Web Application-Software based on the Web.This can refer to almost anything Web related, including a Web browser or other client software that can access the Web. It can refer to software that runs on Web sites or software that is stored on Web sites and downloaded to the user. Web Hosting-Placing a customer's Web page or Web site on a commercial Web server. Many ISPs host a personal Web page at no additional cost above the monthly service fee, while multi-page, commercial Web sites are hosted at a very wide range of prices.The customer's registered domain name is typically used. A single computer can hold hundreds or even thousands of small Web sites,while larger Web sites use a dedicated computer or multiple computers. Web Server-A computer that provides World Wide Web services on the Internet or Intranet Web Site-Web pages and other files that are "served"to the requestor. Web-based Application -An application that is downloaded from the Web each time it is run.The advantage is that the application can be run from any computer,and the software 42 is routinely upgraded and maintained by the hosting organization rather than each individual user. World Wide Web-An Internet facility that links documents locally and remotely.The Web document, or Web page, contains text,graphics, animations and videos as well as hypertext links. XML(Extensible Markup Language)-A flexible way to create common information formats and share both the format and the data on the World Wide Web, intranets, and elsewhere. 43 Return to Mende Report ORANGE COUNTY SANITATION DISTRICT INFORMATION TECHNOLOGY DIVISION 10844 Ellis Avenue Fountain Valley, California 92708-7018 714.962.2411 www.ocsewers.com 07/01/13 ORANGE COUNTY SANITATION DISTRICT Agenda Terminology Glossary AQMD Air Quality Management District ASCE American Society of Civil Engineers BOO Biochemical Oxygen Demand CARB California Air Resources Board CASA California Association of Sanitation Agencies CCTV Closed Circuit Television CEQA California Environmental Quality Act CRWQCB California Regional Water Quality Control Board CWA Clean Water Act CWEA California Water Environment Association EIR Environmental Impact Report EMT Executive Management Team EPA U.S. Environmental Protection Agency FOG Fats, Oils, and Grease FSSD Facilities Support Services Department gpd Gallons per day GWR System Groundwater Replenishment System (also called GWRS) LOS Level of Service MGD Million gallons per day NACWA National Association of Clean Water Agencies NPDES National Pollutant Discharge Elimination System NWRI National Water Research Institute O&M Operations and Maintenance OCCOG Orange County Council of Governments OCHCA Orange County Health Care Agency OCSD Orange County Sanitation District OCWD Orange County Water District OOBS Ocean Outfall Booster Station OSHA Occupational Safety and Health Administration POTW Publicly Owned Treatment Works ppm Parts per million RFP Request For Proposal RWQCB Regional Water Quality Control Board SARFPA Santa Ana River Flood Protection Agency SARI Santa Ana River Inceptor SARWQCB Santa Ana Regional Water Quality Control Board SAWPA Santa Ana Watershed Project Authority SCADA Supervisory Control and Data Acquisition system SCAP Southern California Alliance of Publicly Owned Treatment Works SCAQMD South Coast Air Quality Management District SOCWA South Orange County Wastewater Authority SSMP Sanitary Sewer Management Plan SSO Sanitary Sewer Overflow SWRCB State Water Resources Control Board TDS Total Dissolved Solids TMDL Total Maximum Daily Load TSS Total Suspended Solids WDR Waste Discharge Requirements WEF Water Environment Federation WERF Water Environment Research Foundation Activated-sludge process — A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen, and consume dissolved nutrients in the wastewater. Biochemical Oxygen Demand (BOD)—The amount of oxygen used when organic matter undergoes decomposition by microorganisms. Testing for BOD is done to assess the amount of organic matter in water. Biosolids — Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farm land or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. Capital Improvement Program (CIP) — Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. Coliform bacteria—A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. Collections system — In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. Certificate of Participation (COP) — A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. Contaminants of Potential Concern (CPC) — Pharmaceuticals, hormones, and other organic wastewater contaminants. Dilution to Threshold (DR) — the dilution at which the majority of the people detect the odor becomes the D(f for that air sample. Greenhouse gases — In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming ("greenhouse effect'). Groundwater Replenishment (GWR) System — A joint water reclamation project that proactively responds to Southern California's current and future water needs. This joint project between the Orange County Water District and the Orange County Sanitation District provides 70 million gallons a day of drinking quality water to replenish the local groundwater supply. Levels of Service (LOS)—Goals to support environmental and public expectations for performance. NOMA— N-Nitrosodimethylamine is an N-nitrosoamine suspected cancer-causing agent. It has been found in the Groundwater Replenishment System process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. National Biosolids Partnership (NBP) — An alliance of the National Association of Clean Water Agencies (NACWA) and Water Environment Federation (WEF), with advisory support from the U.S. Environmental Protection Agency (EPA). NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation in order to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. Plume—A visible or measurable concentration of discharge from a stationary source or fixed facility. Publicly-owned Treatment Works (POTW)— Municipal wastewater treatment plant. Santa Ana River Interceptor (SARI) Line — A regional brine line designed to convey 30 million gallons per day (MGD) of non-reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal, after treatment. Sanitary sewer — Separate sewer systems specifically for the carrying of domestic and industrial wastewater. Combined sewers carry both wastewater and urban run-off. South Coast Air Quality Management District (SCAQMD) — Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. Secondary treatment — Biological wastewater treatment, particularly the activated-sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. Sludge—Untreated solid material created by the treatment of wastewater. Total suspended solids (TSS)—The amount of solids floating and in suspension in wastewater. Trickling filter — A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. Urban runoff — Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. Wastewater—Any water that enters the sanitary sewer. Watershed —A land area from which water drains to a particular water body. OCSD's service area is in the Santa Ana River Watershed.