Agenda packet — Lake Forest City Council, March 15, 2022 (part 2 of 2)

Initiator:
 Authorize consultant/contractor/vendor to commence work  Monitor scope of work, schedule of services, and compensation Contract Administrator:
 Monitor contract/agreement expirations and follow up with Initiator as appropriate City Clerk:
 Monitor certificates of insurance and follow up on expirations of coverage Informal Purchasing/Contracting Process for Small Dollar Contracts/Agreements/Pur- chases (open market)
Phase III - Contract/Agreement Operation
Step 1. Authorize consultant/contractor/vendor to commence work Step 2. Monitor contract/agreement operation
Informal Purchasing/Contracting Process for Small Dollar Contracts/Agreements/ Purchases (Open Market)
Phase IV - Contract/Agreement Completion
Once a contract/agreement is completed the Project
Manager should notify the Contract Administrator
via email so the associated records can be updated
accordingly
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2 E. Informal Purchasing/Contracting Process for Small Dollar Contracts Agreements/Purchases (Subject to Department Director/City Manager Approval)

Non-Professional Services/Equipment/Supplies
and Professional Services
Purchases from $10,000.01 to $30,000

Public Projects
Purchases from $60,000.01 to $200,000
The responsibilities for the Informal Purchasing/Contracting process are shared by the Initiator, the Contract Administrator, and the City Clerk.

Informal Purchasing/Contracting Process for Small Dollar Contracts/ Agreements/Purchases (Subject to Department Director/City Manager approval)

Phase I – Development
Step 1. Develop a scope of work (if applicable), confirm sufficient funds exist for the proposed purchase/contract/agreement, and receive Department Director approval for purchase/contract/agreement  The scope of work documents the tasks and duties to be performed by the consultant/contractor/vendor and is one of the key performance measures for the consultant/contractor/vendor

Step 2. Solicit and receive a minumum of (3) written proposals from prospective con- sultants/contractors/vendors
 For public projects, notify all qualified contractors on the list as well as all construction trade journals as required through the online bids/proposals portal, unless the product or service is proprietary
 The notices shall be posted not less than ten (10) calendar days before the opening date of the bids
Step 3. Review proposals and identify best qualified consultant/contractor/ vendor and complete a Quote Documentation Form (QDF)

Step 4. Prepare a memo to the City Manager documenting the background of the project along with proposals from prospective consultants/contractors/ vendors and staff recommendation. Memo must include a fiscal impact section approved by the Director of Finance prior to submittal to the City Manager

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2 (CONTINUED)
Informal Purchasing/Contracting Process for Small Dollar Contracts Agreements/Purchases (Subject to Department Director/City Manager approval) Step 5. Compile a packet that includes the following documents for Department Di- rector/City Manager review and approval: QDF, quotes, and memo Step 6. Submit request for contract/agreement to best qualified consultant/contrac- tor/vendor to Contract Administrator
 Include consultant/contractor/vendor name, address, point of contact, term of contract/agreement, compensation amount, scope of work/ schedule of services (if applicable), hourly rates (if applicable), insurance certificates, approved QDF and memo to City Manager

Phase I Responsibilities
Initiator:
 Confirm sufficient funds exist for purchase/contract/agreement  Receive Department Director approval for purchase/contract/agreement  Solicit and receive a minimum of three (3) written proposals/bids.  Review proposals and identify best qualified consultant/contractor/vendor and complete a QDF signed by the Department Director and Project Manager. If pro- curement is more complex Initiator may use the evaluation criteria for formal RFP to evaluate informal proposals. If formal evaluation criteria are used the results would replace the QDF.
 Prepare memo to the City Manager which should include:
• Project description
• Fiscal impact
• Term of contract/agreement
• Compensation amount
• Request for approval
 Obtain Finance Director’s initials approving fiscal impact section of memo  Submit request for contract/agreement to Contract Administrator • Consultant/contractor/vendor name
• Consultant/contractor/vendor address
• Consultant/contractor/vendor point of contact
• Term of contract/agreement
• Compensation amount
• Scope of work/schedule of services (if applicable)
• Hourly rates (if applicable)
• Current insurance certificates
• Approved Quote Documentation Form
• Memo to City Manager
Contract Administrator:
 Upon receipt of request from Initiator, verify consultant/contractor/vendor busi- ness registration
 Prepare contract/agreement for review by City Attorney Item: 9
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2 • Signature Requirements
Corporation:

Two signatures required, one from each category as follows:
(1) Chairman of the Board, President or Vice President; and (2) Secretary, Assistant Secretary, Chief Financial Officer or Assistant Treasurer.

Limited Liability Company:

Partnership: One signature from any partner of the Partnership.

Limited Partnership: One signature from one of the General Partners of the Limited Partnership.

Sole Proprietorship: From the individual doing business under a fictitious name.
 Upon receipt of City Attorney approval as to form, send contract/agreement and sign- ing instructions to Initiator

Informal Purchasing/Contracting Process for Small Dollar Contracts/ Agreements/Purchases (Subject to Department Director/City Manager approval) Phase II – Selection of Consultant/Contractor/Vendor, Approval, and Execution of Contract/Agreement

Step 1. Upon receipt of approved contract/agreement, send to proposed consultant/ contractor/vendor and obtain three (3) original contracts/agreements signed by the consultant/contractor/vendor

Step 2. Submit consultant/contractor/vendor-signed contract/agreement to Contract Administrator, Quote Documentation Form, and the Department Director and Director of Finance-initialed memo to City Manager

Step 3. Obtain authorization to execute contract/agreement from the City Manager

Phase II Responsibilities
Initiator:
 Send approved contract/agreement to consultant/contractor/vendor for signature three (3) original signed contracts/agreements
 Submit three (3) original consultant/contractor/vendor-signed contracts/agreements, and insurance certificate if applicable, to Contract Administrator along with memo ini- tialed by the Department Director
Contract Administrator:
 Initial three (3) consultant/contractor/vendor signed contracts/agreements indicating City Attorney’s approval as to form
 Route to Director of Finance for approval of fiscal impact in memo to City Manager  Submit signed agreement to City Clerk for routing of signatures

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2 City Clerk:
 Route three (3) consultant/contractor/vendor-signed contracts/agreements for signature (City Attorney, City Manager, and City Clerk) One fully executed original contract/agreement is sent to the consultant/contractor/vendor, one to the City Attorney, and one is filed. The QDF for Professional and Non-Professional Services is filed with the respective contract. The QDF for procurement of equipment and supplies is returned to the Project Manager to attach to the invoice for payment.  Send a copy of the fully executed contract/agreement and certificate of insurance to the Initiator
 Enter consultant/contractor/vendor data, contract/agreement data, insurance data into Contracts Assistant

Phase III Responsibilities

Informal Purchasing/Contracting Process for Small Dollar Contracts/ Agreements/Purchases (Subject to Department Director/City Manager approval)
Phase III - Contract/Agreement Operation
Step 1. Authorize consultant/contractor/vendor to commence work Step 2. Monitor contract/agreement operation
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2 Phase IV Contract Completion Responsibilities

Initiator:
 Consult with Finance Director
 Prepare Notice of Completion
 Prepare memo to City Manager which should include:
• Background of project
• Request for sign-off of Notice of Completion
City Clerk:
 After receiving signed Notice of Completion, send to County Clerk Recorder for recordation
 Receive executed copy from County Clerk Recorder, record copy of Notice of Completion, and send copy to Initiator
Once a contract/agreement is completed, the Project Manager should notify the Contract Administrator via email so the associated re- cords can be updated accordingly.

Informal Purchasing/Contracting Process for Small Dollar Contracts/Agreements/ Purchases (Department Director/City Manager approval)
Phase IV - Contract/Agreement Completion

Phase IV – Contract/Agreement Completion

Step 1. Prepare Notice of Completion (Consult with Finance Director)

Step 2. Prepare a memo to the City Manager documenting the background of the project and requesting sign-off of the Notice of Completion

Step 3. City Manager signs Notice of Completion
Step 4. City Clerk sends Notice of Completion to the County Clerk Recorder for recordation
Step 5. City Clerk sends Initiator executed and recorded copy of Notice of Com- pletion
Step 6. Allow 30 days to pass as required
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2 F. Recreation Vendor Contract Instructors
At the beginning of each calendar year, contract instructors (vendors) who wish to offer a class to the community through the Community Services programs will complete a Recreation Class Instruction Contract Agreement. This agreement doesn’t guarantee the vendor will be scheduled for a class but it ensures the City has sufficient insurance coverage and that the vendor is aware of their responsibilities when teaching a class if they are placed on the schedule.

Choosing instructors is exempt from the competitive RFP or quote process. Selection of instructors is at the discretion of the Community Services Department based on several factors including popularity and type of class and availability and popularity of instructor. Vendors wishing to offer classes will contact Community Services with a proposed class. Class schedules are driven by the needs and desires of the community. Class schedules are created for each quarter and are considered separate purchases for purposes of approval authority.  Recreation Manager Responsibilities
• Receive signed Recreation Class Instruction Contract Agreement from prospective vendors at the beginning of each calendar year or when a new vendor is added
• Receive and monitor insurance certificates for all contract recreation instructors
• Request new insurance certificate when current insurance expires • Schedule vendor classes each quarter based on the communities’ needs G. Federal Funded Projects and Purchases
Procurements that are federally funded must adhere to the following:

No employee, appointed or elected official, volunteer, or agent of the City shall participate in the selection, award, or administration of contracts supported by a federal award if a conflict of interest is real or apparent to a reasonable person.

Time and material type contracts may be use only after a determination that no other contract is suitable. Time and material type contract means a contract where the cost to the City is the sum of the actual cost of materials and direct labor hours charged at fixed hourly rates that reflect wages, general and administrative expenses, and profit. Each time and material contract will set a ceiling price that the contractor exceeds at its own risk. A higher degree of oversight is required in order to obtain reasonable assurances that the contractor is using efficient methods and effective cost controls.

All procurement transactions must be conducted in a manner providing full and open competition. In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, and invitations for bids or requests for proposals will be excluded from competition for such procurements.

All solicitations will incorporate a clear and accurate description of the technical requirements for the material, product, or service to be provided. Such descriptions must not, in competitive procurements, contain features which unduly restricts competition. Procurements shall be conducted in a manner that prohibits the use of statutorily or administratively imposed state or Item: 9
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2 local geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statues expressly mandate or encourage geographic preference.

In addition to the City’s purchasing policy approval limits, one of the following methods shoudl be used:
• Micro-purchase: Purchases where the aggregate dollar amount does not exceed $3,500 or the current limitations set by the Federal Acquisition Regulation at 48 CFR Subpart 2.1, where this threshold is periodically adjusted for inflation.
• Small Purchase: Purchases up to the Simplified Acquisition threshold which is currently $150,000. Informal purchasing procedures are acceptable, but price or rate quotes must be obtained from an adequate number of sources. • Sealed Bid: Purchases over the Simplified Acquisition threshold, which is currently $150,000. Under this purchase method, formal solicitation is required, and the fixed price is awarded to the responsible bidder who conformed to all material terms and is the lowest price. • Competitive proposals: Purchases over the Simplified Acquisition threshold, which is currently $150,000. This procurement method required formal solicitation, fixed-price or cost-reimbursement contracts, and is used when sealed bids are not appropriate. The contract should be awarded to the responsible firm whose proposal is most advantageous to the program, with price being one of the various factors.

Completed and Acceptable Deliveries
The initiating department is responsible for providing point of contact information (i.e., first name, last name, department, phone number) for deliveries. Those deliveries without point of contact information will not be accepted. The initiating department is responsible for receiving incoming goods or services, inspecting them as to quality and condition, and confirming the quantities received. Documentation confirming receipt and inspection of the merchandise should accompany the invoice when it is sent to the Finance Department for payment.

Satisfactory Services

If a purchase order has been issued for services, the Initiator will approve the invoice for payment, noting on the Purchase Order Check Request Form that the services were provided in a satisfactory manner.

Partial and Unacceptable Deliveries
Partial deliveries should be documented and attached to the invoice for payment.

If merchandise is unacceptable, the Initiator will arrange for replacement or return for credit of the defective items. Many vendors will not give credit for returned merchandise unless a return authorization is obtained prior to returning the items. The vendor should be contacted for their specific requirements to expedite the return and credit or replacement. The Finance Department should also be notified.

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3 3. FORMAL CONTRACTING/PURCHASING PROCESS FOR LARGE DOLLAR

NON-PROFESSIONAL SERVICES/EQUIPMENT/SUPPLIES (PURCHASES OVER $30,000) AND VEHICLE MAINTENANCE/REPLACEMENT/PURCHASE

Chapter Highlights:
 Overview p. 30
 Exceptions p. 31
 Formal Purchasing/Contracting Process (Purchases over $30,000) p. 32  Phase I - Development and Approval p. 32
 Phase II - Publication, Review, and Selection (Proposals/ Bids) p. 34
 Phase III - Contract/Agreement Operation p. 36
 Phase IV - Contract/Agreement Completion p. 36
 Vehicle Maintenance/Replacement/Purchase p. 38

Agreements you can use
• Letter of Agreement
• Maintenance Services Agreement

A. Overview
The responsibilities for the formal purchasing/contracting process are shared by the Initiator, the Con- tract Administrator, and the City Clerk and are subject to City Council approval. If executing a contract, all consultants/contractors/vendors must execute the City’s standardized contract/agreement/amend- ment/change order unless approved otherwise by the City Attorney. Any changes to the standard form contract/agreement/amendment/change order must be submitted in red-line form to the City Attorney for review and approval prior to scheduling the item for City Council consideration. Any contract/agree- ment/amendment/change order submitted to the City Council for approval must provide sufficient back- ground analysis to support the recommendation. If federal funding will be used, it is the Project Manager’s responsibility to inform the Contract Administrator so all applicable require- ments of that funding are included in any contract/agreement/amendment/change order.

Non-professional services/equipment/supplies include those activities which do not require a high degree of professional certification, specialized expertise, or unique skill, such as maintenance services.

When purchasing/contracting non-professional services/equipment/supplies, the contract/agreement is awarded to the best qualified consultant/contractor/ vendor (as outlined in Section 3.12.125 of the Lake Forest Municipal Code).

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3 Non-Professional Services/Equipment/Supplies

$30,001-$50,000 Formal purchasing/contracting process;
- Requires City Manager approval
- For multi-year contracts City Manager authority is up to $50,000 per year
Over $50,000
Formal purchasing/contracting process:
- Requires City Council approval
B. Exceptions
Proposals or bids are not required if at least one of the following conditions is met. Staff must document all exceptions when seeking City Council approval (except under emergency circumstances as outlined under Section A).
a. The City Manager detrmines emergency circumstances require the immediate pur- chase of the merchandise or contract of the service.
b. The merchandise or service is unique because of its quality, durability, proprietary nature, availability or fitness for a particular use. However, all dollar approval limits must be followed.
c. The merchandise or service is available from only one source. However, all dollar approval limits must be followed.
d. The merchandise or service is provided by an independent contractor who has a contract with the City to provide labor and materials for projects other than a public project (i.e., office supply contract which is in place for one year and purchases of supplies are made periodically based on the contract).

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3 C. Formal Purchasing/Contracting Process (Purchases over $30,000) Formal Purchasing/Contracting Process (Purchases over $30,000)

Phase I – Development, Approval, and Publication
Step 1. Develop a draft scope of work (if applicable), confirm sufficient funds exist for the proposed purchase/contract/agreement, and receive Department Director approval for purchase/contract/agreement  The scope of work documents the tasks and duties to be performed by the contractor/vendor and is one of the key performance measures for the contractor/vendor

Step 2. Prepare a notice inviting sealed proposals or bids  The form contract/agreement for the proposal or bid package is provided by the Contract Administrator
OR
Post the draft scope on the City’s website for seven (7) calendar days. Send the draft scope to at least five (5) vendors if possible

Step 3. Prepare a memo to the City Manager, which should include:
 Fiscal impact
 Project description
 Comment period information
 Proposed Request for Bid (RFB)/Request for Proposal (RFP)  Request for approval
 Request for authorization to solicit

Step 4. Upon City Manager’s approval, solicit proposal/bid on the City’s website for a minimum of three (3) weeks for proposals and ten (10) day for bids and send to vendors notified during the comment stage

Phase I Responsibilities
Initiator:
 Confirm sufficient funds exist for purchase/contract/agreement  Receive Department Director approval for purchase/contract/agreement  Prepare a notice inviting sealed proposals or bids or draft scope of work  Complete the form on the Intranet “Draft Scope Submission Form” to post the draft scope on the City’s website for seven (7) calendar days. The draft scope must contain a “draft” watermark on all pages. Construction bids are exempt from the comment period
 Posting the draft scope utilizing the online bidding/proposal portal will send notifi- cation to vendors who have registered with the City.

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3  Prepare a memo to the City Manager, (Appendix 4) which should include:
• Fiscal impact - The following language is required for memos requesting approval of RFP/RFB documents
• There is no immediate fiscal impact associated with approv- al of the RFP/RFB and authorization to solicit proposals/bids.

Funding for the [INSERT PROJECT NAME] Project, including the recommended non-professional services, has been appropriated in the City Council-approved [INSERT CURRENT YEAR] [Capi- tal Improvement Projects OR Operating] Budget. The current project schedule anticipates staff recommendation of contract award in [INSERT MONTH AND YEAR]. At that time, staff will advise the Council of the proposed not-to-exceed contract amount and confirm funding availability.
• Service description
• Scope of service
• Justification
• Key dates in the RFP/RFB
• Proposed term
• Comment period information
• Documentation of any modifications
• Proposed Request for Proposal (RFP)/Request for Qualification (RFQ) • If issuing RFP to prequalified consultants/vendors include the RFQ results and a list of prequalified consultants/vendors.
• Request for approval and request for authorization to solicit  Upon City Manager approval, solicit proposal/bid/qualifications on the City’s website at www.lakeforestca.gov/proposals for a minimum of three (3) weeks.

This time period is used as a guideline and, therefore a Project Manager may opt to post the notice beyond three (3) weeks for proposals and 10 days for bids. In addition, send the final RFP/RFB/RFQ to vendors previously notified during the comment stage.

Contract Administrator:
 Prepare form contract/agreement for proposal/bid package • Signature Requirements
Corporation:

Limited Liability Company:

Partnership: One signature from any partner of the Partnership.

Limited Partnership: One signature from one of the General Partners of the Limited Partnership.

Sole Proprietorship: From the individual doing business under a fictitious name.

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3 Formal Purchasing/Contracting Process (Purchases over $30,000)

Phase II – Review and Selection (Proposals/Bids)
Step 1. After opening of sealed proposals/bids by the City Clerk, review qualifications and references of the best qualified contractor/vendor or lowest responsive and responsible bidder(s)
 Negotiation contract/agreement with contractor/vendor if needed Step 2. Prepare agenda report to City Council, which should include:
 Fiscal impact
 Project description
 Review of bids/proposals
 Proposed contract/agreement
 Request for approval
Step 3. Submit request for contract/agreement to Contract Administrator  Include contractor/vendor name, address, point of contact, term of contract/agreement, compensation amount, scope of work/schedule of services (if applicable), hourly rates (if applicable), insurance certificates, payment/performance bonds (if applicable), contractor’s current license, and agenda report to City Council

Step 4. Upon receipt of approved contract/agreement, send to proposed contractor/ vendor and obtain three (3) original contracts/agreements signed by the contractor/vendor
Step 5. After execution of the contract/agreement, prepare and process a purchase requisition only if the contractor/vendor requires a purchase order
Phase II Responsibilities
Initiator:
 Prepare the notice for publication
• The notice for formal bids should include the following:
• General description of the item to be purchased/service to be contracted • Statement indicating where proposal or bid forms and specifications can be obtained
• Statement specifying the time and place for the opening of propoals or bids (All proposal or bid openings are to be at 4:00 p.m. at City Hall) • Statement describing the bid security required, if any (Example: A bid bond equal to 10% of the amount of the bid)
• If applicable, statement describing payment/performance bond requirements if the contractor/vendor is selected
• Fill out the publication cover sheet and attach the notice inviting sealed proposals or bids
• Obtain the City Clerk’s signature on the cover sheet
• Submit to the Orange County Register and/or Saddleback Valley News for publication
• Use the form on the Intranet “Public Works Projects Submission Forms” to Item: 9
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3 post to the City’s website no later than ten (10) calendar days before the submission date.
 The City’s policy is to obtain goods and services from the best qualified contrac- tor/vendor or lowest responsive and responsible bidder. Criteria for determining the best qualified contractor/vendor or lowest responsive and responsible bidder shall include, but not be limited to, the following:
• Cost to City.
• Ability, capacity and skill
• Ability to meet time requirements
• Character, integrity and reputation as determined through reference checks • Previous experience with the contractor/vendor
• Sufficiency of financial resources needed to perform (Note: security and bid bond requirements when formal bids are received)
• Ability to provide future maintenance and service, if necessary • Contractor/vendor compliance with applicable laws, including but not limited to, Federal and/or State statutes and regulations, and Federal executive orders  Review qualifications and references of the best qualified contractor/vendor or lowest responsive and responsible bidder(s)
 Negotiate contract/agreement with contractor/vendor (if applicable)  Prepare agenda report to City Council, which should include:
• Fiscal impact
• Project description
• Review of bids/proposals
• Proposed contract/agreement
• Request for approval
 Submit request for contract/agreement to Contract Administrator • Contractor/vendor name
• Contractor/vendor address
• Contractor/vendor point of contact
• Term of contract/agreement
• Compensation amount
• Scope of work/schedule of services (if applicable)
• Hourly rates (if applicable)
• Obtain payment/performance bonds (if applicable)
• Verify surety is admitted in California (if applicable) • Current insurance certificates
• Contractor’s current license
• Agenda report to City Council
 Send approved contract/agreement to contractor/vendor for signature three (3) original agreements
 Submit three (3) original contractor/vendor-signed contracts/ agreements to Con- tract Administrator
 Prepare and process a purchase requisition for a purchase order only if necessary

Contract Administrator:
 Upon receipt of request from Initiator, verify contractor business registration  Prepare contract/agreement for review by City Attorney  Upon receipt of City Attorney approval as to form, send contract/agreement and signing instructions to Initiator
 Initial three (3) contractor/vendor-signed contracts/agreements indicating City Attorney’s approval as to form
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3  Submit signed agreements to City Clerk for routing of signatures City Clerk:
 Sign the publication cover sheet for bids
 Post the notice on the public bulletin board at City Hall (if applicable)  Open sealed proposals/bids at the time and place stated in the public notice  Prepare a tabulation of all proposals/bids available for public inspection for at least thirty (30) days after the proposal/bid opening
 Notify contractors/vendors whose proposals or bids were not accepted and return bid bonds (if applicable)
 Maintain copies of the losing proposals or bids in accordance with the City’s document retention schedule
 Route three (3) contractor/vendor-signed contracts/agreements for signature (City Attorney, City Council, and City Clerk)
 Place contract/agreement on City Council agenda for approval. One fully executed original contract/agreement is sent to the contractor/vendor, one to the City Attorney, and one is filed
 Send a copy of the fully executed contract/agreement and certificate of insurance to the Initiator
 Enter contractor/vendor data, contract/agreement data, and insurance data into Con- tracts Assistant

Formal Purchasing/Contracting Process (Purchases over $30,000)

Phase III – Contract/Agreement Operation

Step 1. Authorize consultant/contractor/vendor to commence work Step 2. Manage vendor daily for completion of the contract/agreement and processing of payments

Phase III Responsibilities
Initiator:
 Manage contractor/vendor daily for completion of the contract/agreement and pro- cessing of payments

Contract Administrator:
 Monitor contract/agreement expirations and follow up with Initiator as appropriate City Clerk:
 Monitor certificates of insurance and follow up on expirations of coverage

Phase IV – Contract/Agreement Completion
Formal Purchasing/Contracting Process (Purchases over $30,000)

Once a contract/agreement is completed, the Project Manager should notify the Contract Administrator via email so the associated records can be updated accordingly.

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3 Complete and Acceptable Deliveries

The initiating department is responsible for providing point of contact information (i.e., first name, last name, department, phone number) for deliveries. Those deliveries without point of contact information will not be accepted. The initiating department is responsible for receiving incoming goods or services, inspecting them as to quality and condition, and confirming the quantities received. Documentation confirming receipt and inspection of the merchandise should accompany the invoice when it is sent to the Finance Department for payment.

Satisfactory Services

Partial and Unacceptable Deliveries
Partial deliveries should be documented and attached to the invoice for payment. If merchandise is unacceptable, the Initiator will arrange for replacement or return for credit of the defective items. Many vendors will not give credit for returned merchandise unless a return authorization is obtained prior to returning the items. The vendor should be contacted for their specific requirements to expe dite the return and credit or replacement. The Finance Department should also be notified.

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3 D. Vehicle Maintenance/Replacement/Purchase
Vehicle Maintenance
The Fleet Manager and Police Services shall be tasked with implementing a preventative maintenance program for their respective vehicles and coordinating vehicle repairs and maintenance with qualified vehicle repair/maintenance contractors. A vehicle repair and maintenance service contract shall be pro- cured through a competitive bid process.

Vehicle Replacement
Replacement of individual City vehicles shall occur if the vehicle has been in service for a minimum of ten years and 100,000 miles, or the annual cost for maintenance and repairs exceed 50% of the vehicle’s Kelly Blue Book trade-in value, whichever comes first. Police Vehciles (excluding motorcycles) may be considered for replacement at seven years or 100,000 miles. Police motorcycles shall remain in service for a minimum of three years and 60,000 miles or unless the annual cost for maintenance and repairs exceed 50% of the motorcycle’s Kelly Blue Book trade-in value, whichever comes first. Police motorcycles are eligible, but not required, to be replaced after three years and 60,000 miles. The Police Services Department shall evaluate the condition and maintenance history of each motorcycle reaching this milestone to determine if it can be kept in service longer prior to making a recommendation to the City Manager for surplus.

The City’s Fleet Manager shall evaluate the condition of each City vehicle and maintenance history and document the vehicle’s Blue Book trade-in value each year. This evaluation and documentation shall continue every year thereafter until such time the vehicle is eligible for replacement based on the cri- teria noted above. The City’s Fleet Manager, and Police Services for motorcycles, shall implement and maintain a preventative maintenance program to keep existing vehicles in service for as long as prac- tical. Major mechanical failures related to the vehicle’s drive train not covered under a manufacturer’s warranty, or vehicle damage as a result of a major collision, could result in a need to replace the vehicle prior to the completion of the vehicle’s life cycle. The Fleet Manager shall analyze the cost of repairs for major mechanical failures or collisions versus the wholesale value of the vehicle to determine if replacing the vehicle is cost effective and warranted. The City Manager, or his designee, will make the final deter- mination as to the disposition of vehicles in these circumstances.

Vehicle Purchase
Vehicle purchase requests, regardless of value, shall be subject to City Council approval as part of the annual budget process. The approved budget is the gross sales price of a new vehicle, regardless of any trade-in value. Therefore, a vehicle purchase, including sales tax and other applicable charges, may not exceed the budgeted amount.

During the normal course of business it may become necessary to purchase a new vehicle without replacing an existing one. These instances would occur should the City Council implement new or ex- panded programs and services which require the use of a City vehicle and the existing fleet resources is insufficient to support them. In addition, should the City Council approve the addition of a new City employee that primarily works in the field, a new City-owned vehicle may need to be purchased for the employee’s work-related duties. Vehicle purchases under these circumstances ordinarily would be con- sidered by the City Council on a case-by-case basis during the annual or mid-year budget adoption.

Council approval of a vehicle purchase through the annual budget process shall serve as authorization for staff to solicit at least three bids from vehicle dealers, and the purchase shall be made from the deal- er providing the lowest bid. Bids shall be documented on a Quote Documentation Form and submitted Item: 9
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3 to Finance. The City Manager shall be authorized to approve a purchase order for a replacement vehicle not to exceed the City Council-approved budget allocation amount. Vehicle purchases that would exceed the City Council-approved budget allocation shall require City Council approval. The vehicle(s) to be re- placed shall be traded to the dealer from which the replacement vehicle is purchased or sent to auction- consistent with the Kelly Blue Book trade-in value for used vehicles.

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4 4. FORMAL CONTRACTING PROCESS FOR LARGE DOLLAR PROFESSIONAL SERVICES: RFP/

RFQ REQUIREMENTS AND PROCEDURES

Chapter Highlights:
 Overview p. 40
 Exceptions p. 41
 Formal Contracting Process for Large Dollar Professional Services: RFP/RFQ Requirements and Procedures p. 42
 Phase I - Development and Approval p. 42
 Phase II - Selection of Consultant, Approval, and
Execution of Contract/Agreement p. 45
 Phase III - Contract/Agreement Operation p. 47
 Phase IV - Contract/Agreement Completion p. 47
 RFQ/RFP Detailed Process p. 48
 Phase I - Development and Approval p. 48
 Phase II - Selection of Consultant, Approval, and
Execution of Contract/Agreement p. 50
 Phase III - Administration of Contract/Agreement p. 54  Phase IV - Contract/Agreement Completion p. 55

Agreements you can use:
• Agreement for Design Services
• Agreement for Professional Services
• Maintenance Services Agreement

A. Overview

All consultants/contractors/vendors must execute the City’s standardized contract/ agreement/amendment/change order unless approved otherwise by the City Attorney. Any changes to the standard form contract/agreement/amendment/ change order must be submitted in red-line form to the City Attorney for review approval prior to scheduling the item for City Council consideration. Any contract/ agreement/amendment/change order submitted to the City Council for approval must provide sufficient background analysis to support the recommendation. If federal funding will be used, it is the Project Manager’s responsibility to inform the Contract Administrator so all applicable requirements of that funding are included in any contract/agreement/amendment/change order.

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4 Professional services are those activities to be performed by specially trained persons or firms who provide services in connection with financial, economic, accounting, engineering, administrative or other matters involving specialized expertise or unique skills.

There is no bidding requirement for this type of service, since the person or firm is being hired based on their qualifications, not lowest price. The price, however, should be reasonable.

Professional Services

$30,001-$50,000 Formal purchasing/contracting process;
- Required City Manager approval
- For multi-year contracts City Manager authority is
up to $50,000 per year
Over $50,000 Formal purchasing/contracting process:
- Requires City Council approval
A Request for Proposal (“RFP”) or Request for Qualifications (“RFQ”) is required if the service is greater than $30,000 (detailed in Section D). All consultants must execute the City’s applicable standardized agreement/contract unless approved otherwise by the City Attorney.

Any changes to the standard form agreement/contract must be submitted in red-line form to the City Attorney for review and approval prior to scheduling the item for City Council consideration. Any professional service agreement/contract submitted to the City Council for approval must provide sufficient background analysis to support the recommendation.

In the event of a vacant City employee position previously approved by the City Council, the City Manager shall have the authority to award any and all contracts for the same or substantially similar services to independent contractors or consultants. Such contracts shall be considered small contracts.

B. Exceptions
Proposals or bids are not required if at least one of the following conditions is met.

Staff must document all exceptions when seeking City Council approval (except under emergency circumstances as outlined under Section A). a. The City Manager determines emergency circumstances require the immediate pur- chase of the merchandise or contract of the service.
b. The merchandise or service is unique because of its quality, durability, proprietary nature, availability or fitness for a particular use. However, all dollar approval limits must be followed.
c. The merchandise or service is available from only one source. However, all dollar approval limits must be followed.
d. The merchandise or service is provided by an independent contractor who has a con- Item: 9
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4 tract with the City to provide labor and materials for projects other than a public project (i.e., office supply contract which is in place for one year and purchases of supplies are made periodically based on the contract).

C. Formal Contracting Process for Large Dollar Professional Services:

RFP/RFQ Requirements and Procedures
The responsibilities for the regular contracting process are shared by the Initiator, the Contract Administrator, the Purchasing Coordinator, and the City Clerk.

Formal Contracting Process for Large Dollar Professional Services: RFP/RFQ Requirements and Procedures
Phase I – Development, Approval, and Publication
(For more detailed information, see Section D.)
Step 1. Develop a draft scope of work and meet with the Contract Administrator and Purchasing Coordinator to determine if any customization to the standard form RFP/RFQ and/or standard agreement is necessary.
 The scope of work documents the tasks and duties to be performed by the consultant and is one of the key performance measures for the consultant  The nature of the services may necessitate additional and/or customized insurance requirements; the scope may also dictate a site visit as part of the vendor evaluation process

Step 2. Post the draft scope on the City’s website for seven (7) calendar days. Send the draft scope to at least five (5) vendors if possible

Step 3. Prepare a memo to City Manager, which should include:
 Fiscal impact
 Service description
 Scope of service (Including any changes from previous services)  Justification
 Key dates in the RFP
 Proposed term
 Comment period information
 Documentation of any modifications
 Proposed Request for Proposal (RFP)/Request for Qualification (RFQ)  If issuing RFP to prequalified consultants, include the RFQ results and a list of prequalified consultants
 Request for approval
 Request for authorization to solicit

Step 4. Upon City Manager’s approval, solicit proposal on the City’s website for a minimum of three (3) weeks and send to vendors notified during the comment stage

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4 Phase I Responsibilities
Initiator:
 Develop a draft scope of work and/or consult with Contract Administrator and Pur- chasing Coordinator to determine if any customization to standard form documents is needed
 Receive Department Director approval for RFP/RFQ
 Use the form on the Intranet “Draft Scope Submission Form” to post the draft scope on the City’s website for seven (7) calendar days. The draft scope must contain a “draft” watermark on all pages.
 Posting of the Draft Scope on the online bidding/proposal portal will send notification to vendors registered with the City.
 Prepare memo to the City Manager, (Appendix 5-memo to solicit) which should in- clude:
• Fiscal impact - The following language is required for memos requesting approval of RFP/RFQ documents
• There is no immediate fiscal impact associated with approval of the RFP and authorization to solicit proposals. Funding for the [INSERT PROJECT NAME] Project has been appropriated in the City Coun- cil-approved [INSERT CURRENT YEAR] [Capital Improvement Projects or Operating Budget]. The current project schedule anticipates staff recommendation of contract award in [INSERT MONTH AND YEAR]. At that time, staff will advise the Council of the proposed not-to-exceed contract amount and confirm funding availability.
• Service description
• Scope of service
• Justification
• Proposed Selection Committee
• Key dates in the RFP/RFQ
• Proposed term
• Comment period information
• Documentation of any modifications
• Proposed Request for Proposal (RFP)/Request for Qualification (RFQ) • If issuing RFP to prequalified consultants, include the RFQ results and a list of prequalified consultants
• Request for approval
• Request for authorization to solicit
 Upon City Manager approval, solicit proposals/qualifications on the City’s website at for a minimum of three (3) weeks. Use the “RFP/RFQ submission Form” located on the Intranet to post the proposal/qualification. This time period is used as a guide- line and, therefore a Project Manager may opt to post the notice beyond three (3) weeks. In addition, send the final RFP/RFQ to vendors previously notified during the comment stage.

Contract Administrator:
 Upon verifying no customization is necessary, prepare standard form Agreement/Con- tract
• Signature Requirements
Corporation:

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4 Limited Liability Company:

Partnership: One signature from any partner of the Partnership.

Limited Partnership: One signature from one of the General Partners of the Limited Partnership.

Sole Proprietorship: From the individual doing business under a fictitious name.
 Facilitate City Attorney review of RFP/RFQ (if applicable) Purchasing Coordinator
 Work with Initiator to determine if customization is needed to standard RFP/RFQ based upon scope of services.

Formal Contracting Process for Large Dollar Professional Services: RFP/RFQ Requirements and Procedures
Phase II – Selection of Consultant, Approval, and Execution of Contract/ Agreement
(For more detailed information, see Section D)
Step 1. Receive recommendation of best qualified consultant from RFP selection committee; organize and retain all documents related to the evaluation of proposals based on the City’s document retention schedule

Step 2. Review proposals/qualifications and references of the best qualified consultant
 Negotiate contract with consultant if needed
Step 3. Prepare agenda report to City Council, which should include:
 Fiscal impact
 Project description
 Review of proposals
 Proposed contract/agreement
 Request for approval
Step 4. Submit request for contract/agreement to Contract Administrator  Include consultant name, address, point of contact, term of contract/ agreement, compensation amount, scope of work/schedule of services (if applicable), hourly rates (if applicable), insurance certificates, and agenda report to City Council

Step 5. Upon receipt of approved contract/agreement, send to proposed consultant and obtain three (3) original contracts/agreements signed by the consultant

Step 6. Upon approval by City Council, complete the execution of the Contract/ Agreement

Phase II Responsibilities
Purchasing Coordinator:

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4  Monitor RFP process to ensure consistency with Municipal Code and Purchasing Guidelines and provide guidance as necessary
 Familiarize RFP selection committee with Purchasing Guidelines, including techni- cal proposal scoring criteria and interview protocol
 Advise Initiator on records retention requirements

Initiator:
 Receive recommendation of best qualified consultant from RFP selection commit- tee
 Organize and retain all documents related to the evaluation of proposals based on the City’s document retention schedule
 Review qualifications and references of the best qualified consultant  Negotiate contract/agreement with consultant if needed  Prepare agenda report to City Council, which should include:
• Fiscal impact
• Project description
• Review of proposals
• Proposed contract/agreement
• Request for approval
 Submit request for contract/agreement to Contract Administrator • Consultant name
• Consultant address
• Consultant point of contact
• Term of contract/agreement
• Compensation amount
• Scope of work/proposal
• Hourly rates (if applicable)
• Current insurance certificates
• Agenda report to City Council
 Send approved contract/agreement to consultant for signature three (3) original contracts/agreements
 Submit three (3) original consultant-signed contracts/agreements to Contract Ad- ministrator along with current insurance certificates.

Contract Administrator:
 Verify consultant’s business registration
 Upon receipt of request from Initiator, prepare contract/agreement for review by City Attorney
 Upon receipt of City Attorney approval as to form, send contract/agreement and signing instructions to Initiator
 Initial three (3) consultant-signed contracts/agreements indicating City Attorney’s approval as to form
 Submit signed agreement to City Clerk for routing of signatures City Clerk:
 Route three (3) consultant-signed contracts/agreements for signature (City Attor- ney, City Council, and City Clerk)
 Place contract/agreement on City Council agenda for approval  One fully executed original contract/agreement is sent to the consultant, one to the City Attorney, and one is filed
 Send a copy of the fully executed contract/agreement and certificate of insurance to the Initiator
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4 tracts Assistant
Formal Contracting Process for Large Dollar Professional Services: RFP/RFQ Requirements and Procedures
Phase III – Contract/Agreement Operation
(For more detailed information, see Section D.)
Step 1. Authorize consultant to commence work/issue a Notice to Proceed

Step 2. Monitor contract/agreement operation
Step 3. Conduct annual performance review

Phase III Responsibilities

Initiator:
 Monitor scope of work, schedule of services, and compensation  Conduct annual performance review
Contract Administrator:
 Monitor contract/agreement expirations and follow up with Initiator as appropriate City Clerk:
 Monitor certificates of insurance and follow up on expirations of coverage

Formal Contracting Process for Large Dollar Professional Services: RFP/ RFQ Requirements and Procedures

Phase IV – Contract/Agreement Completion

Once a contract/agreement is completed, the Project Manager should notify the Contract Administrator via email so the associated records can be updated accordingly.

Complete and Acceptable Deliveries

Satisfactory Services

Partial and Unacceptable Deliveries
Partial deliveries should be documented and attached to the invoice for payment.

The vendor should be contacted for their specific requirements to expedite the return and credit or replacement. The Finance Department should also be notified.

D. RFP/RFQ Detailed Process
Background

The purpose of this section is to detail the phases associated with the formal contracting process for large dollar professional services, including RFP/RFQ requirements and procedures.

Prequalification (Phase I)
Prior to issuing a RFP, a department may conduct a prequalification of professionals to streamline the evaluation and selection process. The prequalification process should include a review of the statement of qualifications, interviews (if necessary), and reference checks. Once a prequalification of professionals is conducted, notices for subsequent RFPs are sent only to the list of prequalified consultants. The Public Works Department uses the Design Team Consultant Selection Procedure (Appendix 8) for all professional services relating to the design and construction of capital improvement projects. The Design Team Consultant Selection Procedure is an internal guideline for the Public Works Department and is included in the Guideliines for informational purposes. A standard form RFQ has been developed (Appendix 7), which includes the City’s standard form Agreement/Contract provided by the Contract Administrator to the responsible department.

Request for Proposal (Phase I)
A standard form RFP has been developed for use in selection of a consultant, which includes the City’s standard form agreement/contract provided by the Contract Administrator to the responsible department.

The standard form RFP has been written for flexibility and fits almost all services. However, if needed, a modified RFP can be developed dependent upon approval by the Contract Administrator, City Attorney, and City Manager. Modifications may include additional requirements, such as product demonstrations or site visits, necessary for a thorough understanding of the proposal. Any changes to the standard form RFP must be submitted in red- line form to the City Attorney for review and approval prior to sending to the City Manager for approval.

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4 The RFP will require information relating to a professional service provider’s qualifications as they relate to the particular project, in addition to the prequalification information. If no prequalification has occurred, the RFP will require general and project-specific qualifications.

Prepare Memorandum to City Manager Requesting Authorization to Solicit RFP (Phase I)
The memorandum should include the following components:
− Fiscal impact - The following language is required for all memorandum requesting approval of RFP
FISCAL IMPACT: There is no immediate fiscal impact associated with approval of the RFP and authorization to solicit proposals. Funding for the [INSERT PROJECT NAME] Project has been ap- propriated in the City Council-approved [INSERT CURRENT YEAR] [Capital Improvement Projects or Operating] Budget. The current project schedule anticipates staff recommendation of contract award in [INSERT MONTH AND YEAR]. At that time, staff will advise the Council of the proposed not-to-exceed contract amount and confirm funding availability. − Service description
− Scope of service, describe any changes from prior RFPs for similar services − Justification
− Key dates in the RFP
− Proposed term
_ Proposed Selection Committee
− Documentation of any modifications, such as insurance requirements − Proposed Request for Proposal (RFP)/Request for Qualification (RFQ) − If issuing a RFP to prequalified consultants, include the RFQ results and a list of prequalified consultants. The standard form RFQ shall be used, however, should a Project Manager deem it necessary to deviate from the standard RFQ form, the Project Manager is required to specify the change(s) in the memorandum to the City Manager.
− Request for approval
− Request for authorization to solicit
Solicit Proposals From Qualified Consultants (Phase I)
In some instances, a department may decide to establish a list of prequalified consultants. In those instances, an RFP is distributed to prequalified consultants at the time the service is required.

In all other cases, notice of the RFP shall be disseminated by the broadest means possible. For example, notices should be mailed to previous consultants used by the City (provided their performance meets the requirements of the City), firms shown in listings or ads in professional journals/magazines, listings or ads in Western Cities, those who have sent a letter to the City or otherwise contacted the City, those on the City’s vendor list, posted on the City’s website at www.lakeforestca.gov/proposals. The Finance and Public Works Departments keep a consultant list as an additional resource.

A copy of the RFP is posted on the City’s website at www.lakeforestca.gov/proposals for minimum of three (3) weeks throught the online bidding/proposal platform. The system will send automatic notifications to vendors who have registered with the City for their particular service category. This period is used as a guideline and, therefore, a Project Manager may opt to change the period beyond the three (3) weeks. A list of those who were sent the RFP should be maintained as documentation and in case of clarifications and/or changes to the RFP.

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4 During the 3 week period prospective vendors may ask questions or seek clarification on the RFP. Any answers must be provided to all vendors who have an interest in the RFP as an addendum posted on the City’s website with notifications sent to all vendors who received the initial notification or subsequently contacted the City or answered through the Q & A Portal of the online bidding/proposal platform. If the scope is complex the Project Manager may require a proposer meeting to answer questions or provide additional details with all prospective vendors present.

The standard form RFP requires the responders to state any requested exceptions or changes to the RFP and the City’s standard form agreement/contract. Exceptions or changes not identified in the response to the RFP will not be considered by the City.

Review Proposals and Select Best Consultant (Phase II)
All proposals are opened promptly after the submission deadline by either the City Clerk or a designated representative. Most proposals consist of a main or technical proposal and a cost proposal. The cost proposal should be submitted in a separate envelope, this envelope remains sealed until the qualitative review is completed.

The City Clerk retains one copy of the proposal from each consultant. The department that will supervise and evaluate the service takes all other copies and begins the evaluation process.

The sealed cost proposals are given to the Purchasing Coordinator and opened with the project manager at the end of the qualtative review. All documents generated during the evaluation process (i.e., proposal scoring sheets, interview scoring sheets, etc.) must be organized and retained according to the City’s document retention schedule. a. General Review
With the assistance of the Purchasing Coordinator, the project manager, will determine if the consultant submitted all required items, completed their response in the format specified in the RFP, and noted exceptions or changes to the RFP and/or agreement. If the consultant did not submit all required items or respond in the specified format, the consultant can be eliminated from further consideration. Additionally, based on the exceptions or changes to the RFP and/or agreement taken, the consultant may also be eliminated from further consideration.
b. Qualitative Evaluation
A detailed analysis of each consultant’s qualifications and proposal is conducted by the City Manager approved multi-department Selection Committee composed of at least three (3) members. The Purchasing Coordinator does not score technical proposals, but serves as an advisor to the Selection Committee. One of the panelists must be from the department issuing the RFP. If the value of the contract exceeds $30,000, at least one Department Director must serves on the Selection Committee. If the value of the contract is less than $30,000 and there is reason to believe the results of the evaluation process will be contested or discussed at a City Council meeting, at least one Department Director must serve on the Selection Committee. Prior to evaluation by the Selection Committee, the Project Manager and Purchasing Coordinator will ensure the mandatory elements were met (licenses, absence of conflicts of interest, letter of transmittal and confirmance to the RFP instructions). Each person selected to perform the review is to thoroughly read the proposals and score each firm considered for qualitative review Item: 9
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4 pursuant to the Project Proposal Evaluation Criteria in the approved RFP, which includes:
i. Key Personnel: Quality of the firm’s professional personnel assigned to the engagement and references on similar projects;
ii. Project Management/Schedule: Allocation of resources and project management tools and resources;
iii. Scope of Services: Understanding of the work to be done and appropriateness of services;
iv. Experience: Firm’s past experience and performance on prior similar engagements; and
v. Proposal Quality: Overall quality of the proposals document Qualitative proposals will have a maximum score of 53 points. The Department Director or the Project Manager will assign the maximum point spread in each section, i through v, above, based upon the importance of each section with regard to the type of services required. The Proposal Evaluation Form (Appendix 9) may be customized by the Project Manager to fit the nature of the project or service required, within each evaluation criteria.
c. Oral Presentations/Interviews
The Selection Committee may request oral presentations from a subset of those firms with a minimum average score of 37 points (70%) points from the qualtative review.

Oral presentations will provide firms with an opportunity to answer any questions the Selection Committee may have on the firm’s project proposal.

The maximum points assigned to interviews shall be 107 points The interview process is a valuable tool to assess the communication skills and professional demeanor of proposed project personnel. The interview score is arrived at independently from the qualitative proposal score, and the two may differ significantly. The interview portion has a higher weight which allows staff greater flexibility to choose a qualified firm with strong communication skills and technical expertise.

Each member of the selection committee is to evaluate the interview based on the following criteria:
i. Vendor Communication: ability of firm’s team members to clearly and concisely communicate to the Selection Committee
ii. Project Understanding: Demonstration of firm’s understanding of the project iii. Technical Knowledge: Demonstration of firm’s technical knowledge as it applies to the project.
iv. Key Personnel: Interpersonal skills of key personnel v. Meeting Preparation: Firm’s preparedness in answering questions and demonstrating knowledge of the project.

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4 At the conclusion of each of the interviews, the Purchasing Coordinator shall offer each interviewed firm the opportunity to submit a “best and final” cost proposal. This step is not intended to require the Project Manager to enter into contract negotiations with each interviewed firm. Rather, this step is intended to provide each interviewed firm an opportunity to refine its cost proposal subsequent to oral presentations. Each firm will have at least three business days from the date of their interview to submit a “best and final” cost proposal, or indicate in writing that their original cost proposal is to be opened and reviewed depending on the complexity of the procurement. The “best and final” time frame will be determined by Project Manager and Purchasing Coordinator The Purchasing Coordinator will monitor each oral presentation to ensure internal consistency and answer questions related to the City’s Municipal Code and Purchasing Guidelines. If the Purchasing Coordinator isn’t available, the back-up purchasing coordinator shall be the Management Analyst in Management Services.

In the event that one of the Selection Committee members is unable to attend the interview unexpectidely, an employee with subject knowledge of the project may act as a substitute for all the interviews for the RFP and the original unavailable Selection Committee member will only score the technical portion. d. Review of Cost Proposal
The cost proposal (either the originally submitted proposal or the “best and final” proposal) is opened for each consultant who has received an average score of at least 37 (70%) points after the qualitative review and participation in the oral presentation.

Cost proposal may not be opened until all firms have either submitted a “best and final” proposal, indicated in writing that its original cost proposal is to be opened and reviewed or the “best and final” deadline has passed.

Cost proposals are scored at the completion of the interview portion of the RFP evaluation process. The cost proposal is weighted at 20% of total available points and the firm with the lowest cost is assigned maximum point value. The remaining firms points are calculated by dividing the lowest cost proposal by the cost proposal being evaluated. That percentage is applied to the maximum number of points available for the cost proposal. Cost proposals should remain confidential and should not be disclosed to proposers.

Prior to submitting an agenda report to City Council, the department shall also negotiate contract/agreement terms with the selected consultant and include such terms in the contract/agreement submitted to City Council.
e. Contract/Agreement Execution by Selected Consultant
The contract/agreement, which is an exhibit to the RFP, is completed by the Contract Administrator, based on the contents of the selected consultant’s proposal and it is approved by the City Attorney. The agreements (three [3] originals) are then submitted to the consultant for signature. Contracts/agreements requiring City Council approval must be executed by the consultant and accompanied by the appropriate insurance certificates prior to submission of the agenda report.

Report to the City Council (Phase II)
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4 Once the consultant has been selected, all services greater than $30,000 require City Council approval before contract/agreement execution by the City. This is accomplished by the responsible department preparing an agenda report in accordance with the Standardized Agenda Format. This agenda report should include a description of the service, the cost of the service and the City’s budget amount, a description of the process used in selecting the consultant, results of the reference checks, ranking of the consultants, a summary of the cost proposals for each qualified/interviewed consultant, the total number of vendors notified, and the total number of consultants submitting proposals.

Agenda Report Formatting

a. The individual scores from each Selection Committee member should be displayed for each vendor’s technical proposal and interview, as shown below:

b. The agenda report should provide adequate information, such as a description of experience, distinguishing features and other qualifications, to allow the City Council to determine why the recommended consultant was selected. The agenda report also needs to include a statement that the City’s standard form contract/agreement was used or, if not, a discussion of the changes to it. Any changes to the standard form contract/agreement must be submitted in red-line form to the City Attorney for review and approval prior to scheduling the item for City Council consideration.

Any significant change to the scope of work (Exhibit A) in a contract/agreement/ amendment/change order, including added or reduced scope, must be discussed in the agenda report to the City Council.
c. If the recommendation is to award a contract for a project or service, the author of the report must use the following standard text under “RECOMMENDED ACTION(S):”

1. Award a contract in the amount of <Contract Amount> to <Name of vendor/ consultant>, for <Type of Service>.

2. Authorize the Mayor to sign, and the City Clerk attest to, the agreement with <Name of vendor/consultant>, substantially in the form attached.

The City Council retains the authority (1) to approve or reject the staff recommendation, (2) to reject all proposals, (3) to instruct staff to re-negotiate all or any portion of the proposed contract/agreement, (4) to seek supplemental information from any or all participating firms, or (5) to instruct staff to reevaluate any staff determination made in the RFP process based on criteria contained in these Guidelines as articulated by the City Council.

Internal Approvals (Phase II)
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4 Prior to the consultant beginning the work, the City must verify that the required elements of the contract/agreement are in place. The elements would include insurance and any other requirements that are in the contract/agreement. Once all contract/agreement requirements are resolved, the department issues the consultant a notice to proceed.

Contract/Agreement Execution (Phase II)
After approval by City Council and receipt of the appropriate insurance certificate(s) and other applicable elements, three (3) originals of the contract/agreement are signed by either the Mayor or the City Manager. The three (3) originals are provided to the City Clerk. The City Clerk sends one original to the consultant, one to the department administering the contract/agreement, one to the City Attorney, and a copy to the Contract Administrator. a. Consultant Signature Requirements
Corporation:

Limited Liability Company:

Partnership:

One signature from any partner of the Partnership.

Limited Partnership:

One signature from one of the General Partners of the Limited Partnership.

Sole Proprietorship:

From the individual doing business under a fictitious name.

Internal Approvals (Phase III)
The department authorizes the consultant to commence work/issues the consultant a notice to proceed. If a consultant requires a purchase order, a purchase requisition is to be prepared by the department administering the contract/agreement and submitted to the Finance Department (see Chapter 8 - Miscellaneous Purchasing).

Administration of Contract/Agreement (Phase III)

Administration of the contract/agreement is vital to the City. Elements of administration include:
a. Annual Vendor Assessment (Appendix 11): Each vendor should receive an assessment during the annual budget preparation cycle, at project completion, and during a contract amendment. In those instances where the consultant is providing a service which will be completed in one year or less, a review should be performed at the completion of the project/contract/agreement. The vendor assessment is completed by the Project Manager, approved by the Department Director, and submitted to the City Clerk for file.

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4 consultant as Appendix E.

The Project Manager shall include the following standard language in an agenda report to the City Council at project completion or during a contract amendment:

The chart provides an overall summary of the <contractor/consultant/vendor’s> performance since commencement of the contract.
<Name of Vendor > Consultant Performance Review
<Review Period>
Category Unsatisfied - Very Satisfied
Performance of Scope of Services Unsatisfied Satisfied Very Satisfied N/A Timeliness Unsatisfied Satisfied Very Satisfied N/A Budget Performance Unsatisfied Satisfied Very Satisfied N/A Customer Service Unsatisfied Satisfied Very Satisfied N/A b. Insurance Requirements: The City Clerk maintains a system which verifies that the appropriate insurance coverage is secured by the consultant and maintained throughout the term of the contract/agreement. Prior to expiration of the insurance, the consultant is notified of the pending expiration.

If appropriate documentation has not been received prior to expiration, the City Clerk notifies the consultant. In the event the consultant fails to provide updated insurance policy information and the required insurance expiration has exceeded thirty (30) days, checks to the consultant may be withheld until appropriate insurance documentation is in place.

Contract/Agreement Completion/Extension (Phase IV)
The initial term for software contracts/agreements is up to five (5) years. Council approval is required for all amendments to software contracts/agreements when the aggregate cost is greater than $30,000.

Refer to Appendix 12 for review requirements, contract/agreement duration and extension options for the different types of contracts/agreements.

As noted in Phase III, a performance review is to be completed during the annual budget preparation cycle, at project completion, and during a contract amendment. The vendor assessment form in Appendix 11 may be used for the annual review and should be kept by the Project Manager or Department Director for the same duration as the project file. At project completion the vendor assessment should sent to the City Clerk and kept as part of the official record.

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5 5. FORMAL CONTRACTING PROCESS FOR PUBLIC PROJECTS

Chapter Highlights:
 Overview p. 56
 Exceptions p. 57
 Formal Contracting Process for Public Projects p. 57  Phase I - Development and Approval p. 58
 Phase II - Publication, Review, and Selection p. 60  Phase III - Contract Operation p. 62
 Phase IV - Contract Completion p. 63
 Prequalification Process for Public Projects p. 64

Agreements you can use:
• Construction Contract
A. Overview

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5 A “public project”, as defined by the California Public Contract Code, is a project for the construction, reconstruction, erection, alteration, renovation, improvement, demolition, painting, repainting, or repair of any publicly owned, leased or operated facility.

In the case of a publicly owned utility system, “public project” shall include only the construction, erection, improvement, or repair of dams, reservoirs, powerplants, and electrical transmission lines of 230,000 volts and higher. “Public project” does not include maintenance work. For purposes of this section, “maintenance work” includes all of the following: (1) Routine, recurring, and usual work for the preservation or protection of any publicly owned or publicly operated facility for its intended purposes. (2) Minor repainting. (3) Resurfacing of streets and highways at less than one inch. (4) Landscape maintenance, including mowing, watering, trimming, pruning, planting, replacement of plants, and servicing of irrigation and sprinkler systems. (5) Work performed to keep, operate, and maintain publicly owned water, power, or waste disposal systems, including, but not limited to, dams, reservoirs, powerplants, and electrical transmission lines of 230,000 volts and higher.

When contracting for public projects, the contract is awarded to the lowest responsible bidder (as outlined in Section 3.13 of the Lake Forest Municipal Code).

Public Projects
Over $200,000 Formal bid process per Section 3.13.080 of the Lake Forest Municipal Code
- Requires City Council approval
All contractors must execute the City’s standardized contract/agreement/amendment/change order unless approved otherwise by the City Attorney. Any changes to the standard form contract/agreement/amendment/change order must be submitted in red-line form to the City Attorney for review and approval prior to scheduling the item for City Council consideration. Any contract/agreement/amendment/change order submitted to the City Council for approval must provide sufficient background analysis to support the recommendation.

If federal funding will be used, it is the Project Manager’s responsibility to inform the Contract Administrator so all applicable requirements of that funding are included in any contract/agreement/amendment/change order.

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5 B. Exceptions

Bids are not required if the following condition is met:

If all the bids received under an informal bid
process are in excess of $200,001.00, the
City Council, may, by adoption of resolution by a
four-fifths (4/5) vote, award the contract, at
$212,500 or less, to the lowest responsible bidder,
if it determines the cost estimate of the City
reasonable. (Per Section 3.13.070 of the Lake Forest
Municipal Code Pub. Contract Code Section 22032(b).)

C. Formal Contracting Process for Public Projects (Subject to City Council approval) The responsibilities for the Formal Contracting process are shared by the Initiatior, the Contract Administrator, and the City Clerk.

Formal Contracting Process for Public Projects (Subject to City Council approval)
Phase I – Development and Approval
Step 1. Confirm with Director of Finance that sufficient funds exist for the proposed contract and receive Department Director approval for contract

Step 2. Prepare a notice inviting Request for Bids
The form contract for the bid package is provided by the Contract Administrator to the responsible department

Step 3. Prepare memorandum to the City Manager, which should include:
 Fiscal impact
 Project description
 Proposed Request for Bid (RFB)
 Request for approval
 Request for authorization to solicit

Step 4. Upon City Manager approval, mail the notice to all applicable contractors and trade journals
Phase I Responsibilities
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5 Initiator:
 Confirm with Director of Finance that sufficient funds exist for contract  Receive Department Director approval for contract
 Prepare a notice inviting Request for Bids
 Prepare memorandum to the City Manager, which should include:
• Fiscal impact - The following language is required for all agenda reports requesting approval of Bid Documents
Approval of Bid Documents
FISCAL IMPACT: There is no immediate fiscal impact associated with approval of the bid documents and authorization of bidding. Funding for the [INSERT PROJECT NAME] Project has been appropriated in the City Council-approved [INSERT CURRENT YEAR] Capital Improvement Projects Budget. The current project schedule anticipates staff recommendation of contract award in [INSERT MONTH AND YEAR]. At that time, staff will advise the Council of the proposed not-to-exceed contract amount and confirm funding availability.
• Project description
• Proposed Request for Bid - Only the scope of work and the bid schedule are required as an attachment to the staff report if there are no changes to the standard form RFB.
• Request for approval
• Request for authorization to solicit
 Upon City Manager approval, publish the notice as required unless the project or ser- vice is proprietary
• Post the notices on the City’s RFP/Bid portal with notifications sent to all contractors on the list as well as to all construction trade journals at least ten (10) calendar days before the date of opening the bids
• Notice shall be published at least fourteen (14) days before the opening date of the bids. The notice shall be published twice at least five (5) days apart • Distinctly describe the project and state the time and place for submission and opening of bids
Contract Administrator:
 Prepare form contract for bid package
• Signature Requirements
Corporation:

Limited Liability Company:

Partnership: One signature from any partner of the Partnership.

Limited Partnership: One signature from one of the General Partners of the Limited Partnership.

Sole Proprietorship: From the individual doing business under a fictitious name.

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5 Formal Contracting Process for Public Projects (Subject to City Council approval)
Phase II – Publication, Review and Selection
Step 1. Prepare the notice for publication in the Orange County Register, Saddleback Valley News, Southern California Builders Association, Associated General Contractors of America, and/or Bid America
Step 2. After opening of bids by the City Clerk, review qualifications and references, as well as verify registration with the Department of Industrial Relations of the lowest responsive and responsible bidder(s).

The City may not award a contract/agreement to, or accept a bid from any contractor or subcontract that is not registered

Step 3. Prepare agenda report for presentation to City Council, which should include:
 Fiscal impact
 Project description
 Review of bids
 Proposed contract
 Request for approval
Step 4. Submit request for contract to Contract Administrator  Include contractor name, address, point of contact, term of contract, compensation amount, scope of work/schedule of services (if applicable), hourly rates (if applicable), insurance certificates, payment/performance bonds (if applicable), liquidated damages, contractor’s current license, and agenda report to City Council

Step 5. Upon receipt of approved contract, send to proposed contractor and obtain three (3) original contracts signed by the contractor
Step 6. After execution of the contract, if the contractor requires a purchase order, prepare and process a purchase requisition. A PWC-100 Form is required to be filed within five (5) days of awarding a public works contract Item: 9
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5 Phase II Responsibilities
Initiator:
 Prepare the notice for publication
• The notice shall be posted to the City’s online RFP/Bid portal which sends notifications to contractors at least ten (10) calendar days before the date of opening the bids
• The notice inviting bids shall be published at least fourteen (14) days before the opening date of the bids
• The notice shall be published at least twice, not less than five (5) days apart • The notice should include the following:
 General description of the item to be purchased
 Statement indicating where bid forms and specifications can be obtained  Statement specifying the time and place for the opening of bids. All bid openings are to be at 4:00 p.m. at City Hall
 Statement describing the bid security required, if any (Example: A bid bond equal to 10% of the amount of the bid)
 Statement describing payment/performance bond requirements if the contractor is selected
• Fill out the publication cover sheet and attach the notice inviting bids • Obtain the City Clerk’s signature on the cover sheet
• The following trade journals (which have been currently identified by the California Uniform Public Construction Cost Accounting Commission and are subject to change) must be notified. The notification is facilitated through the City’s online RFP/Bid portal :
 BidAmerica
 Southern California Builders Association
 Associated General Contractors of America
• Submit to the Orange County Register, Saddleback Valley News, and trade journals for publication
• Post to the City’s website at www.lakeforestca.gov/proposals for at least fourteen (14) days. This time period is used as a guideline and, therefore, a Project Manager may opt to post the notice beyond the 14 days.
 The City’s policy is to contract with the lowest responsive and responsible bidder.

Review qualifications and references, and verify registration with the Department of Industrial Relations of the lowest responsive and responsible bidder(s). The City may not award a Contract/Agreement to, or accept a bid from any contractor or subcon- tractor that is not registered.
 Prepare agenda report for presentation to City Council, which should include:
• Fiscal impact
• Project description
• Review of bids
• Proposed contract
• Request for approval
 Submit request for contract to Contract Administrator • Contractor name
• Contractor address
• Contractor point of contact
• Term of contract or time for completion
• Compensation amount including liquidated damages (if applicable) • Scope of work/schedule of services (if applicable)
• Hourly rates (if applicable)
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5 • Obtain payment/performance bonds (if applicable)
• Verify surety is admitted in California (if applicable) • Current insurance certificates
• Contractor’s current license
• Agenda report to City Council
 Send approved contract to contractor for signature (three [3] original copies)  Submit three (3) original contractor-signed contracts to Contract Administrator along with insurance certificates
 If necessary, prepare and process a purchase requisition for a purchase order.  A PWC-100 Form is required to be filed within five (5) days of awarding a public works contract
Contract Administrator:
 Upon receipt of request from Initiator, verify contractor business registration  Prepare contract for review by City Attorney
 Upon receipt of City Attorney approval as to form, send contract and signing instruc- tions to Initiator
 Initial three (3) contractor-signed contracts indicating City Attorney’s approval as to form
 Submit signed agreements to the City Clerk for routing of signatures City Clerk:
 Sign the publication cover sheet
 Post the notice on the public bulletin board at City Hall (if applicable)  Open sealed bids at the time and place stated in the public notice  Prepare a tabulation of all bids available for public inspection for at least thirty (30) days after the bid opening
 Notify contractors whose bids were not accepted and return bid bonds following exe- cution of City Council approved contract
 Maintain copies of the losing bids in accordance with the City’s document retention schedule
 Route three (3) contractor-signed contracts for signature (City Attorney, City Council, and City Clerk)
 Place contract on City Council agenda for approval
 One fully executed original contract is sent to the contractor, one to the City Attorney, and one is filed
 Enter contractor/contract/insurance data into Contracts Assistant  Send a copy of the fully executed contract and certificate of insurance to the Initiator

Formal Contracting Process for Public Projects (Subject to City Council approval)
Phase III – Contract Operation

Step 1. Authorize contractor to commence work/issue a Notice to Proceed Step 2. Manage contractor daily for completion of the contract and processing of payments
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5 Phase III Responsibilities

Initiator:
 Issue Notice to Proceed to contractor/vendor
 Manage contractor daily for completion of the contract and processing of pay- ments.

Contract Administrator:
 Monitor contract expirations and follow up with Initiator as appropriate.

City Clerk:
 Monitor certificates of insurance and follow up on expirations of coverage.

Formal Contracting Process for Public Projects (Subject to City Council approval)
Phase IV – Contract/Agreement Completion

Phase IV – Contract/Agreement Completion

Step 1. Meet with Director of Finance to review project budget Step 2. Prepare Notice of Completion

Step 3. Prepare a agenda report to the City Council documenting the background of the project and requesting sign-off of the Notice of Completion

Step 4. Mayor signs Notice of Completion
Step 5. City Clerk sends Notice of Completion to the County Clerk Re- corder for recordation
Step 6. City Clerk sends Initiator executed and recorded copy of Notice of Completion
Step 7. Allow 30 days to pass as required
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5 Phase IV Contract Completion Responsibilities

Initiator:
 Meet with Director of Finance to review project budget  Prepare Notice of Completion. [Notice of Completion is signed at the same level (City Manager/City Council) as the signer of the contract/agreement.]  Prepare agenda report to City Council, which should include:
• Background of project
• Fiscal impact (as approved by Director of Finance)
• Request for sign-off of Notice of Completion
City Clerk:
 After receiving signed Notice of Completion, send to County Clerk Recorder for recor- dation
 Receive executed copy from County Clerk Recorder, record copy of Notice of Comple- tion, and send copy to Initiator
D. Prequalificatin Process for Public Projects
If it is determined to be in the best interest of a Public Project contractors may be required to prequalify to bid on a project. This may be preferred due to the technical nature of the work and ensure the firm selected has the requisite experience and financial viability for the project. The prequalificaiton process will establish contractors who meet the objective criteria as defined in the Prequalification of Bidders Package.

Initiator:
 Receive Department Director approval for utilizing the prequalificaiton process  Prepare Prequalification of Bidders Package for posting. Modify as necessary and determine the passing score number.
 Post the Prequalification of Bidders Package on the City’s online RFP/Bid portal and notify registered vendors.
 Review and score Prequalificaiton of Bidders Package to determine which firms re- ceive a passing score. Firms that receive a passing score are eligible to bid on the associated bid package.
 Include list of prequalified contractors in associated bid package. If bid package is released at the same time as the prequalification, list of prequalified vendors should be posted as an Addendum to the bid.

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6 6. CONTRACT AMENDMENT/CHANGE ORDERS

Chapter Highlights:
 Overview p. 66
 Contract Amendment/Change Order Process p. 69
 Examples
• Example A p. 73
• Example B p. 74
• Example C p. 75
• Example D p. 77

Agreements you can use:
• First/Second Amendment
A. Overview

An agreement/contract may be amended pursuant to the contract/agreement documents by the issuance of a change order or amendment, provided the change is reasonably related to the scope of the original contract/agreement.

If executing a contract, All consultants/contractors/vendors must execute the City’s standardized contract/agreement/amendment/change order unless approved otherwise by the City Attorney. Any changes to the standard form contract/agreement/amendment/change ordermust be submitted in red-line form to the City Attorney for review and approval prior to scheduling the item for City Council consideration. Any contract/agreement/amendment/ change order submitted to the City Council for approval must provide sufficient background analysis to support the recommendation. Any significant change to the Scope of Services (Exhibit A) in an amendment/change order, including added or reduced scope, must be discussed in the agenda report to the City Council. If federal funding will be used, it is the Project Manager’s responsibility to inform the Contract Administrator so all applicable requirements of that funding are included in any contract/agreement/ amendment/change order.

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6 Change Orders/Amendments for Non-Professional
Services and Professional Services
a. Any change order/amendment with a total contract/agreement cost in the amount of $50,000 or less, or which does not affect compensation, may be approved by the City Manager.
b. The City Manager may approve change orders/amendments to a contract/agreement greater than $50,000 as long as they do not exceed 10% of the original compensa- tion.

c. Any change orders/amendments to a large dollar (greater than $50,000) contract/ agreement, which involve amendment to the contract/agreement compensation in excess of 10% of the original compensation, shall be approved by the City Council.

d. Any change orders/amendments to a contract/agreement, which involve significant changes such as additions or reductions to scope or reductions to compensation shall be approved by the City Council if the City Council originally approved the contract/ agreement and/or change order/amendment(s). Otherwise, change orders/amend- ments shall be approved by the City Manager. The change to the scope of work (Exhibit A) and/or compensation must be discussed in the agenda report to the City Council.
e. Change orders/amendments approved by the City Manager for all large dollar (great- er than $50,000) contracts/agreements will be noticed to City Council on a monthly basis.
f. There will be instances where exceptions to the City Manager’s extra work authority are authorized (e.g., County contract with Sheriff’s Department) upon approval by the City Council. In these instances, the exceptions will be noted accordingly.

g. All requests for change orders/amendments must be reviewed by the Director of Fi- nance to ensure available budget and/or identify need for an additional appropriation.

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6 Change Orders/Amendments for Public Projects
h. Any change order/amendment with a total contract cost in the amount of $200,000 or less, or which does not affect compensation, may be approved by the City Manager. i. The City Manager may approve change orders/amendments to a contract greater than $200,000 as long as they do not exceed 10% of the original compensation.

j. Any change orders/amendments to a large dollar (greater than $200,000) contract/ agreement, which involve amendment to the contract/agreement compensation in ex- cess of 10% of the original compensation, shall be approved by the City Council. k. Any change orders/amendments to a contract, which involve significant changes such as additions or reductions to scope or reductions to compensation, shall be approved by the City Council if the City Council originally approved the contract/agreement and/or change order/amendment(s). Otherwise, change orders/amendments shall be approved by the City Manager. The change to the Scope of Services (Exhibit A) must be discussed in the agenda report to the City Council.
l. Change orders/amendments approved by the City Manager for all large dollar (greater than $200,000) contracts/agreements will be noticed to City Council on a monthly basis. m. There will be instances where exceptions to the City Manager’s extra work authority are authorized upon approval by the City Council. In these instances,the exceptions will be noted accordingly.

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6 B. Contract Amendment/Change Order Process
Contract Amendment
Step 1. Confirm with the Director of Finance that sufficient funds exist for the proposed change order/amendment. Receive Department Director approval for change order/amendment.

Step 2. Prepare a memo to the City Manager/agenda report to the City Council documenting the background of the project, the reason for the requested change order/amendment, and request for approval.

Step 3. Submit request for amendment to Contract Administrator. Include amend- ments as applicable – term of contract, compensation amount, scope of work/schedule of services, hourly rates and memo to City Manager/agenda report to City Council.

Step 4. Upon receipt of approved amendment, send to consultant/contractor/vendor and obtain three (3) original contracts signed by the
consultant/contractor/vendor.

Step 5. Submit consultant/contractor/vendor-signed contract to Contract Administrator along with memo to City Manager/agenda report to City Council.

Step 6. Obtain authorization to execute amendment.

Contract Amendment Responsibilities
Initiator:
 Confirm with the Director of Finance that sufficient funds exist for the proposed amendment.
 Receive Department Director approval for amendment.
 Prepare memo to City Manager/agenda report to City Council, which should include:
• Background of project
• History of original contract and any previous amendments • Only include original contract or previous amendments as attachments if they have never been seen by the signing authority (i.e. previously approved by a Department Director, going for City Manager approval or previously approved by City Manager going for City Council approval)
• Fiscal impact section must be approved by Director of Finance • Requested change order/amendment. Any significant change to the Scope of Services (Exhibit A) in an amendment/change order, including added or reduced scope, must be discussed in the agenda report to the City Council. • Request for approval
 Submit request for amendment to Contract Administrator. • Term of contract (if applicable)
• Compensation amount (if applicable)
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6 • Scope of Services/proposal/bid schedule (if applicable) • Hourly rates (if applicable)
• Memo to City Manager/agenda report to City Council
 Send approved amendment to consultant/contractor/vendor for signature (three [3] original copies).
 Submit three (3) original consultant/contractor/vendor-signed amendments to Con- tract Administrator along with memo to City Manager/agenda report to City Council.

Contract Administrator:
 Upon receipt of request from Initiator, prepare amendment for review by City Attor- ney.
 Upon receipt of City Attorney approval as to form, send amendment and signing instructions to Initiator.
 Initial three (3) consultant/contractor/vendor-signed amendments indicating City Attorney’s approval as to form
 Submit signed agreements to City Clerk for routing of signatures.

City Clerk:
 Route three (3) consultant/contractor/vendor-signed amendments for signature (City Attorney, City Manager/City Council, and City Clerk).
 One fully executed original amendment is sent to the consultant/contractor/vendor, one to the City Attorney, and one is filed.
 Enter amendment information into Contracts Assistant.  Send a copy of the fully executed amendment to the Initiator.

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6 Non-Professional/Professional Services
Change Orders/Amendments Total Compensation Approval
Change which does not affect com-
pensation (key personnel, minor
modifications to Scope of Services)
N/A City Manager
Change which significantly
modifies scope and/or reduces
compensation
N/A *City Manager
Discretion
 Change affects term
 Standard term is a maximum of
5 years (3 years with 2 one-year
extensions)
 Exceptions permitted. (e.g. Proj-
ect duration exceeds 5 years)
N/A City Manager
 Change affects compensation
 Total compensation does not
exceed $50,000 per year
 See Example A (p. 73)
<$50,000 City Manager

 Change affects compensation
 Total compensation exceeds
$50,000 per year
 Amendment is less than or equal
to 10% of the original compen-
sation
 See Examples B & C (p. 74, 75,
p. 76)
≤110% of original
compensation
City Manager
 Change affects compensation
 Total compensation exceeds
$50,000 per year
 Amendment is greater than 10%
of the original compensation
 See Example D (p. 77)
>110% of original
compensation
City Council
*A Department Director and/or Project Manager are required to discuss the contract with the City Manager prior to contract preparation.

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6 Change Orders/Amendments for Public Projects
Change Orders/Amendments Total Compensation Approval
Change which does not affect com-
pensation (key personnel, minor
modifications to Scope of Services)
N/A City Manager
Change which significantly
modifies scope and/or reduces
compensation
N/A *City Manager
Discretion
 Change affects term
 Standard term is a maximum of
5 years (3 years with 2 one-year
extensions)
 Exceptions permitted (e.g. Proj-
ect duration exceeds 5 years)
N/A City Manager
 Change affects compensation
 Total compensation does not
exceed $200,000
 See Example A (p. 73)
<$200,000 City Manager

 Change affects compensation
 Total compensation exceeds
$200,000
 Amendment is less than or equal
to 10% of the original compen-
sation
 See Examples B & C (p.74, p.75,
p. 76)
≤110% of original
compensation
City Manager
 Change affects compensation
 Total compensation exceeds
$200,000
 Amendment is greater than 10%
of the original compensation
 See Example D (p. 77)
>110% of original
compensation
City Council
*A Department Director and/or Project Manager are required to discuss the contract with the City Manager prior to contract preparation.

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6 Non-Professional/Professional Services
Example A:

Initial Agreement Compensation $30,000
City Manager’s Extra Work Authority $20,000
Since the compensation for this agreement is less than
$30,000, the City Manager’s extra work authority is the difference between the compensation amount and $30,000
($50,000 – $30,000 = $20,000)

First Amendment
Compensation Increase of $6,000
Total Contract Compensation $26,000 ($20,000 + $6,000)
City Manager may approve because total compensation is less than $50,000
Public Projects
Example A:

Initial Agreement Compensation $100,000
City Manager’s Extra Work Authority $100,000
Since the compensation for this agreement is less than
$200,000, the City Manager’s extra work authority is the difference between the compensation amount and $200,000. ($200,000 – $100,000 = $100,000)

First Amendment
Compensation Increase of $15,000
Total Contract Compensation $115,000 ($100,000 + $15,000) City Manager may approve because total compensation is less than $200,000

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6 Non-Professional/Professional Services
Example B:

Initial Agreement Compensation $60,000
City Manager’s Extra Work Authority $6,000
Since the compensation for this agreement is > $30,000, the City Manager’s extra work authority is 10% of the original compensation amount.
($60,000 x 10% = $6,000)

First Amendment
Compensation Increase of $5,000
Total Contract Compensation $55,000 ($50,000 + $5,000)
City Manager may approve because total compensation is less than or equal to original compensation + City Manager’s extra work authority

Public Projects
Example B:

Initial Agreement Compensation $25200,000
City Manager’s Extra Work Authority $2025,000
Since the compensation for this agreement is > $200,000, the City Manager’s extra work authority is 10% of the
original compensation amount.
($20250,000 x 10% = $2025,000)

First Amendment
Compensation Increase of $2025,000
Total Contract Compensation $220275,000 ($200250,000 + $2025,000) City Manager may approve because total compensation is less than or equal to original compensation + City Manager’s extra work authority
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6 Non-Professional/Professional Services

Example C:

Initial Agreement Compensation $80,000
City Manager’s Extra Work Authority $8,000
Since the compensation for this agreement is > $50,000, the City Manager’s extra work authority is 10% of the original compensation amount. ($80,000 x 10% = $8,000)

First Amendment
Compensation Increase of $3,000
Total Contract Compensation $83,000 ($80,000 + $3,000 = $83,000) City Manager’s Extra Work Authority $8,000 ($5,000 remaining) ($8,000 - $3,000 = $5,000)
City Manager may approve because total compensation is less than original compensation + City Manager’s extra work authority Second Amendment
Compensation Increase of $4,000
Total Contract Compensation $87,000 ($80,000 + $3,000 (1st Amendment) + $4,000 (2nd Amendment) = $87,000)
City Manager’s Extra Work Authority $8,000 ($1,000 remaining) ($8,000 - $3,000 - $4,000 = $1,000)

City Manager may approve because total compensation is less than original compensation + City Manager’s extra work authority Third Amendment
Compensation Increase of $8,000
Total Contract Compensation $92,000 ($80,000 + $3,000 (1st Amendment) + $4,000 (2nd Amendment)+ $8,000 (3rd Amendment) = $95,000)
City Manager’s Extra Work Authority EXCEEDED
The City Manager’s extra work authority is 10% of the original compensation amount less any extra work authority amount already exercised.
($8,000 - $3,000 - $4,000 - $8,000 = -$3,000)
City Council must approve because total compensation exceeds original compensa- tion + City Manager’s extra work authority. (The compensation increase in the Third Amendment exceeds the City Manager’s remaining extra work authority.) Item: 9
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6 Public Projects

Example C:

Initial Agreement Compensation $300,000
City Manager’s Extra Work Authority $30,000
Since the compensation for this agreement is > $200,000, the City Manager’s extra work authority is 10% of the compensation amount. ($300,000 x 10% = $30,000)

First Amendment
Compensation Increase of $15,000
Total Contract Compensation $315,000 ($300,000 + $15,000 = $315,000) City Manager’s Extra Work Authority $30,000 ($15,000 remaining) ($30,000 - $15,000 = $15,000)
City Manager may approve because total compensation is less than original compensation + City Manager’s extra work authority Second Amendment
Compensation Increase of $10,000
Total Contract Compensation $325,000 ($300,000 + $15,000 (1st Amendment) + $10,000 (2nd Amendment) = $325,000)
City Manager’s Extra Work Authority $30,000 ($15,000 remaining) ($30,000 - $15,000 - $10,000 = $5,000)

City Manager may approve because total compensation is less than original com- pensation + City Manager’s extra work authority
Third Amendment
Compensation Increase of $25,000
Total Contract Compensation $350,000 ($300,000 + $15,000 (1st Amendment) + $10,000 (2nd Amendment)+ $25,000 (3rd Amendment) = $350,000) City Manager’s Extra Work Authority EXCEEDED
The City Manager’s extra work authority is 10% of the original compensation amount less any extra work authority amount already exercised. ($30,000 - $15,000 - $10,000 - $25,000 = -$5,000)
City Council must approve because total compensation exceeds original compen- sation + City Manager’s extra work authority. (The compensation increase in the Third Amendment exceeds the City Manager’s remaining extra work authority.)

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6 Non-Professional/Professional Services
Example D:

Initial Agreement Compensation $60,000
City Manager’s Extra Work Authority $6,000
Since the compensation for this agreement is > $50,000, the City Manager’s extra work authority is 10% of the
compensation amount.
($60,000 x 10% = $6,000)

First Amendment
Compensation Increase of $15,000
Total Contract Compensation $75,000
($60,000 + $15,000 = $75,000)
City Council must approve because total compensation exceeds original compensation + City Manager’s extra work authority

Public Projects
Example D:

Initial Agreement Compensation $200250,000
City Manager’s Extra Work Authority $2025,000
Since the compensation for this agreement is > $200,000, the City Manager’s extra work authority is 10% of the
compensation amount.
($200250,000 x 10% = $2025,000)

First Amendment
Compensation Increase of $50,000
Total Contract Compensation $250300,000
($200250,000 + $50,000 = $250300,000)
City Council must approve because total compensation exceeds original compensation + City Manager’s extra work authority

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7 7. CONTRACT MANAGEMENT
A. Authorization to Commence Contract Services
A Department Director and/or Project Manager may not give authorization to a contractor/consultant/ vendor to proceed until a contract has been fully executed.

A contract is required in order to authorize spending and a Department Director and/or Project Man- ager shall not process payment for a service until a contract has been fully executed. The Department Director and/or Project Manager are encouraged to confirm the status of a contract prior to processing any invoices with the Contract Administrator.

B. Key Contract Elements
A Department Director and/or the Project Manager should monitor these contract elements to ensure a contract is executed and carried out appropriately. These elements are key components of a contract and should be provided to the Contract Administrator when requesting to prepare or amend a contract.

Refer to the Model Agreement Checklist for a complete list (Appendix 2). • Contract Term – Monitor the term of the contract and track contract expiration dates.

Request a contract amendment for a term extension if needed. • Compensation – Monitor the contract budget and request a contract amendment for changes in compensation if needed.
• Scope of Work – Ensure the work performed is within the scope identified in the contract.

Request a contract amendment for changes (additions to or reductions to the scope) in the scope of work.
• Insurance – Coordinate with the consultant/contractor/vendor to ensure all insurance certificates and documents are received by the City prior to start of work. For existing vendors, updated documentation may need to be re-submitted as insurance coverage may have expired during the term of the contract/agreement.

C. Budget Tracking
A Budget Tracking form is available as a tool and template for a Department Director/Project Manager to monitor and track a contract budget (Appendix 10). The form can be modified as necessary. A Project Manager is responsible to ensure spending is within the contract compenstation amount and within the available department operating or CIP budget amount.

Chapter Highlights
Ƚ Authorization to Commence Contract Services p. 78 Ƚ Key Contract Elements p. 78 Ƚ Budget Tracking p. 78 Item: 9
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8 8. MISCELLANEOUS PURCHASING
Chapter Highlights:
 Approval Levels p. 79
 Office Supplies/Business Cards p. 79
 Petty Cash Reimbursement/Advance p. 80
 Miscellaneous Purchases p. 80
 Purchases Requiring Purchase Requisitions/Purchase Orders p. 81  IT Related Purchases p. 83
 CAL-Card Program Overview p. 84
A centralized purchasing process, coordinated through a single point of contact, is used for all Information Technology (IT) related purchases, office supply purchases, and general printing services.

A decentralized purchasing/contracting process is used for the purchasing of all other goods, capital goods, and the contracting of non-professional and professional services. The person requesting the goods or service (“Initiator”) seeks out potential vendors, obtains the proposals and interacts with the vendor.

Budget accountability: Department Directors are responsible for ensuring their budgets stay within authorized funding levels.

A. Approval Levels
Approval levels for the non-public project purchasing/contracting process are as follows:

Approval Level Invoice Amount
Department Directors $0 - $10,000
City Manager (single year or project) $10,000.01 - $50,000 City Manager (multi-year) up to $50,000 per year
City Council (single year or project) Over $50,000
City Council (multi-year) Over $150,000

Purchases/Contracts only require a purchase requisition/purchase order if required by the vendor.

B. Office Supplies/Business Cards
Office Supplies
Office supplies are ordered by submitting an order form (including the account number) to the Finance Department. All orders must be approved by the requesting Department Director. When purchasing office supplies Resolution 2003-28, Recycled Content Purchasing Policy, should be considered in product selection.

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8 Business Cards
Business cards are ordered by written request of the Department Director with a sample of how the cards are to read. Requests are given to the Finance Department. Delivery times can vary.

C. Petty Cash Reimbursement/Advance
The Petty Cash fund is used to reimburse purchases paid out-of-pocket by a City official or employee or as an advance for an expected purchase. If the amount is $50.00 or less, the reimbursement or advance will be paid in cash. Amounts larger than $50.00 will be paid by check. The petty cash fund is maintained by the Finance Department.

1. Petty Cash Procedures ($50.00 or less)
• Receipts should be initialed by the Department Director and coded with appropriate account numbers. Receipts are submitted to the Finance Department for reimbursement from the petty cash box.

2. Petty Cash Procedures ($50.01 - $100.00)
• Completion of a Check Request is required, including the account number to be charged, description, date requested and amount. Supporting documentation should be attached to the check request and Department Director approval is required. The documents are submitted to the Director of Finance or his/her designee for approval. The Check Request and supporting documentation are given to the Finance Department for processing.

D. Miscellaneous Purchases
Purchases/Contracts may or may not require a purchase requisition/purchase order de- pending on the vendor’s preference.

Purchases/Contracts only require a purchase requisition/purchase order if required by the vendor. If your vendor requires a purchase order see Section E below.

Miscellaneous purchases not requiring purchase requisitions/purchase orders require submission of the invoice along with supporting documentation.

Steps to Submitting an Invoice
Step 1. Prepare a memo to the City Manager/agenda report to City Council documenting the purchase/contract and request for approval of the invoice.

Step 2. Upon receipt of approval, prepare a Check Request form and submit to Finance.

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8 E. Purchase Requisitions/Purchase Orders
A purchase requisition is only required when the vendor requires a purchase order.

A purchase requisition is a form designed to document vendor information, order information, purchase approval, and budget compliance. A completed purchase requisition allows a purchase order to be generated.

When a purchase order is printed, funds are encumbered. An encumbrance is a commitment to spend budgeted funds on unperformed contracts/purchases for goods or services. If properly used, encumbrances can help to ensure budgetary compliance.

When an invoice associated with a purchase order is presented for payment, the encumbrance will be reduced by the invoice amount upon payment. It is important that the Initiator identify whether a payment request represents a partial payment or a final payment when submitting the Purchase Order Check Request Form.

Grant expenditures may be subject to different and stricter rules, thus grant documents must be reviewed by the Department Director prior to preparing a purchase requisition.

Open purchase orders (i.e. funds encumbered by a purchase order) may be carried forward to the next fiscal year pursuant to the carryover appropriations policy.

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8 Steps to processing a Purchase Requisition/Purchase Order Step 1. Complete a purchase requisition form and have it signed by the Department Director.

Step 2. Submit a signed purchase requisition to the Accounting Manager for review along with the following supporting information:
 Vendor name
 Documentation of the purchase price (i.e., contract, quote, proposal, order form, etc.)
 If the purchase requisition is for a first-time vendor, you must also submit a completed “Request for Taxpayer Identification Number and Certification” (IRS Form W-9). Checks will not be mailed to a new vendor until the form is completed and received by the Finance Department.

Step 3. After review by the Accounting Manager, the purchase requisition will be submitted to the Finance Director for approval. Once approved, a purchase order is prepared, causing funds to be encumbered.

Step 4. Finance sends the original purchase order to the Initiator and retains a copy.

The Initiator transmits the original to the vendor and retains a copy.

Step 5. The merchandise or service is received; the invoice is received, checked, and approved by the Initiator.

Step 6. The invoice is approved, noting the purchase order number, and is submitted along with all supporting documents, including a Purchase Order Check Re quest Form, to the Finance Department (Accounts Payable) for payment.

Step 7. A check is prepared by Finance, authorized by City Council, signed, sent to the vendor, and the encumbrance is reduced by the payment amount.

Initiator:
 Complete a purchase requisition form
 Receive Department Director approval for purchase/contract.  Submit approved purchase requisition to the Accounting Manager along with the following supporting information
• Vendor name
• Documentation of the purchase price (i.e., contract, quote, proposal, order form, etc.)
• If the purchase requisition is for a first-time vendor, also submit a completed “Request for Taxpayer Identification Number and Certification” (IRS Form W-9)
 Receive the original purchase order from the Finance Department, retain a copy, and transmit the original to the vendor/contractor  Receive merchandise/services.
 Submit Purchase Order Check Request Form along with the following supporting information:
• Invoice (noting whether an invoice represents partial payment or final payment)
• Invoice number
• Purchase order number

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8 Complete and Acceptable Deliveries

Satisfactory Services

Partial and Unacceptable Deliveries
Partial deliveries should be documented and attached to the invoice for payment.

F. IT Related Purchases
All IT related purchases are centralized through the IT Division. If equipment, hardware, software or licenses are purchased through the IT Support Services contract vendor compteitive quotes are not required even if the purchase exceed the dollar limit in the Guidelines. The approval authority and purchasing limits apply to all IT purchasing/contracting regardless of the supplier.

Recommended software contract standard terms are three (3) years but may be up to five (5) years. The contract can be renewed for an unlimited number of three (3) year terms based on performance and if the product continues to meet the needs of the City.

All IT related purchases not made through the IT Support Services contract vendor are required to follow the Purchasing and Contracting Guidelines.

G. Cooperative Purchasing, Piggybacking, and Multiple Award Schedules The City may purchase goods or services through contracts established by other public agencies utilizing either cooperative purchase contracting, piggyback contracting or multiple award schedules provided those services were competitevely procured by the other public agency.

Any contract that the City utilizes must have language that allows another public agency to participate in the contract under the terms awarded.

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8 H. Cal-Card Program Overview
The following section provides an overview of the CAL-Card purchase program. Prior to issuance of a CAL-Card, employees will be provided with training, a CAL-Card Receipt Acknowledgement form, and a Cardholder Agreement outlining the CAL-Card’s uses, procedures, rules, and forms. Employees must read all training documents carefully and thoroughly. The employee’s signature on the Cardholder Agreement indicates that he/she understands the intent of the program and agrees to follow the established guidelines. Misuse of the CAL-Card will result in disciplinary action, up to and including termination.

CAL-Card Program
The CAL-Card program, a State purchase VISA card program administered by US Bank, is offered to designated City employees as a streamlined way to procure and pay for City-related goods and services while reducing reimbursement, invoice, and check processing costs. Usage of the CAL-Card is not intended to circumvent or replace the procedures outlined in the Purchasing and Contracting Guidelines, per the City’s Municipal Code.

CAL-Card Issuance
CAL-Cards will be issued by the Finance Department upon City Manager approval and are issued under an employee’s name. Each CAL-Card has a customized dollar limit (single purchase limit and 30-day purchase limit), merchant limit, and commodity limit.

CAL-Card Usage
All purchases must follow the City’s Purchasing and Contracting Guidelines.

Employees may not use the CAL-Card for personal expenses under any circumstances, even if the intent is to reimburse the City at a later date. If a CAL-Card is used for personal expenses, it will be considered a misuse of City funds and will result in disciplinary action, up to and including termination.

For all CAL-Card purchases, employees must retain all proper documentation in the form of receipts or invoices. Receipts or invoices should reflect the following information:
 Description of goods or services purchased
 Quantity purchased
 Price per item
 Sales tax
 Total purchase amount
 Shipping and handling charges, if any
All documentation must be submitted with the monthly billing statement. Employees who fail to provide the proper documentation may be subject to a 30-day suspension of CAL-Card usage or loss of CAL- Card privileges.

It is required that a CAL-Card Transaction Summary be maintained by the Cardholder and attached to the monthly billing statement upon submission to the Finance Department.

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8 Prohibited Uses
The CAL-Card program excludes 12 merchant categories identified by the State of California Department of General Services

1. Financial institution/manual cash

2. Financial institution/auto cash

3. Financial institution/merchandise

4. Non-financial institution/Foreign Currency/Money Order/Travelers Checks

5. Security brokers and dealers

6. Timeshares

7. Fines

8. Bail and bond payments

9. Wire transfer – money order

10. Dating and escort services

11. Massage Parlors

12. Betting/Track/Casino/Lotto
CAL-Card Monthly Statement of Account
At the close of each billing cycle, the cardholder will receive a monthly Statement of Account itemizing each transaction charged to the cardholder’s CAL-Card. Upon receipt of the statement, cardholders are responsible for the following:

1. Review the statement for accuracy

2. Attach all receipts/invoices to the statement

3. Attach CAL-Card Transaction Summary

4. Sign the Transaction Summary, statement, and receipts/invoices and forward to Department Head for approval

5. Submit Transaction Summary, statement, and receipt/invoices to the Finance Department for payment
Lost or Stolen Cards
Cardholders are responsible for immediately notifying their Department Director and the Finance Department for lost or stolen cards.

Return of CAL-Card upon Request or Termination
Cardholders will surrender their card upon request or upon termination of employment with the City.

For more detailed information, refer to the CAL-Card Cardholder Guide.

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Appendix 1
APPENDIX 1

APPENDIX

CITY OF LAKE FOREST

STANDARD FORM CONTRACTS/AGREEMENTS
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Appendix 2
APPENDIX 2
City of Lake Forest

MODEL AGREEMENT CHECKLIST
u Date of Agreement Date approved by the City Council or City Manager u Complete Name of Business Include DBA, Inc., LLP , LLC, etc. u Type of Business (include state of incorporation) Sole proprietorship, Inc., LLP , LLC, etc. u Address of Principle Place of Business Not necessarily street address of local business. u Name of Project Project name and contract number, if applicable. u Term Project start date and ending date (usually end of fiscal year). May include renewal terms for multi-year agreement.
u Name of City’s Contact and Title Name of City’s representative (Department Director) u Name of Company’s Representative
and Title
Name and title of company representative responsible for project respon- sibility.
u Insurance Contract Administrator will set insurance requirements. Request Certifi- cate of Insurance, Additional Insured, Worker’s Comp, etc. from vendor and send to City Clerk. Certificates must be on file before work can begin. u Compensation Total contract amount and rate sheet.
u Notices Include company name, mailing address and contact name. Also include name of company’s contact.
u Bonds May be required by law or by City under certain circumstances. May be waived by City under certain circumstances. Bonds, when required, must be on file before work can begin.
u Signatures Obtain name/title of signer. Two signatures required unless sole propri- etorship.
u Exhibit “A” – Scope of Services Scope of work to be performed. Provide in Word Doc. u Exhibit “B” - Schedule of Services Schedule of work, if applicable. Provide in Word Doc. u Exhibit “C” – Compensation - Include hourly rates and authorized reimbursable expenses. - May include CPI increase for multi-year agreement.
- May include bond requirement (maintenance).
u Council Item/Deadline Include the Council date you will be bringing this item and the deadline you need the contract by.
u Approval Authority Indicate approval authority (e.g. City Manager, City Council, or Depart- ment Head).

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Appendix 3
APPENDIX 3

CITY MANAGER APPROVAL MEMO TEMPLATE

MEMORANDUM
DATE: <INSERT DATE>
TO: DEBRA D. ROSE

CITY MANAGER
FROM: <DEPARTMENT DIRECTOR NAME>
DIRECTOR OF <DEPARTMENT>
INITIATED BY: <EMPLOYEE NAME>
<EMPLOYEE TITLE>
REVIEWED BY: KEITH D. NEVES

ASSISTANT CITY MANAGER

SUBJECT: FIRST AMENDMENT TO AGREEMENT WITH ABC CONSULTING FOR

ENGINEERING SERVICES
RECOMMENDED ACTION:

Approve the First Amendment to Agreement with ABC Consulting for professional engineering services for the Storm Drain Improvement Project.

BACKGROUND:

On October 18, 2014, the City Manager approved a Request for Proposal (“RFP”) for profession- al engineering services for the Storm Drain Improvement Project: and authorized staff to solocit proposals utilizing the approved list of pre-qualified consultants. On December 31, 2014, the City Manaer approved a one-year contract with ABC Consulting for preliminary engineering services in a not-to-exceed contract amount of $29,770. The current contract expires on December 31, 2015 and has two remaining one-year extensions.

SAMPLE
Indicate who approved the agreement (i.e. City Council or the City Manager), the contract term, and the contract amount.

Optional: Brief background on the work the company/consultant performed <Vendor Name> - Performance Review
<beginning date of current agreement> – <date review through> Category Unsatisfied - Very Satisfied
Performance of Scope of
Services
☐Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A
Timeliness ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Budget Performance ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Customer Service ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Item: 9
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Appendix 3
First Amendment with ABC Consulting
<Date>

Page 2 ends

DISCUSSION:

The proposed First Amendment (Attachment) would exercise the first one-year extension renewal option, extending the contract through December 31, 2015. the contract renewal is within the City Manager’s authority given that the proposed amendment merly extends the term of the contract for an additional year. During the term of the Agreement, ABC Consulting has provided satisfactory customer serivce. The City’s Purchasing and Contracting Guidelines allow for an extension based on performance. The First Amendment has been reviewed and approved by the City Attorney as to form, and is attached for your signature.

FISCAL IMPACT:

Sufficient funds are allocated in the fiscal year 2015-16 Operating Budget in and there is no net cost to the City for extending the contract term.

Attachment:

First Amendment to Agreement ABC Consulting
Indicate the approved budget for the project or service, funds remaining, grant funds applied, and the proposed compensation amount for a total not-to-exceed.

Insert your proposal (1.e. new agreement, First Amendment), and the contract ap- proved by the City Attorney as to form. Also, additional information can be included under DISCUSSION to further detail the project or survice such as:
•Informal bid process
•Selection committee
•Significant changes in the scope of work
<Vendor Name> - Performance Review
<beginning date of current agreement> – <date review through> Category Unsatisfied - Very Satisfied
Performance of Scope of
Services
☐Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A
Timeliness ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Budget Performance ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Customer Service ☐ Unsatisfied ☐Satisfied ⊠Very Satisfied ☐ N/A Item: 9
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Appendix 4
APPENDIX 4

CITY MANAGER MEMO AUTHORIZATION TO SOLICIT TEMPLATE

MEMORANDUM
DATE: <INSERT DATE>
TO: DEBRA D. ROSE

CITY MANAGER
FROM: <DEPARTMENT DIRECTOR NAME>
DIRECTOR OF <DEPARTMENT>
INITIATED BY: <EMPLOYEE NAME>
<EMPLOYEE TITLE>
REVIEWED BY: KEITH D. NEVES

ASSISTANT CITY MANAGER

GLYNIS LITVAK

MANAGEMENT ANALYST
SUBJECT: AUTHORIZATION TO SOLOCIT REQUEST FOR
<PROPOSAL/BID/QUALIFICATIONS> FOR <INSTER SERVICE/PROJECT> RECOMMENDED ACTION:

Approve staff to solicit Request for <Proposal/Bid/Qualifications for <INSERT SERVICE/PROJ- ECT>.

BACKGROUND:

The Coupon Booklet is a crucial component of the Shop and Dine Lake Forest Week helping pro- mote businesses by showcasing their coupons and special offers for residents. The purpose of the Coupon Booklet is to incentivize Lake Forest residents to patronize local businesses the sixth annual Shop an dine Lake Forest Week is planned for November 1, 2016 through November 8, 2016.

DISCUSSION:

In planning this year’s Shop and Dine Lake Forest Week, staff estimates 10% increase in business participation which will require additional pages to accommodate the extra coupons in the Coupon Booklet. Based on that estimate, staff anticipates the total cost of this year’s Booklet to be over $35,000.

On March 27, 2016, staff posted a draft scope of work on the City’s website for seven calendar days to allow prospective vendors to provide initial comments, as well as emailed five Lake Forest print companies. The comment period closed on Thursday April 2 at 5 p.m.. The PM Group was Optional: Provide a brief background, if any, otherwise skip to discussion SAMPLE
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Appendix 4
Authroization to Solicit <RFB/RFB/RFQ> for <INSTERT SERVICE/PROJECT> <Date>

Page 2 ends

the only company to provide comments which included paraphrasing technical aspects of the Booklet’s dimensions, design, finishing, and mailing process. Staff agreed with the comments and incorporated them into the revised scope. The final RFP is attached for your review and approval.

Subject to the City Manager’s approval, staff anticipates posting the offical RFP on Monday, April 6 with the deadline for vendors to submit proposals by Monday April 27. The proposed Selection Committee would review the proposals and interview qualified candidates. The selection Commit- tee consists of members based on their knowledge and involvement in Shop and Dine Lake Forest Week. The Committee is comprised of:

1. Jane Doe, Director of Economic Development

2. John Doe, Management Aide, Economic Development

3. Jayne Doe, Management Analyst, Public Works Department Glynis Litvak, Management Analyst, will be serving as the City’s Purchasing Coordinator. Staff antic- ipates recommending a contract award to the City Council on June 15, 2016.

FISCAL IMPACT:

There is no immediate fiscal impact associated with the approval of the RFP and authorization to solicit proposals. Funding for Print, Design and Mail services have been appropriated in the City Council Approved Fiscal Year 2016-17 Operating Budget in Economic Development. The current project schedule anticipates staff recommendation of the contract award in June 2016. At that time, staff will advise the City Council of the proposed not-to-exceed contract amount and confirm funding availability.

Attachment:

Request for Proposal for Print, Design, and Mail Services for Shop and Dine Week Lake Forest Cou- pon Booklet
Discussion point should include: (1) the project or service (2) significant changes to the scope of work compared to the previous procurements for the same project or service, (3) comments period dates and notifications (4) comments received from vendors (5) deadlines, (6) Selection Committee, (7) anticipated contract award date, and other relevant and important informaiton.

Indicate the approved budget for the project/service and grant funds is applicable
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Appendix 5
APPENDIX 5

QUOTE DOCUMENTATION FORM

PROFESSIONAL & NON-PROFESSIONAL SERVICES/EQUIPMENT/SUPPLIES May 2017
Pursuant to the City’s Purchasing and Contract Guidelines, a contract/agreement /purchase whose value is between $10,000.01 to $30,000.00 requires an informal bid process which consists of three written bids/proposals, signed by the Department Director and submitted to the City Manager for approval. This Quote Documentation Form (QDF) is intended to document a small dollar contract award or purchase during a competitive solicitation for a service to ensure purchases comply with the Purchasing and Contract Guidelines.

A Project Manager must complete a QDF and attach the form to a mem o to the City Manager requesting approval for the service/equipment/supply to be procured . The approved QDF must be attached to the invoice for payment or attached to the Agreement for file.

Section 1: General Information
Department: Click here to enter text.

Project Manager: Click here to enter text.

Check One: ☐ Professional Services ☐ Non-Professional Services ☐ Equipment/Supply Project/Equipment/Supply: Click here to enter text.

Section 2: Award Recommendation
Non-Professional Services/Equipment/Supplies
☐ Award to lowest bidder.
☐ Award to a vendor other than the lowest bidder. Explanation of decision: Click here to enter text.

Professional Services
Vendor recommended for award: Click here to enter text.

Explanation of decision: Click here to enter text.

Section 3: Certification and Authorization
I hereby declare that the above firms have been contacted for bids/proposalsand their replies are exactly as stated.

Approved by City Manager Date Project Manager Date
Debra D. Rose
(Required if total is greater than $10,000)
Department Head Date
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Appendix 5
May 2017
The following is a summary of the written quotes that are attached:

Vendor Name Total Price
1 $
2 $
3 $
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Appendix 6
APPENDIX 6

QUOTE DOCUMENTATION FORM

PUBLIC PROJECTS
As of June 2014

Pursuant to the City’s Purchasing and Contract Guidelines, a contract/agreement for public projects whose value is between $60,000.01 to $200,000.00 requires an informal bid process which consists of three written bids/proposals, signed by the Department Director and submitted to the City Manager for approval. This Quote Documentation Form (QDF) is intended to document a contract award or purchase during a competitive solicitation for a project to ensure purchases are in compliance with the Purchasing and Contract Guidelines.

A project manager must complete a QDF and attach the form to a memo to the City Manager requesting approval for the service/project to be procured. The approved QDF must be attached to the Agreement for file.

Section 1: General Information

Department: Click here to enter text.

Project Manager: Click here to enter text.

Project: Click here to enter text.

Section 2: Award Recommendation

☐ Award to lowest bidder.
☐ Award to a vendor other than the lowest bidder.

Vendor recommended for award: Click here to enter text.

Explanation of decision: Click here to enter text.

Section 3: Certification and Authorization

I hereby declare that the above firms have been contacted for bids/proposals and their replies are exactly as stated.

Approved By City Manager Date Project Manager Date

Department Head Date

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Appendix 6As of June 2014

Section 1: General Information

Department: Click here to enter text.

Project Manager: Click here to enter text.

Project: Click here to enter text.

Section 2: Award Recommendation

☐ Award to lowest bidder.
☐ Award to a vendor other than the lowest bidder.

Vendor recommended for award: Click here to enter text.

Explanation of decision: Click here to enter text.

Section 3: Certification and Authorization

I hereby declare that the above firms have been contacted for bids/proposals and their replies are exactly as stated.

Approved By City Manager Date Project Manager Date

Department Head Date

As of June 2014

The following is a summary of the written quotes that are attached.

Vendor Name Total Price
1 2
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Appendix 7

APPENDIX 8

STANDARD FORM REQUEST FOR PROPOSAL (RFP)

CITY OF LAKE FOREST

REQUEST FOR PROPOSAL
FOR

APPENDIX 7

STANDARD FORM REQUEST FOR QUALIFICATIONS (RFQ)
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Appendix 7

CITY OF LAKE FOREST

REQUEST FOR QUALIFICATIONS
The City of Lake Forest ("City") seeks qualification statements from qualified firms for <_________________>.

Responses must conform with the requirements of this Request for Qualifications (RFQ). The City reserves the right to waive any irregularity in any Statement of Qualifications (SOQ) or to reject any SOQ which does not comply with this RFQ. Modification to the RFQ including, but not limited to, the work to be performed can be made only by written addendum issued by the City. Selection of pre-qualified firms will be made solely by the City on criteria determined by the City.

The use of the term “firm” throughout this document means individual proprietorship, partnership, lim- ited liability company, corporation or joint venture.

By submitting an SOQ, the interested firm agrees to all of the terms of the RFQ and Agreement (Appen- dix A), unless exceptions to the RFQ or Agreement are stated by the firm in its SOQ. The successful firm will be required to enter into an Agreement which will include the requirements of this RFQ as well as other requirements. The City reserves the right to reject any SOQs, exceptions or changes to the Agree- ment, or Request for Qualifications.

1. ABOUT THE CITY
The City of Lake Forest is located in southern Orange County, California, in the area commonly referred to as the Saddleback Valley, with a population of approximately 82,000. It is the County’s thirty-first city and the second largest city within the Saddleback Valley, encompassing 16.6 square miles. The City of Lake Forest’s fiscal year begins on July 1 and ends on June 30.

The City was incorporated in 1991, operates under the Council/Manager form of government and is considered a contract city. The five Members of the City Council are elected at-large. They serve stag- gered four-year terms, with the Mayor being selected annually from among the Council Members. The Council meets on the first and third Tuesdays of each month.

The firm’s principal contact with the City of Lake Forest will be < name >, Director of < department >, (.... telephone # ) or a designated representative, who will coordinate the assistance to be provided by the City of Lake Forest to the submitting firm.

City Hall is located at 25550 Commercentre Drive, Suite 100, Lake Forest, California 92630. The telephone number is (949) 461-3400, and the fax is (949) 461-3511. The City website address is www. lakeforestca.gov.

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Appendix 7

2. STATEMENTS OF QUALIFICATIONS SCHEDULE
The schedule is as follows:

SOQs Due at City Hall <Shall be determined by Staff>, 4:00 p.m.

3. PROCEDURE FOR SUBMITTING STATEMENTS OF QUALIFICATIONS A. Time, Place and Format
SOQs must be received at City Hall no later than 4:00 p.m. on the date indicated in Section 2. SOQs received in the mail after 4:00 p.m. on the date indicated in Section 2, regardless of the date of their postmarks, will be rejected.

SOQs must:
• not be folded, tabbed or bound
• show page numbers for all pages in the SOQ
• include <insert number of copies> copies punched for a standard 3-ring binder (<place copies in binders> <place the copies in binder clips>)
• be on 8-1/2”x11” , 20-24 lb. white paper (do not submit covers) • be submitted in one or more envelopes, each of which clearly:
◊ states “<_________________> SOQ”
◊ identifies the firm
◊ states the number of the envelope and the total number of envelopes submitted by the interested firm
• the envelope must be addressed as follows:

City of Lake Forest
Attn: City Clerk
25550 Commercentre Drive, Suite 100
Lake Forest, CA 92630
• the successful firm must submit the SOQ in electronic format (MS Word or other format accept- able to the City) in addition to the paper copy, upon request.

If hand delivered, address as above and deliver to the City Clerk receptionist on the first floor of City Hall.

SOQs must address the requirements of the RFQ as set forth in Section 4. They should be as concise as possible and must not contain any promotional, advertising or display material.

B. Opening of Responses
All SOQs will be opened and considered within two weeks after the deadline date shown in Section 2 using evaluation procedures set forth in Appendix E.

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Appendix 7

4. DATA TO BE SUBMITTED WITH SOQs
The content and sequence of the information contained in each copy of the SOQ shall be as follows:

A. Letter of Transmittal [Optional]
Provide a brief description, limited to one page, of the firm's past experience and performance on comparable work to be performed, and any related information you would like the City to con- sider when evaluating the SOQ.

B. Summary Sheet
Provide a fully-completed Summary Sheet, provided as Appendix B to this RFQ. Use the Summary Sheet provided and do not re-type. The Summary Sheet is accessible electronically on the City’s website at www.lakeforestca.gov/proposals.

C. Category Ranking [Optional]
Complete the Category Ranking Sheet, if required, provided as Appendix D to this RFQ by rank- ing service categories in your order of preference. More detailed instructions can be found on the Category Ranking Sheet.

D. Responsible Personnel
Provide the resumes of the personnel (up to ten) who would be assigned to the work to be per- formed, including the management contact ("Principal in Charge") with the City and the person responsible for day-to-day work ("Project Manager") on the account. Each resume should include name, title, experience, qualifications, and length of employment with the firm, and be limited to one page in length.

E. References

1. List similar services performed for other public agencies (not to include the City of Lake For- est) within the last five years. For each reference, provide the name of the agency and a brief (two paragraph) description of the project and services performed, including when performed. Also provide the name and telephone number of the person(s) who can be contacted with regard to the services you have provided.

2. Additionally, list all public agencies for which contracts were terminated in the last three years.

Provide the agency name and contact information. Provide a brief explanation of the reason(s) for termination.

F. Certification of SOQs
Return the Certification of Statement of Qualifications, provided as Appendix C, with a properly executed original signature.

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Appendix 7

5. GENERAL REQUIREMENTS
A. Agreement
Attached as part of this RFQ is the Agreement (Appendix A) expected to be executed by the City and the selected firm. Any exceptions to the Agreement must be stated in the SOQ. Any submission of an SOQ without objection to the Agreement indicates under standing and intention to comply with the Agreement.

B. License to Practice in California

An affirmative statement should be included indicating that the firm and all assigned key professional staff are properly registered/licensed to practice in California.

C. Personnel
Engagement partners, managers, other supervisory staff and specialists may be changed if those personnel leave the firm, are promoted or are assigned to another office. The personnel may also be changed for other reasons with the express prior written permission of the City. However, in either case, the City retains the right to approve or reject replace ments.

Firm specialists identified in response to the RFQ can only be changed with the express prior written permission of the City, which retains the right to approve or reject replace ments.

Other staff personnel may be changed at the discretion of the interested firm provided that replacements have substantially the same or better qualifications or experience.

D. Right to Request Additional Information
During the evaluation process, the Selection Committee and City reserve the right, where it may serve the City’s best interest, to request additional information or clarifications from the interested firms, or to allow corrections of errors or omissions. At the discretion of the City or the Selection Committee, firms submitting SOQs may be requested to make oral presentations as part of the evaluation process.

E. Right to Reject SOQs
Submission of an SOQ indicates acceptance by the firm of the conditions contained in this RFQ unless clearly and specifically noted in the SOQ submitted and confirmed in the Agree ment between the City and the firm selected. The City reserves the right without prejudice to reject any or all SOQs.

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F. Request for Qualifications Interpretations and Addenda Any changes to or interpretation of the RFQ by the City will be posted on the City’s website at www.lakeforestca.gov/proposals and any such changes shall become a part of the RFQ for incorporation into any agreement awarded pursuant to the RFQ.

G. Public Record
All SOQs submitted in response to this RFQ will become the property of the City of Lake Forest and a matter of public record.

H. Conflict of Interest
By signing the Agreement, the successful firm declares and warrants that no elected or appointed official, officer or employee of the City has been or shall be compensated, directly or indirectly, in connection with the award of the Agreement or any work for the proposed project. For the term of the Agreement, no elected or appointed official, officer or employee of the City, during the term of his/her service with the City and for two (2) years following his/her termination of office or employment with the City, shall have any direct interest in the Agreement, or obtain any present, anticipated or future material benefit arising therefrom.

I. Confidential Information.

The City shall refrain from releasing firm's proprietary information ("Proprietary Information") un- less the City's legal counsel determines that the release of the Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify firm of its intention to release Propri- etary Information. Firm shall have five (5) working days after receipt of the Release Notice to give City written notice of firm’s objection to the City's release of Proprietary Information. Firm shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Proprie- tary Information after receipt of the Objection Notice unless either: (1) firm fails to fully indemnify, defend (with City's choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2) a final and non-appealable order by a court of competent juris- diction requires that City release such information.

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proposed project. For the term of the Agreement, no elected or appointed official, officer or employee of the City, during the term of his/her service with the City and for two (2) years following his/her termination of office or employment with the City, shall have any direct interest in the Agreement, or obtain any present, anticipated or future material benefit arising therefrom.

H. Confidential Information

The City shall refrain from releasing Proposer's proprietary information ("Proprietary Information") unless the City's legal counsel determines that the release of the Proprietary Information is required by the California Public Records Act or other applicable state or federal law, or order of a court of competent jurisdiction, in which case the City shall notify Proposer of its intention to release Proprietary Information.

Proposer shall have five (5) working days after receipt of the Release Notice to give City written notice of Proposer's objection to the City's release of Proprietary Information. Proposer shall indemnify, defend and hold harmless the City, and its officers, directors, employees, and agents from and against all liability, loss, cost or expense (including attorney’s fees) arising out of a legal action brought to compel the release of Proprietary Information. City shall not release the Proprietary Information after receipt of the Objection Notice unless either: (1) Proposer fails to fully indemnify, defend (with City's choice of legal counsel), and hold City harmless from any legal action brought to compel such release; and/or (2) a final and non-appealable order by a court of competent jurisdiction requires that City release such information.

8. VENDOR ASSESSMENT

Each vendor receives a performance assessment during the annual budget preparation cycle, at project completion, and during a contract amendment. In those instances where the consultant is providing a service which will be completed in one year or less, a review is performed at the completion of the project or contract. The Vendor Assessment is provided for in Appendix E.

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APPENDIX B

SUMMARY SHEET

The Summary Sheet is accessible electronically on the City’s website at:
www.lakeforestca.gov/services/businesses/proposals

FirstFirm Name:

Firm Parent or Ownership:

Firm Address:

Firm Telephone Number:

Firm Fax Number:

Number of Years in Existence:

Management Contact (person responsible for direct contact with the City of Lake Forest and services required for this Request for Qualifications):

Name: Title:

Telephone Number: Fax:

Email:

Project Manager (person responsible for day-to-day servicing of the account):

Name: Title:

Telephone Number: Fax:

Email:

Type of services performed by the firm:

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APPENDIX C

CERTIFICATION OF STATEMENT OF QUALIFICATIONS

TO THE CITY OF LAKE FOREST

1. The undersigned hereby submits its SOQ and, by doing so, agrees to furnish services to the City in accordance with the Request for Qualification (RFQ), dated <date RFQ issued (date RFQ was approved by City Council) > and to be bound by the terms and conditions of the RFQ.

2. This firm has carefully reviewed its SOQ and understands and agrees that the City is not responsible for any errors or omissions on the part of the firm and that the firm is responsible for them.

3. It is understood and agreed that the City reserves the right to accept or reject any or all SOQs and to waive any informality or irregularity in any SOQ received by the City.

4. The SOQ includes all of the commentary, figures and data required by the Request for Qualification, dated < date RFQ issued (date RFQ was approved by City Council)>.

5. This firm has carefully read and fully understands all of the items contained in Section 5, General Requirements. This firm agrees to all of the general requirements except for those listed on an attachment.

Name of Firm:

By:
(Authorized Signature)
Type Name:

Title:

Date:

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APPENDIX C

CERTIFICATION OF PROPOSAL TO THE CITY OF LAKE FOREST

1. The undersigned hereby submits its proposal and, by doing so, agrees to furnish services to the City in accordance with the Request for Proposal (RFP), dated < date RFP issued (date RFP was approved by City Council) >, and to be bound by the terms and conditions of the RFP.

2. This firm has carefully reviewed its proposal and understands and agrees that the City is not responsible for any errors or omissions on the part of the proposer and that the proposer is responsible for them.

3. It is understood and agreed that the City reserves the right to accept or reject any or all proposals and to waive any informality or irregularity in any proposal received by the City.

4. The proposal includes all of the commentary, figures and data required by the Request for Proposal, dated < date RFP issued (date RFP was approved by City Council) >.

5. This firm has carefully read and fully understands all of the items contained in Section 7, General Requirements. This firm agrees to all of the general requirements except for those disclosed by the firm in project proposal, listed on an attachment.

6. The proposal shall be valid for <60,90,120> days from < date RFP was due to the City >.

Name of Firm:

By: ____
(Authorized Signature)

Type Name:

Title:

Date:

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APPENDIX E

EVALUATION PROCEDURES
A. Selection Committee
SOQs submitted will be evaluated by a Selection Committee, appointed by the City Manager.

B. Review of SOQs
The Selection Committee will use a point formula during the review process to individually score SOQs, as outlined in Section C1 below, "SOQ Evaluation Criteria. " The Selection Committee will then be convened to review and discuss these evaluations and combine the individual scores to arrive at an average composite SOQ score for each firm. Firms that do not meet "Mandatory Elements" listed in Section C1 below will be eliminated from further consideration.

All SOQs qualifying on the basis of the qualitative review will be submitted to the City Council for final determination.

C. SOQ Evaluation Criteria
SOQs will be evaluated using two (2) sets of criteria. Firms meeting the mandatory elements will have their SOQs evaluated and scored. The following represent the principal selection criteria which will be considered during the evaluation process.

1. Mandatory Elements
a. The firm is independent and properly licensed to practice in California. b. The firm has no conflict of interest with regard to any other work performed by the firm for the City.
c. The firm adheres to the instructions in this RFQ on preparing and submitting the SOQ.

2. Qualitative Evaluation (Maximum Points = 100)
In order to be considered the firm must achieve at least 70 points. a. Expertise and Experience ( __ points)
i. The firm's past experience and performance on comparable private/gov ernment engagements.
ii. The quality of the firm's professional personnel to be assigned to the engagement and the quality of the firm's management support personnel to be available for technical consultation.

D. Final Selection
The Selection Committee will recommend a firm(s) for selection to the City Manager or the City Council as appropriate.

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APPENDIX 8

PUBLIC WORKS DEPARTMENT

DESIGN TEAM CONSULTANT SELECTION PROCEDURE
The consultant selection process consists of three phases:

Phase 1 - Establishment of Design Consultant Vendor Interest List

1. The City maintains a Vendor Interest List (“Interest List”) that is updated on an ongoing basis. Consulting firms on the list are asked to submit an updated Statement of Qualifications (“SOQ”) at least every two years or a statement confirming the SOQ on file with the City is current and is to remain on the Interest List.

New vendors requesting to be on the Interest List may submit a statement of qualifications to the City anytime throughout the year.

2. All consultant SOQs must meet the mandatory elements listed below. Vendors meeting the mandatory elements will be placed on the Interest List and would be eligible to receive a Request For Proposals (“RFP”) for projects the ensuing fiscal years. Firms not meeting all three require- ments will not be added to Interest List to be considered to receive RFPs.

The mandatory elements required are:
a. The firm is independent and properly licensed to practice in California. b. The firm has no conflict of interest with regard to any other work performed by the firm for the City.
c. The firm adheres to the instructions in the City’s Request For Qualifications (“RFQ”) on prepar- ing and submitting the SOQ.

3. The RFQ separates projects in the Capital Improvement Projects Budget into several categories based on project type. SOQ firms are required to indicate a firm’s desire to provide services in each project category by ranking the categories in order of preference. Upon meeting the man- datory elements, the firms will be placed on a list indicating their preferred fields of expertise.

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Phase 2 - Selection of Firms to Receive a Request for Proposals

1. Once Public Works determines a project needs a design consultant to perform work in related field of expertise for a project, a memorandum is submitted to the City Manager for approval of a Selection Committee consisting of staff from multiple departments to review and evaluate the SOQs placed in the category needed for the project.

2. The Selection Committee will review the SOQs using the point formula outlined under the Qualitative Evaluation category and individually score SOQs based on the project needs. The Se- lection Committee will convene to discuss these evaluations and combine the individual scores to arrive at an average composite SOQ score for each firm. Firms must have a minimum average score of 70 points in the Expertise and Experience category of the Qualitative Evaluation to be eligible for further consideration.

3. The Selection Committee assigns a maximum total score of 180 points based on three criteria (Expertise and Experience, Project Category Preference Ranking, and Recent Work for City).

Qualitative Evaluation:

A. Expertise and Experience (Maximum Points = 100)
a. The firm’s past experience and performance on comparable private/government engagements.
b. The quality of the firm’s professional personnel to be assigned to the engagement and the quality of the firm’s management support personnel to be available for technical consultation.

B. Project Category Preference Ranking (Maximum Points = 60) The firm’s indication of their desire to provide services in each project category by order of preference:

Preference 1 = 60 points
Preference 2 = 53 points
Preference 3 = 45 points
Preference 4 = 38 points
Preference 5 = 30 points
Preference 6 = 23 points
Preference 7 = 15 points
Preference 8 = 8 points
Not Applicable = 0 points
C. Recent Work for the City Ranking (Maximum Points = 20) The latest date in which the City has contracted with the firm for professional services.

Never =20 points
Date ≥ 3 years =15 points
Date ≥ 2 years =10 points
Date ≥ 1 year =5 points
Date ≤ 1 year =0 points
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4. A firm’s rank within the category is the major factor in determining the significance of the project for which that firm will be considered. Project significance is measured in terms of cost, visibility and community interest, importance to the community, and technical complexity. The pool of competing consultant firms for each project should possess the ability and resources that most closely match the needs of the project. A firm may be eliminated as a potential candidate for a given project based on the following factors:
• The firm’s quality of work on past City projects indicates an inability to perform the required services to the City’s standards.
• The firm’s SOQ indicates that the firm’s abilities and resources do not closely match the needs of the project.
• The firm is already being considered as a candidate for another Public Works project.

5. Using the Selection Committee’s rankings, the number of firms selected to receive the RFP for each project will vary based on the project cost.

Phase 3- Proposal Evaluation and Consultant Selection

1. For each project, the City Manager approved multi-department selection panel evaluates proposals in accordance with the process identified in the RFP . Firms must demonstrate compe- tence and possess the professional qualifications necessary for the satisfactory performance of the service required. The panel ranks the finalists based upon the contents of the technical proposal and oral interview (if held). Firms must score a minimum of 70 points on the technical proposal to be eligible for further consideration.

2. For the purpose of determining if the fees are fair and reasonable for the type of services to be performed, the panel then reviews the fee proposals of the firms that achieved the minimum score of 70 points.

3. The first ranked firm will be contacted for any further contract scope and fee clarifications. If agreement cannot be reached, a similar process will be undertaken with the second ranked firm.

The process will be repeated until an agreement can be reached. If the process is unsuccessful, the City will issue a request for technical proposals from other qualified firms on the Design Team list and these steps are repeated.

4. The Public Works Department will contact the references of the first ranked firm or firms de- pending upon the outcome of the technical proposal and discussions.

5. Upon completion of Staff’s evaluation and final drafting of the professional services agreement, their recommendation is submitted to the City Council for approval and an agreement for services is executed. If the amount is $30,000 or less, the City Manager may execute the agreement.

Project Cost Competing Firms
<$100,000 4
$100,000 - $500, 000 5
>$500,000 6
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PHASE 1- Establishment of an Interest List

PHASE 2 - Establishment of a Prequalification List
PHASE 3 - RFP Approval/Solicitation/Evaluation and Consultant Selection City Acceptance of SOQs
Current Vendors
 Updated SOQ or
confirmation
statement required
every 2 years.

New Vendors
 SOQ required and can
be submitted anytime.

SOQ Mandatory Elements
For Prequalification List
 Licensed in CA.
 No conflict of interest
with the City.
 Adherence to RFQ and
SOQ. Yes
No SOQ Rejected
SOQs are Sorted by Firm’s Preferred Field of
Experience:

1. Street and Intersection Design

2. Geotechnical/Solis Engineering

3. Surveying

4. Landscape Design

5. Flood Control

6. Traffic Engineering

7. Water Quality/Environmental

8. Construction Admin/Construction Inspection
Selection Committee
Current Vendors
 Approval of Selection
Committee by City
Manager.

SOQ Review
 Selection Committee
reviews SOQs
Scoring and Ranking SOQs
Qualitative Evaluation Based on 3
Factors:

A. Expertise & Experience (100 pts)
-Firm’s past experience.
-Firm’s professional staff.

B. Preference Ranking (60 pts)
1st=60 pts and decreases by 7.5
pts for each subsequent rank.
(e.g. 2nd=53 pts, 3rd=45 pts)
C. Recent Work for City (20 pts)
Never =20 pts
≥3 Years =15 pts
≥2 Years =10 pts
≥1 Year =5 pts
≤1 Year =0 pts
SOQ Allocation Based on
Project Cost
Cost Minimum #
Of Firms
<$100K 4
$100K-$500K 5
>$500K 6
Elimination Factors

1. Inability to perform services.

2. Firm’s ability and resources do not
closely match project needs.

3. Firm already considered for another
Public Works project.

Approval of RFP
 Approval of RFP by
City Council or City
Manager.

RFP Distribution
 Send RFP to prequalified
firms.
 Send proposals to
Selection Committee
approved by the City
Manager.

Scoring RFPs and Fee Proposals
Requires minimum score of 70 pts on
written proposal to be considered for
an interview.

A. Demonstrate competence
B. Possess professional qualifications
Selection Committee will review fee
proposals of firms that achieve a
minimum of 70 pts. Fee proposals
must be fair and reasonable.

Consultant Selection
 First ranked firm contacted for
additional clarifications. If agreement
cannot be reached, the second
ranked firm is contacted. Process
repeats until an agreement can be
reached.
 Contact firm’s references.
 Contract execution and award.

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Appendix 9
APPENDIX 9

PROPOSAL EVALUATION FORM

Rater: Date:

Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score
Key Personnel 0.20 0.00 0.00 0.00 0.00 0.00
Project Management/ Schedule 0.15 0.00 0.00 0.00 0.00 0.00 Scope of Services 0.40 0.00 0.00 0.00 0.00 0.00
Experience 0.15 0.00 0.00 0.00 0.00 0.00
Proposal Quality 0.10 0.00 0.00 0.00 0.00 0.00

1.00 0 0 0 0 0
Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score Score
Weighted
Score
Vendor Communication 0.20 0.00 0.00 0.00 0.00 0.00
Project Understanding 0.25 0.00 0.00 0.00 0.00 0.00
Technical Knowledge 0.20 0.00 0.00 0.00 0.00 0.00
Key Personnel 0.25 0.00 0.00 0.00 0.00 0.00
Meeting Preparation 0.10 0.00 0.00 0.00 0.00 0.00

1.00 0 0 0 0 0
Rating Factor Cost (40 Points)
Cost Proposal Points
Cost proposal points assigned by purchasing coordinator Total Points (200 Maximum) 0 0 0 0 0
Instructions: Enter a score (0 to 10) in the each of the evaluation criteria boxes above, numbers can be to 1/4 point:

Proposal:

Vendor A Vendor B Vendor C Vendor D
Experience: The firms' past experience and performance on comparable engagements and why firm believes itself the best qualified Vendor E
Vendor A Vendor B Vendor C Vendor D Vendor E
Vendor Communication : Ability of team to clearly communication information, interpersonnal communication skills and ability to throughly and completely answer questions.

Project Understanding: Demonstration of understanding of project by key personnel and relevant experience to RFP requirements beyond written proposal
Meeting Preparation : Firms preparedness to answer questions and present relevant information. Demonstration of research on project/City Technical Knowledge : Demonstration and communication of technical understanding of the required services, ability to convey technical information without jargon and assigned vendor staff has sufficient subject matter knowledge.

Key Pers onnel: Communication and interpersonal skills of key personal including throughness in answering questions and demonstration of problem solving skills. Key personnel in attendance
0: Not addressed: Not addressed or response is of no value Vendor A Vendor B Vendor C Vendor D Vendor E
Key Pers onnel: The quality of the firm's professional personnel to be assigned to the engagement and the quality of the firm's management support personnel to be available for technical consultation. References relative to the personnel assigned to the engagement Project Management/Schedule : Firms allocation of resources to the project, project schedule, and project management tools/resources utilized by the firm to ensure accurate and timely delivery of project Proposal Quality: Firms thoroughness and accuracy in the proposal document including presentation of information, grammar, spelling, and other errors.

Definition of Rating Factors
Scoring Criteria
Rating Factor Technical
Proposal (53 Points) Weight
Rating Factor Interview
(107 Points) Weight
Scope of Services : Understanding of work to be done, detailed scope of work, and appropriateness of services to the requirements of the City.

Distinguishing features, skills and/or services.
10: Most desirable: Demonstrates excellent understanding of requirements and approach that significantly exceeds performance or capability standards. Has exceptional strengths that will significantly benefit the City. Substantially or totally applicability to the solicitations 8-9: Better than acceptable : Demonstrates good understanding of requirements and approach that exceeds performance or capability standards.

Has one or more strengths that will benefit the City.
6-7: Acceptable: Demonstrates acceptable understanding of requirements and approach that meets performance of capability standards.

Acceptable solution. Few or no strengths. Some applicability. 4-5: Les s than acceptable: Demonstrates shallow understanding of requirements and approach that only marginally meets performance or capability standards necessary for minimal, less than acceptable contract performance 1-3: Clearly insufficient: Fails to meet performance or capability standards. Requirements can only be met with major changes.

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APPENDIX 10

CONTRACT TRACKING FORM
Company
Project or Service
Term
Contract Budget
Balance Remaining
Date Invoice # Description
Invoice
Amount
7/1/2014 123 Remove dead plants. $100.00
9/1/2014 125 Routine maintenance. $125.00
99,775.00
*For amendments changing compensation, a Project Manager must update the contract budget to reflect the current compensation.
100,000.00
ABC Company
Park Maintenance
July 1, 2015 to June 30, 2016
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APPENDIX 11

CONTRACTOR/CONSULTANT/VENDOR ASSESSMENT
City Clerk file
As of June 2014

CONTRACTOR/CONSULTANT/VENDOR ASSESSMENT

PERFORMANCE OF SCOPE OF SERVICES
Unsatisfied (1) - Very Satisfied (5)
How effectively did the vendor communicate with the City regarding the project? Communication includes regular
progress updates, recommendations, and concerns/issues. ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
Did the firm individual(s) assigned to do the work meet the City’s expectations? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
How knowledgeable was the vendor regarding the service or project? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
How is the vendor ranked overall for quality performance? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A Did the vendor comply with the terms of the agreement? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A Overall Rating ☐Unsatisfied ☐Satisfied ☐Very Satisfied ☐ N/A

TIMELINESS
Unsatisfied (1) - Very Satisfied (5)
How well did the vendor follow the schedule established at the beginning of the project?
☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
Did the vendor complete the project on time? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A Were invoices submitted in a timely manner? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A Overall Rating ☐Unsatisfied ☐Satisfied ☐Very Satisfied ☐ N/A CONTRACTOR/CONSULTANT/VENDOR: REVIEW DATE:

PROJECT/SERVICE:

CONTRACT TERM:

REVIEW TYPE: ANNUAL BUDGET ☐ PROJECT COMPLETION ☐ AMENDMENT ☐ BUDGET TRACKING:

ORIGINAL CONTRACT DOLLAR AMOUNT: $
ESTIMATED CONTRACT DOLLAR AMOUNT: ACTUAL: $ PROJECTED: $ CUMMULATIVE FISCAL YEAR EXPENDITURES: $
COMMENTS:

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City Clerk file
As of June 2014

BUDGET PERFORMANCE
Unsatisfied (1) - Very Satisfied (5)
Did the vendor complete the project on budget? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A How accurate were the invoices submitted to the City? ☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A If additional funds were requested (increased
compensation), was the vendor able to provide justification for the increase?

☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
Overall Rating ☐Unsatisfied ☐Satisfied ☐Very Satisfied ☐ N/A

CUSTOMER SERVICE
Unsatisfied (1) - Very Satisfied (5)
How prompt was the vendor in responding to City inquiries?

☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
How consistent and clear was the vendor’s communications with City staff?

☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
How proactive was the vendor in addressing problems or
concerns regarding the product or service?

☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
How courteous, professional, and responsive was the vendor in dealing with the City, sub-consultants, and the
community?

☐1 ☐2 ☐3 ☐4 ☐5 ☐ N/A
Overall Rating ☐Unsatisfied ☐Satisfied ☐Very Satisfied ☐ N/A Additional Comments:

Project Manager Date Department Director Date Item: 9
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App
endix 12
APPENDIX 12

CONTRACT DURATIONS
Contract/Agreement
Type
Initial Durantion Maxium
Extension
Duration
Standard 3 years Two 1-year
extensions
Maintenance 1 year or
3 year
Two 1-year
extensions
Government Contracts
such as:

1. Street Maintenance

2. Police Services

3. Recreation

4. Animal Control
1 year; no more than 5
years
N/A
Project Specific Equal to specific project
duration
Only if project
duration extended
Requires significant
capital investment
Sufficient to reasonably
amortize the capital
investment
One 2-year
extension
Single Service Provider 3 years One 2-year
extension
Software 3 to 5 years N/A
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CITY COUNCIL AGENDA REPORT
MEETING DATE: 3/15/2022
DEPARTMENT: City Clerk
SUBJECT:

SELECTION OF DELEGATE AND ALTERNATE FOR THE SOUTHERN
CALIFORNIA ASSOCIATION OF GOVERNMENTS ("SCAG") REGIONAL

CONFERENCE AND GENERAL ASSEMBLY MEETING
RECOMMENDED ACTION(S):

Appoint a delegate and alternate to the Annual SCAG Regional Conference and General Assembly.

EXECUTIVE SUMMARY:

The Southern California Association of Governments (“SCAG”) is an association of local governments and agencies that convene as a forum to address regional issues. The agency develops long-range regional transportation plans, including sustainable community strategies and growth forecast components, regional transportation improvement programs, regional housing needs allocations, and a portion of the South Coast Air Quality management plans. Each year, SCAG hosts its Regional Conference and General Assembly Meeting where diverse programs of expert panels, keynote presentations, and technical demonstrations share insights on how local governments and civic partners can work together to make the most of new technologies to enhance mobility, economic opportunity, and quality of life. This year, the Regional Conference will be held on Thursday, May 5-6, 2022 at the JW Marriott Desert Springs Resort & Spa in Palm Desert, CA. At this time, SCAG is requesting the City Council designate a delegate and alternate representative so that the City’s interests may be represented at the General Assembly meeting. Action tonight will facilitate the formal selection of a delegate and alternate representative for voting purposes.

FISCAL IMPACT:

There is no fiscal impact associated with the recommended action Item: 10
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1 9
1 2
ATTACHMENTS:

None.

Initiated By: Lisa Berglund, City Clerk
Submitted By: Lisa Berglund, City Clerk
Approved By: Debra Rose, City Manager
Item: 10
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Lake Forest City CouncilMarch 15, 2022

Lake Forest City Council
March 15, 2022