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
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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
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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
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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
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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
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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
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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
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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
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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.
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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.
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(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.
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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
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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.
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(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
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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.
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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.
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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Orange County Sanitation District
Information Technology
Three-Year Strategic Plan
JULY 2013
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Orange County Sanitation District
Information Technology
Three -Year Strategic Plan
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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
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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.
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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.
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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.
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• 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.
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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
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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
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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
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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
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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
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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.
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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
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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
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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
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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
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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.
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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.
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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
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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
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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
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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
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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
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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.
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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.
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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
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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.
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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
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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.
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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.
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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.
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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.
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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
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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
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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.
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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.