HomeMy WebLinkAbout16-023RESOLUTION NO. 16 — 023
A RESOLUTION AMENDING THE ST. LUCIE COUNTY MANUAL OF PURCHASING
REGULATIONS; ADDING SECTION 13.7 TO PROVIDE PROCEDURES FOR FEDERAL TRANSIT
ADMINISTRATION FUNDED PROJECTS; AMENDING CHAPTER 13 PROCEDURES TO ADD
FEDERAL TRANSIT FUNDED PROJECT PURCHASING PROCEDURES PROVIDING AN EFFECTIVE
DATE.
WHEREAS, the Board of County Commissioners of St. Lucie County, Florida has made the following
determinations,
1. On September 24, 1985, the Board of County Commissioners for St. Lucie County, (the "Board")
adopted Ordinance No. 85-06 which created a purchasing department and established the purchasing regulations and
procedures for St. Lucie County, Florida, as set forth in the St. Lucie County Manual of Purchasing Regulations and
Procedures (the "Purchasing Manual").
2. On October 7, 1985, the Board adopted Resolution No. 85-212 which established the purchasing
regulations and procedures for St. Lucie County, Florida, as set forth in the St. Lucie County Manual of Purchasing
Regulations and Procedures (the "Purchasing Manual"); and since that date the Purchasing Manual has been amended
from time to time.
3. On October 20, 2015, the Board adopted Resolution No. 15-194 to amend Resolution 85-212, as
previously amended, to further revise the Purchasing Policy Manual ("PPM").
4. It is necessary to further amend the PPM to establish procedures for purchases using Federal Transit
Administration ("FTA") funds.
NOW, THEREFORE, BE IT RESOLVED by the Board of County Commissioners of St. Lucie County, Florida:
1. The St. Lucie County Manual of Purchasing Regulations is hereby amended as set forth in Exhibit "A"
attached.
2. This resolution shall become effective upon adoption.
After motion and second the vote on this Resolution was as follows:
Chairman Commissioner Kim Johnson
Vice Chair Commissioner Chris Dzadovsky
Commissioner Tod Mowery
Commissioner Paula A. Lewis
Commissioner Frannie Hutchinson
PASSED AND DULY ADOPTED this 16th day of February, 2016.
ATTEST: BOARD OF CI
ST LUCIE Cpy
IV, ���
BY:
APPR,
CORR
AYE
AYE
AYE
AYE
ABSENT
JNTY COM SIONERS
ITY, FL,qR IqrA
an
TO F0RMAN"D
County
Section I: Overview, Purpose, Applicability and Definitions
Overview
The S t . Lucie County Transit Procurement Manual outlines the policies regarding the
use, award, monitoring and reporting of procurement Contracts funded all or in part
with Federal Transit Administration funds. The County routinely expends funds to
purchase goods and services including, but not limited to, buses, bus parts, supplies,
equipment, construction services and professional services.
Purchases involving Federal funds are in compliance with Federal Transit Administration
(FTA) Circular 4220. JF, Third Party Contracting Guidelines. The procurement procedures
described in this document have been developed to assure compliance with these guidelines.
This manual governs revenue Contracts, the consideration of proposals initiated by the
County, and unsolicited proposals received by the County.
The basic procurement objective is to secure the best goods and/or services at the lowest
available price, consistent with quality requirements and delivery needs. The practice of
competitive bidding, whether formal or informal, not only promotes obtaining reasonable
prices, but also guards against improper practices.
Failure to appropriately procure goods and services funded by the FTA could seriously affect
the County's receipt of Federal funding. All County staff involved with procurement
activities must familiarize themselves with this manual, FTA regulations and other
applicable documentation as promulgated.
Purpose
This manual sets forth the requirements that t h e C o u n t y must ad here to in the solicitation,
award, and administration of its third party Contracts for goods and services.
These guidelines are meant to:
a) Formalize practices which insure that the County's interests are protected;
b) Assure that all federal and state procurement laws and regulations are followed and
c) Communicate policies; give guidance to purchasing personnel and to others with
delegated purchasing authority.
Applicability
The guidelines denoted herein apply to all commodity, service and professional service
Contracts procured by the County. These guidelines adhere to the Federal Procurement
Requirements outlined in FTA Circular 4220.1 F as a way of ensuring compliance with
FTA requirements in all the County's procurement activities.
The County shall not be precluded from adopting additional requirements for particular
Contracts relating to the matters covered by this manual so long as such additional
requirements are not in conflict with the requirements outlined in FTA Circular 4220.1 F.
2
Definitions
When used in these guidelines:
Advertisement: The publication of a notice of procurement on the County website,
DemandStar website and legal advertisement section of local newspaper when deemed
necessary to insure greater exposure and interest.
Best Value: A selection process in which proposals contain both price and qualitative
components, and award is based upon a combination of price and qualitative
considerations. Qualitative considerations may include technical design, technical
approach and quality of proposed personnel and/or management plan. The award
selection is based upon consideration of a combination of technical and price factors
to determine (or derive) the offer deemed most advantageous and of the greatest value
to the County.
Brand Name: A name of a product or service that is limited to the product or service
produced or controlled by one private entity or by a closed group of private entities.
Brand names may include trademarks, manufacturer names or model names/numbers that
are associated with only one manufacturer.
Commodities: Standard articles of commerce in the form of material goods, supplies,
products or similar items. Commodities do not include technology.
Federal regulations permit grant applicants, such as the County, to incur project costs
before receiving formal approval or grant awards. It is the practice of the County not to
incur costs or entertain the award of Contracts for capital projects to be funded in whole
or in part with Federal aid unless Federal aid supporting the projects is dedicated in an
adopted Federal budget as a formula appropriation to the County or as an earmarked
appropriation to the County.
Construction: The supervision, inspection and building of, and all expenses incidental to
the acquisition, construction, repair, painting or reconstruction of facilities and equipment for
use by the County.
Contractor: Any person, partnership, private corporation or association: selling materials,
equipment or supplies, or leasing property or equipment, to the County for constructing,
reconstructing, rehabilitating or repairing buildings or other improvements for or on behalf
of the County rendering or providing services to the County pursuant to a Contract.
Contracts or Procurement Contracts: A mutually binding legal relationship obligating the
seller to furnish the supplies or services (including construction) and the buyer to pay for
them. Contracts would include bilateral instruments, awards and notices of awards; job orders
or task assignment letters issued under basic ordering agreements; letter Contracts, orders,
such as purchase orders, under which the Contract becomes effective by written acceptance
or performance; and bilateral Contract modifications.
The parties to a Contract must possess the legal capacity to enter into the Contract, and they
must assent to the terms of the Contract. Verbal agreements are not recognized as Contracts.
Contract Administrator: This individual will be a County employee and will be the
primary contact with the Contractor and shall establish frequent and direct communications
with the Contractor. In most cases, this individual will be either the County Purchasing
3
Manager or the staff member who led the procurement process for the project.
Cost Reimbursement (CR) Type Contract: A general compensation arrangement which
requires the County to pay the Contractor a fixed fee plus all allowable actual costs
(as established by predetermined cost principles and rates) provided such costs and fee do
not exceed the final negotiated Contract price, as incurred by the Consultant in performing
the "agreed to I I Scope of Work. This type of Contract is appropriate for qualifications
based procurements and negotiated procurements based on a Scope of Services rather than
detailed specifications.
Design -Bid -Build: The project delivery approach where the grantee commissions an architect or
engineer to prepare drawings and specifications under a design services Contract, and
separately Contracts for at -risk construction, by engaging the services of a Contractor through
sealed bidding or competitive negotiations.
Design -Build: A system of contracting under which one entity performs both
architectural/engineeri ng and construction under one Contract.
Design Specifications: Specifications based on the design of a product or service. Typical
design specifications may include dimensions, materials used, commonly and competitively
available components, and non-proprietary methods of manufacturing.
Disadvantaged Business Enterprise: A small business concern as defined by
49 CFR Part 26 and has been certified as such by the Unified Certification Program (UCP).
Emergency Procurement: The procurement of goods or services under circumstances
where a delay in procurement may result in danger to employees or the public, damage to
the County facilities or equipment, or an impediment, delay or danger to the business
operations of the County.
Federal Transit Administration: FTA is one of ten modal administrations within the U.S.
Department of Transportation. The Federal government, through the FTA, provides financial
assistance to develop new transit systems and improve, maintain, and operate existing
systems. FTA oversees grants to state and local public transit providers. These grantees are
responsible for managing their programs in accordance with Federal requirements, and FTA
is responsible for ensuring that grantees follow Federal mandates along with statutory and
administrative requirements.
Firm Fixed Price Type Contract (FFP): A general compensation arrangement, which places
the risk of performance for a lump sum on the Contractor, regard less of the actual costs
incurred by the Contractor. The only allowable adjustments to the lump sum Contract price
are those arising from authorized changes in scope of services or changes in specifications.
This type of Contract is appropriate for acquiring commercial items, or for supplies or
services, which can be clearly defined with either performance/functional specifications or
design specifications where there are no substantial uncertainties relating to cost,
performance, or schedule. This type of Contract may only be used in sealed bidding
procurements.
Formal Bidding: Bidding involving public advertising, sealed bids or RFP, and is
required for procurements of goods or services in an amount of $50,000 or more, except as
otherwise provided herein.
9
General Services: Those services provided by an individual or business, which are not
considered professional or construction.
Independent Cost Estimate (ICE): Such estimates may be obtained from published
competitive prices, results of previous competitive procurements, including some type of price
escalation percentage, or price quotes from manufacturers.
Informal Bidding: Bidding without public advertising but within formal procedures, which
may include, without limitation, written, telephonic or electronic bidding.
Invitation for Bids (IFB): The County request for sealed bids setting forth the detailed
specifications for the work to be performed.
Micro -Purchase: Purchases under $3,000, purchases below this threshold may be made
without obtaining competitive quotations if the County determines that the price is fair and
reasonable. Such purchases are exempt from Buy America requirements. There should be no
splitting of procurements to avoid competition.
Minority Business Enterprise (MBE): Any business enterprise, which is at least fifty-one
percent (51%), owned by, or in the case of a publicly owned business, at least fifty-one
percent (51%) of the capital stock of which is owned by citizens or permanent resident
aliens who are minority persons, and such ownership interest is real, substantial and
continuing. The minority ownership must have and exercise the authority to independently
control the business decisions of the entity. The enterprise must also be authorized to do
business in the State of North Carolina, be independently owned and operated and not be
dominant in its field. Minority Business Enterprises are certified as such through the State
of Florida.
Offer: A promise to provide goods or services according to specified terms and conditions
in exchange for material compensation,
Organizational Conflict of Interest: Because of other activities, relationships, or Contracts,
a Contractor is unable, or potentially unable, to render impartial assistance or advice to the
County; a Contractor's objectivity in performing the Contract work is or might be otherwise
impaired; or a Contractor has an u nfai r competitive advantage,
Performance Bond: An instrument of security furnished by the Contractor and his surety for
the performance of the work in accordance with the Contract documents.
Performance Specifications: Specifications based on the function and performance of a
product or service under specified conditions, preferably conditions that can be reproduced
for testing purposes. Performance specifications may include useful life, reliability in terms
of average intervals between failure, and capacity.
Piggybacking: An assignment of existing Contract rights to purchase supplies, equipment, or
services.
Procurement: The acquisition by the County of products, services or public works by
purchase process and policy as outlined in this manual, accepting:
- The purchase of periodicals, reference materials, treatises, or professional research tools;
- The payment of fees or tuition associated with continuing education courses, training
courses, conferences, seminars, and symposiums,
R
• Expenditures governed by the County "Travel Policy",
• The purchase of advertise ng space or advertisi ng time in any medium.
• Expenditures associated with internal or public meetings
Professional Services: Services of a professional nature, including without limitation,
accounting, legal, medical, occupational, architectural, engineering, consulting, advertising,
marketing and planning.
Professional Services Contract: Any written agreement to provide a service including but
not limited to legal, accounting, management consulting, investment banking, planning,
trai ning, statistical, research, public relations, marketing, advertisi ng, architectural,
engineering, surveying or other personal services of a consulting, professional or technical
nature, for a fee, commission or other compensation, by a person or persons who are not
providing such services as officers or employees of a state agency or public corporation.
Prompt Payment: Payment of a debt due and owing by the County before interest accrues
thereon pursuant to the terms of any Contract established in accordance with the guidelines
contained in this manual.
Purchasing Manager: The S t . Lucie County Purchasing Manager, who has
responsibility for the overall conduct of the procurement. This individual, along with the
County Transit Manager, is responsible for ensuring compliance with guidelines contained
in this manual and all applicable governmental regulations.
Responsible: A potential Contractor is considered responsible if it can demonstrate that it
has the ability to perform successfully under the terms of the proposed Contract, taking into
account the offeror's technical and financial capability. Responsibility refers to the ability of
the Contractor to del iver the requested items/services.
Responsive: A bid, w h i c h complies, in all material respects, with the terms of the
solicitation and is completed, executed, and submitted in accordance with the instructions
set forth in the solicitation. Responsiveness refers to the integrity of the submitted bids and
the bid process.
Services: A professional, consulting, technical, or other service, including but not limited
to, legal, testing, accounting, bookkeeping, secretarial, management consulting, audit,
investment banking, planning, training, statistical research, insurance, advertising, public
relations, architectural, engineering, appraisal, janitorial, surveying, housekeeping, and waste
disposal, performed for a fee or other compensation.
Single Bid: Two or more competitive bids are solicited and only one bid is received.
Small Procurement Informal Bidding: A small procurement method of procuring goods or
services costing $3,000 to $5Q000 based upon competitive selection. Quotes will be requested
and received via fax, e-mail or regular mail.
Sole Source: The goods or services to be procured are available from only one responsible
source; or no other goods or services will satisfy the County requirements; or prior state or
federal approval has been granted.
State Bid Contracts: Purchase prices established for various items, which have been
competitively bid by the State of Florida, and which may be used by the County to
make procurements for goods/services provided FTA requirements are included in the
Contract.
Surety Bond: Refers to an agreement between a transit industry Contractor or supplier and
a surety bond writer that guarantees a Contract obligation with a transit property. Typically,
transit agencies require bonds that cover 100% of the value of a Contract. Ifa Contractor
defaults on a Contract or faces financial difficulties, the Surety Bond underwriter will owe
the transit agency the full amount of the Contract.
Tau On: Refers to the addition of work (supplies, equipment or services) that is beyond the
scope of the original Contract that amounts to a cardinal change. "In Scope" changes are not
tag -ons. The use of tag -ons is prohibited.
Time and Material (T&M) Type Contract: A general compensation arrangement, which
provides for a fixed rate including overhead and profit, and material paid for at cost, plus
handling charges. This type of Contract is rarely used by the County, but is permitted only:
1. After a determination that no other compensation arrangement is suitable;
2. If the Contract or purchase order contains a price ceiling that the Contractor exceeds at
its own risk
3. All labor and equipment rates (including overhead and profit), are predetermined and set
forth in the Contract and materials are to be paid for at cost.
Transit Manager: The County Transit Manager, who has responsibility for the overall
responsibility for the transit program. This individual, along with the Purchasing Manager, is
responsible for ensuring compliance with guidelines contained in this manual and all
applicable governmental regulations.
Women -owned Business Enterprise (WBE): Any business enterprise which is at least
fifty-one percent (51%) owned by, or in the case of a publicly -owned business, at least
fifty-one percent (51 %) of the capital stock of which is owned by citizens or permanent
resident aliens who are women, regard less of race or ethnicity, and such ownership
interest is real, substantial and continuing. Women business owners must have and exercise
the authority to independently control the business decisions of the entity. The enterprise
must also be authorized to do business in State of Florida, be independently owned and
operated and not be dominant in its field. Women -Owned Business Enterprises are certified
as such through the State of Florida.
II: General Procurement Guidelines
1. Contract Administration System
The County maintains a Contract administration system to ensure that Contractors
perform in accordance with the terms, conditions, and specifications of their Contracts,
including purchase order Contracts.
2. Approvals and Responsibilities
The attached St. Lucie County Summary of Contract Award Procedures specifies the Contract
authorization and signature authority required for various Contracts.
Staff responsibilities are as follows:
7
Purchasinp, Manager
• Responsible for the development and implementation of procurement policies and
procedures.
• Coordination of all procurement activities including goods and services and procurement
files.
• Ensuring that all purchases made by St. Lucie County Board of County Commissioners
comply with all applicable state, federal and local laws and regulations.
• Placing all required advertisements for bids by St. Lucie County Board of County
Commissioners, conducting bid openings and performing cost and product comparisons to
ensure purchases are made in a timely fashion to ensure efficient work processes.
Transit Manager
• Responsible for the development and implementation of procurement policies and
procedures specific to the transit program.
• Ensuring that all purchases comply with all applicable state, federal and local laws and
regulations.
• Placing all required advertisements, conducting bid openings and performing cost and
product comparisons to ensure purchases are made in a timely fashion to ensure efficient work
processes.
MWBE Coordinator:
Serving as the Disadvantaged Business Enterprise Officer (DBE) and Minority and
Woman -owned Business (MWBE) officer, and reporting directly to the County
Administrator on all matters related to DBE and MWBE. (Including verification of
D/M/WBE subcontracting reporting requirements.)
3. Ensurine Most Efficient and Economic Purchase
All purchase requests shall be reviewed by the Transit Manager, the Community
Services Director and the Purchasing Manager to avoid purchase of unnecessary or
duplicative items. Consideration shall be given to consolidating or breaking out procurements
to obtain a more economical purchase. In the case of property, consideration will also be
given to lease versus purchase of the property to determine the more economical
alternative.
4. Intergovernmental Procurement Agreements
To foster the greater economy and efficiency, the County may enter into State and local
intergovernmental agreements as allowable by law for the procurement or use of
common goods and services. The requirements and standards of this document apply
equally to procurements entered into under such agreements.
5. Awards to Responsible Contractors
The County shall make awards only to responsible Contractors possessing the ability to
perform successfully under the terms and conditions of a proposed procurement. In making
a responsible Contractor determination, consideration shall be given to such matters as
Contractor integrity, compliance with public policy, record of past performance and
8
financial and technical resources. Responsibility differs from responsiveness in that
responsibility generally applies to the offeror. Responsive appl ies to the bid submission and
its conformance with the specifications or requirements of the solicitation document.
6. Written Record of Procurement History
A properly documented procurement file should be a complete record of procurement
actions and should fully support the successful Contractor's bid price. It provides a
complete background as a basis for informed decisions at each step in the acquisition
process. A well-documented file also supports actions taken, provides information for
reviews and investigations and furnishes essential facts in the event of litigation or
legislative inquiries. If the procurement action is the result of a Contract amendment or
exercise of an option, sufficient data should be included to fully support the basis for
the price and procurement action. The County shall maintain records detailing the history
of all procurements using the attached Procurement Checklist as a guide for all
documentation to include in the history.
7. Settlement of Contract I ue /Di Butes
In accordance with good administrative practice and sound business judgment, the
C o u n t y will be responsible for the settlement of all Contractual and administrative issues
arising out of procurements. These issues include, but are not limited to, source evaluation,
protests, disputes and claims. These standards do not relieve the County of any Contractual
responsibility under its Contracts. Violations of the law will be referred to the State or
Federal authority having proper jurisdiction.
8. Contract Period of Performance
The County shall not enter into any Contract for rolling stock or replacement parts with a
period of performance exceeding five (5) years inclusive of options.
All other types of Contracts (supply, service, leases of real property, revenue and
construction, etc.) shall be based on sound business judgment. The County will be
judicious in establishing and extending Contract terms no longer than minimally
necessary to accomplish the purpose of the Contract. Additional factors to be
considered include competition, pricing, fairness and public perception. Once a Contract
has been awarded, an extension of the Contract term length that amounts to an out of scope
change will require a sole sourcejustification.
9. Independent Cost Estimates_
The County Transit Division shall perform an Independent Cost Estimate (ICE) using the
attached ICE form for every procurement before receiving bids or proposals. An ICE
is an estimate of the proper price level or the value of the supplies or services being
purchased. This estimate can be used in determining the reasonableness of the actual
price offered.
In some cases, obtaining cost estimates may be difficult or may lie outside the
competence of the transit staff. In the case of construction projects, a design or
engineering firm may already be under Contract and may perform this service.
Equipment estimates can often be prepared from published price lists or from past
competitive procurements updated with inflation factors. In the case of specialized
equipment, care must be taken that the source of the estimates is not disproportionately
9
obtained from one supplier.
Professional services often range widely in both price and quality. It may be worth
obtaining a professional cost estimate by a firm not interested in the final procurement.
In the case of facility design services, industry standards to estimate design as a percent of
construction are available. Other transit authorities are also a valuable source of cost
estimating information if they have undertaken similar projects.
10. Contract Cost and Price Analysis
A Cost or Price Analysis is a determination that the cost or price offered by a Contractor is
reasonable, given current market conditions. The purpose of Cost or Price Analysis is to
ensure that the County does not pay unreasonably high prices. A Cost or Price Analysis
must be performed in connection with every procurement. The method and degree of
analysis is dependent on facts surrounding the particular procurement situation. Prices that
are unreasonably low can also be detrimental to good procurement if they prove to be an
indication that the offeror has made a mistake or misunderstood the work to be performed. All
procurement files shall contain minimum documentation that the offered price is fair and
reasonable.
11. Federal Cost Principles
Costs or prices based on estimated costs for Contracts under grants will be allowable only
to the extent that costs incurred or cost estimates included in negotiated prices are
consistent with Federal Cost Principles. The County shall use Federal Cost Principles to
determine allowable costs for all federally funded cost- reimbursement type Contracts.
12. Cost Plus Percentage of Cost
The cost plus a percentage of cost and percentage of construction cost methods of
Contracting shall not be used by the County.
13. Procurement with State and Federal Funds
In all cases where procurements are made by with state and/or Federal funds and are
conditioned upon, or subject to, laws or regulations for purchasing, the County shall
observe such laws and/or regulations. This shall apply to all matters, including bidding;
advertising for bids, reviewing bids, awarding Contracts, monitoring awarded Contracts and
reporting awarded Contracts.
14. Full and Open Competition
All procurement transactions above the micro -purchase level, as defined in Section I of
this manual, will be conducted in a manner that provides maximum open and free
competition. The following are considered to be restrictive of competition and may not be
used in any solicitation:
Excessive Qualifications: Imposing unreasonable business requirements for bidders or
offerors.
Unnecessary Experience: Imposing unnecessary experience requirements for bidders
and offerors
Improper Prequalification: Using prequalification procedures that conflict with the
prequalification standards described in Section 11. 16.
Brand Name Only: Specifying only a "brand name" product without listing its salient
characteristics and not allowing "an equal" product to be offered. Brand names are among
the most restrictive types of specification.
Restraint of Trade: Non-competitive practices between firms or affiliated companies;
Retainer Contract: Noncompetitive awards to any person or firm on retainer Contract if
that award is not for the property or services specified for delivery under the retainer
Contract.
Organizational Conflicts of Interest: An organizational conflict of interest
means that because of other activities, relationships, or Contracts, a Contractor is
unable, or potentially unable, to render impartial assistance or advice; a Contractor's
objectivity in performing the Contract work is or m i g h t be otherwise impaired; or a
Contractor has an unfair competitive advantage;
Arbitrary Action: Taking any arbitrary action in the procurement process, such as awarding
to other than the most favorable Contractor is prohibited by the County.
Excessive Bonding: Imposing unreasonable restrictive bonding requirements on bidders and
offerors in excess of FTA and state requirements.
Improper Sole Source: Negotiation without proper justification.
15. Geographic Preferences:
The County shall not use statutorily or administratively imposed in state or local
geographical preferences in the evaluation of bids or proposals, except in those cases
where applicable Federal statutes expressly mandate or encourage geographic preference.
This requirement does not preempt State licensing laws.
16. Prepualification Criteria:
The County does not currently pre -qualify products or persons prior to solicitation.
However, in the event that pre -qualification becomes necessary in the future, The County
will ensure that all lists of pre -qualified persons, firms, or products that are used in
acquiring goods and services are current and include no less than three (3) sources to
ensure maximum full and open competition. As such, pre -qualification lists must contain
a date as to when the list was last updated and a signature of the person who updated it.
The County will not use pre -qualification lists that are over one (1) year in age and do not
contain at least three persons, firms, or products. In addition, the County will not
preclude potential bidders from qualifying during the solicitation period. This period is
defined as the period from issuance of the solicitation to its closing date.
17. Written Procurement Selection Procedures:
The County shall use written selection procedures for procurement transactions as follows:
Solicitations shall include a clear and accurate description of the technical requirements
for the material, product or service to be procured. Such description shall not contain
features that u nd my restrict competition. The description may include a statement of the
qualitative nature of the material, product or service to be procured and when necessary,
shall set forth those minimum essential characteristics and standards to which it must
conform if it is to satisfy its intended use.
18.Reguest for Deviation from Specifications:
Specifications for goods and/or services shall be written clearly and concisely to
minimize ambiguity and to ensure that the County receives the goods and/or services that
are ideally suited for its needs. Where appropriate, provisions should be made in the
specifications to allow bidders to seek deviations from the specifications. The purchaser
and user should consider all such requests and approve those requests that enhance
flexibility in bidding without sacrificing the quality or integrity of the goods and/or
services being procured.
All requests for deviations that are submitted, accompanied by the County responses, shall
be shared with all potential bidders. Such documentation shall be provided to all bidders
prior to bid opening. All requested deviations from these specifications will be responded
to, in writing, in one ofthe following manners:
a. Approved as an equal; or,
b. Rejected.
The County will respond in writing to all requests no later than five (5) calendar days
prior to bid opening. All requests and the County responses thereto, will be furnished to
all prospective bidders and become addenda to these specifications.
19. Written Addenda:
The County reserves the right to issue clarifying information regarding the content of a
procurement document should the County, in its sole judgment, determine it is necessary
to do so.
20. Written Protest Procedures:
The County shall include the attached written protest procedures in its solicitations to
hand le and resolve disputes relating to their procurements. The County shall disclose
information regarding all protests to FTA. All protest decisions must be in writing. It is
understood that reviews of protests by FTA will be limited to t h e C o u n t y 's failure
to review a complaint or protest, failure to comply with the established protest
procedures, or violations of Federal law or regulation.
An appeal to FTA must be received by the cognizant FTA regional or Headqualters
Office within five (5) working days of the date the protester learned or should have
learned of an adverse decision by the grantee or other basis of appeal to FTA.
21. Options:
An Option is a unilateral right in a Contract by which, for a specified time, the County may
elect to purchase additional equipment, supplies, or services called for by the original
Contract, or may elect to extend the term of the original Contract. If the County elects
to use Options, the following requirements apply:
Evaluation of Options: The option quantities or periods contained in the Contractor's
bid or offer must be evaluated to determine Contract award. When options have not
been evaluated as part of the award, the exercise of such options will be considered a
Sole Source procurement. (To be eligible for Federal funding, options must be evaluated
as part of the price evaluation of offers, or must be treated as Sole Source awards)
Exercise of Options: The exercise of an Option must be in accordance with the terms
12
and conditions of the Option stated in the initial Contract awarded. An Option may not
be exercised unless it is determined that the option price is better than prices available in
the market or that the Option is the more advantageous offer at the time the Option is
exercised. The Option price must be determined to be fair and reasonable, and a written
justification of this determination must be included in the procurement file.
22.Disadvantap-ed/Minority/Women-Owned Business Enterprise:
It is the desire of the County to promote and assist participation by D/M/W B/E's, and to
facilitate a fair share of the award i ng of Contracts thereto.
The County DBE Liaison Officer shall maintain a list of DBE entities certified to perform
public work, supply items for purchase Contracts, or perform personal or professional
services of a kind and nature that may be needed by the County.
The County will, on a routine basis, notify all Vendors, Contractors, Consultants or other
firms with which it does business, that it will affirmatively insure that DBEs will be
afforded full opportunity to submit bids, quotes or proposals in response to the County
solicitations. The County will comply with all applicable equal opportunity laws and
regulations.
23. Payments:
Advance Payments: the County shall not participate in Advance Payments to a Contractor
prior to the incurrence of costs by the Contractor unless prior written concurrence is
obtained from FTA or other appropriate funding provider. The County Contracts shall
not contain Advance Payment provisions, unless prior written concurrence is obtained from
FTA.
Progress Payments: Progress Payments may be used, provided the following requirements are
followed:
a. Progress Payments are made only to the Contractor for costs incurred (as opposed to
percent of completion) in the performance of the Contract, and
b. When Progress Payments are used, the County must obtai n adequate security
(materials, work in progress and finished goods) for which Progress Payments are made.
Adequate security for Progress Payments may include taking title, irrevocable letter of
credit or equivalent means to protect the County's interests in the Progress Payments.
c. Percent of Completion payments are used by the County in its large
construction Contracts.
Partial Payments: Can be made based upon specified deliverables as agreed to by the
County and Contractor.
Final Payment: Final payment is made to the Contractor when it has satisfied all the
deliverable requirements called for by all provisions of the Contract, including submission
of all required documentation. Final payment signifies that the performance obligations of
both parties to the Contract have been satisfied. Before making a final payment, the Project
Manager shall obtain a signed release from the Contractor releasing the County from any
further claims by the Contractor. The Project Manager shall also obtain a signed receiving
and inspection receipt from the Community Services Director certifying that all deliverable
items have been received, inspected and accepted as being in conformance with the
13
Contract specifications.
24. Emergency Procurements:
From time to time, emergency situations may arise which require that a procurement
be made without following normal purchasing procedures. Emergency situations should be
restricted to those times when delay in completing the procurement could result in
jeopardy to persons or property. In addition, the situation leading to the emergency
should be one that could not be normally anticipated. If an emergency situation occurs, it
must be documented and this documentation must be attached to the purchase order or
placed in the procurement file. The procurement must be approved by the Purchasing
Manager.
Emergency procurements shall, to the extent that time permits, follow regular
procurement guidelines concerning the solicitation of quotes and the approval of the
procurements. A written memorandum justifying the emergency nature of the
procurement shall be maintained in the procurement file. In all cases of emergency
purchases, solicitations should be requested from as many potential sources as is
practicable under the circumstance. If soliciting from only one source a Sole Source
justification in writing must accompany the procurement documentation. A Cost /Price
Analysis must also be prepared.
25. Bonding Requirements:
To insure the adequate and expeditious provision of goods, equipment and/or services
procured by the County, Bid or Performance Bonds may be required where appropriate,
or as stipulated by state or Federal law. Final payment, however, will be withheld from a
vendor until the C o m m u n i t y S e r v i c e s Director certifies as to the successful and
total completion of the goods, equipment and/or services procured.
All construction Contracts in excess of $50,000 shall require a 5% bid guarantee; a
Performance Bond or certified check or other guaranteed negotiable instrument or letter of
cred it for 100 % of the Contract price in a form acceptable to the County guaranteei ng the
Contractor's faithful performance of all terms under such Contract; Payment Bonds (in
the amount of 50% on Contracts under $1 million, 40% on Contracts between $1-$5
million, or $2.5 million on Contracts over $5 million). Performance security is not
mandated for product Contracts.
In instances where a Performance Bond is offered, the Bond shall be in the amount of the
Contract and issued by a duly incorporated entity authorized to guarantee the faithful
performance of Contracts and to do business in the State of North Carolina as a surety.
Letter of Credit: A Letter of Credit used as bid or performance security must:
a. Be an irrevocable Letter of Credit issued by a bank or financial institution of A -
rating or better,
b. Be signed by an authorized representative of the issuing institution, and
c. Name the County as beneficiary, and be in a form otherwise acceptable to the
County.
The Letter of Credit must state that an amount representing at least ten percent (10%) of the
bid price is available to be drawn on, unconditionally, by the County under the expressed
1E
terms and conditions. These terms and conditions, including the location at which the
County can draw the funds, an effective date and an expiration date, should be clearly
stated in the letter of credit.
26. Insurance•
Each Contractor/Vendor shall maintain the appropriate kinds and limits of insurance
as imposed by law or the Contract upon him with respect to all work and operations
performed under the Contract by the Contractor/Vendor and each of their
subcontractors.
Each policy shall list out the County and their members, officers, agents, servants, and
employees; and other substituted or additional agents the County may hire as the additional
insured.
27. Promnt Payment Policy:
It is the policy of the County to make payment of a debt due and owing by t h e C o u n t y
before interest accrues thereon pursuant to the terms of any Contract established in
accordance with the guidelines contained in this manual.
411111114111Y111
The County is a grantee of the FTA. As a recipient of FTA funds, t h e C o u n t y is
required to comply with the Buy America requirements specified in 49 CFR Part 661, which
state that, except in certain enumerated situations, no funds may be obligated by the FTA
for a grantee project unless all iron, steel and/or manufactured items used in the project are
produced in the United States. The "Buy America" requirements apply to Construction
Contracts and Acquisition of Goods or Rolling Stock. Currently, there is no dollar
threshold in the FTA regulations, thus "Buy America" provisions apply to all Contracts, both
operating and capital, regardless of the dollar amount involving Federal funds.
However, FTA has established a general waiver for inclusion of this provision in small
purchase procurements (defined by Federal Regulations as less than $100,000).
The "Buy America" requirements state that:
a. The County shall adhere to the "Buy America" clause set forth in its grant Contract
with the FTA.
b. The County shall include in its bid specification for procurement an appropriate notice
of the "Buy America" provisions; such specifications to require, as a condition of
responsiveness, that the bidder submit with its bid a completed "Buy America" certificate.
c. Whether or not a bidder certifies that it will comply with the applicable requirement, such
bidder is bound by its original certification and is not permitted to change its certification
after bid opening. A bidder that certifies that it will comply with the applicable "Buy
America" requirements is not eligible for a waiver of those requirements.
The following statement is contained in the County's grant Contracts with FTA:
"Sections 165(a) and (b) of the Surface Transportation Assistance Act of 1982, as amended,
require that Federal funds shall not be appropriated or utilized for any Contract awarded
unless all iron, steel and manufactured products used in FTA -funded projects are produced
in the United States; however, these general requirements may be waived by the
Admi nistrator of the FTA or his/her designee if the Administrator finds:
15
1. That the application of such general requirements would be inconsistent with the public
interest;
2. That the materials for which a waiver is requested are not produced in the United States in
sufficient and reasonably available quantities and of a satisfactory quality;
3. That the inclusion of a domestic item or domestic material will increase the cost of the
Contract between the grantee and its supplier of that item or material by more than twenty-
five percent (25 %).
The Administrator will grant this "price differential" waiver if the amount of the lowest
responsive and responsible bid offering the item or material that is not produced in the
United States multiplied by 1.25 is less than the amount of the lowest responsive and
responsible bid offering the item or material produced in the United States; or
With regard to the procurement of buses and other rolling stock (including train control,
communication and traction power equipment) under the Urban Mass transportation Act of
1964, that (1) the cost of components produced in the United States is more than sixty
percent (60%) of the cost of all components, and (2) final assembly takes place in the United
States.
A Certificate of Compliance with Section 165(a), whereby the bidder certifies compliance
with the requirements of Section 165(a) of the Surface TranspOliation Assistance Act of
1982, as amended, and the applicable regulations contained in 49 C.F.R. Part 661, shall be
completed for all federally- assisted procurements of steel, iron, or manufactured products. A
Celificate of Compliance with Section 165(b)(3), whereby the bidder certifies compliance
with the requirements of Section 165(b)(3) of the Surface Transportation Assistance Act of
1982, as amended, and the applicable regulations contained in 49 C.F.R. Part 661, shall be
completed for all federally -assisted procurements of buses, other rolling stock and associated
equipment."
27. LLi uidated Damages:
When liquidated damages are included as a potential remedy in any solicitation there must be
a reasonable expectation that damages will be suffered through a delay in the Contract
completion. The method of assessment for damages will be established within the
solicitation, along with the calculation and rationale to be used in establishing damages. For
Federally funded Contracts, any damages recovered must be credited to the project involved
unless FTA permits otherwise.
28. Construction Pro jects-Design-Bid-Build Method:
Definition — Procurement method for construction projects requiring separate
Contracts for design services and for construction services.
Desian Services — For design services, the County must use qua] ifications- based
procurement procedures in compliance with applicable Federal and State law and
regulation.
Construction — Depending on the estimated dollar value of the construction
Contract, the County must use either the sealed bid method of procurement or small
purchase procedures to procure construction services.
E
29. Construction Proiects- Design -Build Method:
Definition – Procurement method consisting of Contracting for design and
construction simultaneously with Contract award to a single Contractor, consortium,
joint venture, team or partnership that will be responsible for both the project's design and
construction.
Procurement Method Determined by Value – Because both design and construct ion are
included in a single procurement, the County must use the procurement method
appropriate for the services having the County best cost for the entire procurement,
even though other necessary services would not typically be procured by that method. If
construction costs are predominant then the County must use the sealed bid method of
procurement to select the Contractor. If design costs are predominant then the County
must use qualifications -based procurement procedures to select the Contractor.
Selection Processes —The County may structure the design -build procurement using a
single step or two-step method.
30. Revenue Contracts:
A Revenue Contract is a Contract in which the County provides access to public
transportation assets for the primary purpose of either producing revenues in connection
with an activity related to public transportation, or creating business opportunities with the
use of PTA assisted property. While there is some latitude in determining the extent and
type of competition appropriate for a particular revenue Contract, The County, so as to
insure fair and equal access to FTA assisted property and to maximize revenue derived from
such property, conducts its revenue contracting as follows:
a. Limited Contract Opportunities: If there are several potential competitors for a limited
opportunity (such as advertising space on the side of a bus), then the County should us
a competitive process to permit interested parties an equal chance to obtain that limited
opportunity.
b. Open Contracting Opportunities: If one party seeks access to a public transportation
asset, and the County is willing and able to provide Contracts or licenses to other parties
similarly situated, then competition would not be necessary because the opportunity to
obtain Contracts or licenses is open to all similar parties.
31. Pitzgybackiniz:
While, with certain conditions, the FTA permits the County to use existing Contract
rights held by another recipient commonly called "piggybacking" as a method of
procurement for FTA funded projects.
Violation or Breach of Contract Terms:
Third party Contracts exceeding $50,000 must include administrative, contractual, or legal
remedies for violations or breach of the Contract by the third party Contractor.
32. Termination:
Termination for cause and termination for convenience provisions must be included in
Contracts exceed i ng $10,000.
17
33.Chan2e Order Procedure:
Change Order means an order authorized by the County directing the Contractor to make
changes, pursuant to Contract provisions for such changes, with or without the consent of
the Contractor ("change orders" must be within the scope of the original competition). A
Change Order must be signed and approved by the County officer or employee
who signed the original Contract on behalf of the County.
A Change Order must have an Independent Cost Estimate (ICE) that supports the price
provided and must be included with the requisition requesting the change. The
Contracts Coordinator must receive a requisition for a change order with the
proper authorizations and the ICE must be attached. A Change Order must have a Cost or
Price analysis performed to determine that the change price is fair and reasonable. Any
Change Order exceeding the maximum Contract amount originally approved by Board of
County Commissioners must be approved by Board of County Commissioners,
The Contract must be evaluated to determine if the change in Contract amount has raised
the total Contract threshold so that additional clauses or certifications are required (i.e., Buy
America, Lobbying, etc.).
Cardinal Change Order: A Contract change which is outside the scope of the original
contact, and thus not within the authority of the changes clause. Such changes are
"Sole Source Procurements" and must be processed accordingly.
In all cases, Federal Transit Administration circular 4220.1 F (or the most current version)
Third Party Contracting Guidelines must be followed. The Best Practices Procurement
Manual can be referenced for additional information.
n9FT-WaffffI1 I1 I1�. 1V in,111�
Consistent with the County ethics rules, the County staff engaged in the procurement process
shall ensure that the procurement process operates free of conflicts of interest, undue
influence, and with qualified Contractors in compliance with federal and state law.
Restrictive Period: The Restrictive Period commences when the County issues its first written
document soliciting a response from Offerors through the Contract award and approval.
Designated Contact: The Purchasing Manager is designated as the person who may be
contacted during the Restrictive Period by Offerors where such contact is intended to
influence a procurement. However, the Purchasing Manager may from ti me to time designate
another person as the designated contact for Procurements as he/she may deem necessary.
Impermissible Contact: Contact which is reasonably interpreted as an attempt to
influence a procurement, made to someone other than the designated contact person for
procurements during the restrictive period. A permissible contact is a contact made to
anyone, where such contact is not reasonably interpreted as an attempt to influence the
procurement or, a contact that is intended to influence that is made to the designated contact
person for procurements, or a contact that is intended to influence the procurement made to
anyone outside of the restrictive period.
Attached to this manual is the St. Lucie County Code of Ethics statement dated XX XX.
Failure to comply with this Code of Ethics will result in disciplinary action in accordance
with the County's Employee Handbook. Such discipline will be appropriate for the
specific violation and can include discharge, even for the first offense.
18
Section III -Detailed FTA Funded Procurement Guidelines
When an FTA funded purchase is initiated by the County, it will fall into one of the
following three procurement categories:
Micro -Purchases: purchases resulting in cost to the County under $3,000.
Small Purchases: purchases resulting in cost to the County from $3,000 to $50,000.
Large Purchases: purchases resulting in an aggregate cost to t h e C o u n t y g r e a t e r
than $50,000.
Micro Purchases:
Micro purchases are those costing $3000.00 or less. Davis Bacon requirements apply to
construction contracts exceeding $2,000, and it is impermissible to divide or reduce the
size of a purchase simply to come within the micro purchase limit. While not an absolute
requirement, it remains advisable to obtain competitive quotations from at least two
sources if at all possible, and it is therefore necessary to develop a basic specification
of what is being purchased so that potential vendors are able to provide quotations on
the same product. In almost all cases, this task can be performed by the transit
program staff. In the few cases where the basic specification exceeds the technical
expertise of the transit program staff, assistance from others within the County who
possess the needed expertise is to be obtained by the transit program staff.
Once the basic specification is developed, a purchase requisition is to be entered into
the County's purchasing system by the transit program staff. This requisition is to
include a copy of the basic specification, the independent cost estimate (ICE), and any
quotations or prices that were obtained. The County's Purchasing Division is then to
issue a purchase order to the vendor (with a copy to the transit program staff)
submitting the lowest quotation as long as there is a determination that I ) the bidder is
responsible, 2) the price is fair and reasonable, and 3) that the price does not exceed the
ICE by ten percent. If any of these conditions are not met, the process must start over
with the development of new ICE.
A price analysis (PA) is to be conducted to determine if a price is fair and reasonable.
In order of preference, the accepted forms of a PA are:
a. Adequate price competition
b. Prices set by law or regulation
c. Established catalog prices and market prices
d. Comparison to previous purchases
e. Comparison to a valid ICE
f. Value ana lysis
The PA is to be performed and documented by the Community Services Department with a
hardcopy being placed into the corresponding procurement file. In most cases, an adequate
price competition determination should be used contingent upon there being at least two (2)
responsible bidders submitting independent bids and that they both satisfy all of the
requirements of the solicitation such as being responsive to and meeting the technical
19
requirements for the price bid, and the submission of all forms and certifications required by
the solicitation.
In some cases, such as for utilities, prices are set by law or regulation and they are considered
fair and reasonable. All that is needed for the PA is a copy of the rate schedules set by the
applicable law or regulation. Once these schedules are obtained, it should be verified that
they apply and that the correct price is being charged.
Established catalog prices may be used for the PA assuming that: I ) catalog prices exist in a
published catalog; 2) the items are commercial in nature; 3) the items are sold in substantial
quantities; and 4) the items are sold to the general public.
Established market prices may be used for the PA assuming that the market price is a current
price established in the usual or ordinary course of business between buyers and sellers
free to bargain. These prices must be verified by consulting with buyers and sellers who are
independent of the bidder.
Comparison to previous purchases may be used for the PA. However, changes in quantity,
quality, delivery schedules, and the economy cause price variations so each differing
situation must be analyzed through trend analysis. Also, the Community Services
D e p a r t m e n t must ensure that the previous price was fair and reasonable. This
determination must be based upon a physical review of the documentation contained in the
previous files.
Comparison to the ICE may be used for the PA so long as the facts, assumptions, and
judgments used to develop the ICE are verified and that the ICE still represents a sound
estimate for determining if the price is fair and reasonable.
Value analysis may be used for the PA. This requires examining the item and the
function it performs so that its w01 ih can be determined. The decision of price
reasonableness remains with the Community Services Department.
Small Purchases:
Small purchases are those costing $3001.00 to $50,000.00. It is the transit program staff
s responsibility to review these requirements and assemble in written form all of the
provisions, certifications, reports, and forms necessary for the contemplated procurement.
As with micro purchases, small purchases require an ICE and a MOP as well as the
specification for whatever is being purchased. Depending on the specific good or service
being purchased this specification may be the same as the basic specification included
in micro purchases, but is likely to be more comprehensive. The specifications must
include a clear description of the technical requirements. They must be non-restrictive.
And they may include minimum quality standards and performance specifications, but
not product specifications.
The Community Service Department s h a l I issue a request for written quotes. As
determined by the transit program staff, there may or may not be a pre -proposal
conference depending on the complexity of the procurement. In the absence of such a
conference (as would occur with such a conference), all prospective vendors are to be
provided an opportunity to submit clarifying questions about the procurement and to
have an opportunity to review the answers to such questions prior to submission of the bids
or proposals.
20
The next step in the process is to conduct a PA as described above. However, a Cost
Analysis (CA) must be performed for procurements requiring the offeror to submit
estimates for labor hours, overhead, and materials; procurements where adequate price
competition is lacking; and sole source procurements unless price reasonableness can be
established based on market analysis.
Cost Analysis, as distinguished from price analysis, is the process of: I ) obtaining cost or
pricing data (a breakdown of costs) from prospective contractors or subcontractors; 2)
verifying and evaluating the accuracy and allow ability of cost data; and 3) projecting cost
data from known to estimated costs to show the effect on overall prices. In the event of a
CA, the County's Community Services Department should obtain from the vendors: 1) actual
costs previously incurred; 2) the most recent cost estimate for the same or similar items or
with a series of prior estimates; 3) current cost estimates from other possible sources
providing the same or similar product or service; and 4) independent forecasts of future costs.
This information is then to analyzed, which should result in a determination of a fair and
reasonable price or serve as a basis for negations. The analysis to include a technical
evaluation conducted by qualified individuals other than the transit program staff and an audit
review by the C o u n t y' s Finance Department of the accounting records submitted by the
bidders. The CA is then to be documented and a hardcopy placed in the corresponding
procurement file.
Large Purchases:
Large purchases are those costing $50,000.01 or more. It is the transit program staff s
responsibility to review these requirements and assemble in written form all of the provisions,
certifications, reports, and forms necessary for the contemplated procurement. All of this
documentation is to be provided to the County's Purchasing Division by the transit program
staff
As with micro and small purchases, large purchases require an ICE and a MOP as well as
the specification for whatever is being purchased. Depending on the specific good or service
being purchased this specification may be the same as the basic specification included in
small purchases, but is likely to be more comprehensive. The specifications must include a
clear description of the technical requirements. They must be non-restrictive and they may
include minimum quality standards and performance specifications, but not product
specifications.
The County's Purchasing Division shall issue a formal request for bids or proposals,
whichever is the case. With very few exceptions, there should then be a pre-bid /pre
proposal conference at which ti me all prospective vendors are to be provided an opportunity to
submit clarifying questions about the procurement and to have an opportunity to review
the answers to such questions prior to submissionofthebids orproposals.
The next step in the process is to conduct a PA and/or a CA as descri bed above. An agenda item
for Board's consideration is then to be prepared. This is to be done by the Community Services
Department. It is to incl ude the reason for contractor selection or rejection and a
responsibility determination for the successful contractor. including verification that the
successful contractor is not barred by the System Award Management system (http://www.sam
.gov. Only upon approval by the Board does a contract exist for the purchase of the product
21
or service. All suchdocumentation is to be placed in the correspond ingprocurement file.
Sealed Bid/Invitation for Bids (IFB) Method of Procurement
Th is method of procurement is the preferred method for small and large acquisitions when
one or more ofthe following factors are present:
• A complete, realistic, and exact specification or purchase description is available;
• Two or more responsible bidders are willing and able to compete effectively forthe business;
• The procurement lends itself to a firm, fixed-price Contract, and the selection of the
successful bidder can be made on the basis of lowest price among responsive bids and
responsible bidders;
• No discussion with bidders is needed either before or after bid submission.
Bidding Requirements:
Publication of an IFB is required for all large acquisitions. Both the Invitation for Bids and
bids are required to be in writing. Bid bonds may be required. Multiple bids/proposals must be
obtained from an adequate number ofqualified sources (at least two).
Bids:
Written bids required. Sealed bids are to be identified as bids by the bidder and will be retained,
unopened, until the date and time designated for bid opening. At least two (2) responsive
bids/proposals must be obtained. Sealed bid opening shall be public where the Purchasing
Manager shall read the bids aloud and prepare a bid summary and certify results. Early
opening or disclosure of bids before the deadline is expressly forbidden because it would
compromise the competitive process. In the event that such information is disclosed, the
procurement process will be re-initiated. As a general rule, bidding time (time from bid
release to bid opening) will not be less than fifteen (15) calendar days in order to allow
sufficient time to prepare bids prior to bid opening.
Contract Specifications/Statement of Work:
Specifications defining the items or services sought shall be outlined in detail. The
specifications must be complete, adequate and realistic. Specifications must not only
describe the product, but must also include reliability and quality assurance requirements. Any
required criteria for inspecting, testing and accepting the product shall also be included
in the specification. The nature and extent of items and/or services requested will be limited
to only that deemed necessary to meet the needs of the user department. Specifications will
encourage full and open competition, and must not rule out one or more vendors or favor a
particular vendor. Therefore, use of brand names in specifications is allowed solely for the
purpose of providing a standard for quality performance. When requesting a "brand name or
equal" the County shall carefully identify its minimum needs and clearly set forth those
salient physical and functional characteristics of the brand name product in the solicitation.
Price Competition:
Assuring adequate price competition for various types of Contracts is accomplished as follows:
a. Construction and Maintenance: Multiple written bids/proposals are required. Bids must
come from responsible bidders and be responsive. State and federal provisions apply and the
insurance requirements are stringent.
22
b. Goods and Commodities: Multiple bids/proposals are required for these purchases. Bids
must come from responsible/responsive bidders. Bids must be submitted in the form and
manner prescribed in the IFB/RFP.
State and federal provisions apply and the insurance requirements are stringent.
c. Bus Purchase: Multiple written bids/proposals are required. Bids must come from
responsible/responsive bidders. Bids for buses must conform to requirements set forth in the
IFB/RFP except to the extent that they propose to furnish approved equals. At least two sealed
bids will be required.
d. Transportation and Operational Services: Procurements of this type are usually the
subject of an RFP because factors other than price will be considered as a basis for an
award.
e.Technolou: Multiple written bids/proposals are required. Bids must come from
responsible/responsive bidders. State and federal provisions apply and insurance requirements
are stringent.
f. Services and Consultants: Where selection is based exclusively on price, an IFB for
services requires multiple bids/quotes/proposals. Proposals must be in writing. The IFB
procedure may only be used for services and Consultants where the award will be exclusively
on the basis of price. For professional services, where award will be based on factors other
than price, the RFP procedures must be used. State and federal provisions apply and insurance
requirements are stringent.
Pre-Bid Conference: When the proposed Contract is for large purchases or construction, a
pre-bid conference may be held about two (2) weeks before the bid opening. This is an
opportunity for prospective bidders to ask questions about plans, specifications, and
commercial language requirements.
Addenda: Changes in the procurement as a result of the pre-bid conference or that are
initiated at the discretion of the County will be provided to all prospective bidders in the form
of Addenda.
Bid Opening: Bid openings are open to the public. On the advertised day and at the
scheduled time, the bids will be opened and read aloud, stating the name of the bidder and the
amount of the bid. The Purchasing Manager or his/her designee will enter each bid and the
amount of the bid deposit on a bid tabulation sheet that she will sign and certify. Bids that are
received after the scheduled time of bid opening must be returned to the bidders unopened.
Observers at the bid opening should be advised to take notes if they want an instant record of
the proceedings, and to state, if they want to be provided with an official copy of the bid
tabulation. No copies of the bid tabulation are provided at the bid opening, nor can
comments be made about the probability of award. If requested, an observer is permitted to
look at bid(s), but is not permitted to handle bids at the time of bid opening.
Contract Award: The following measures will be taken to support any Contract award in
response to an IFB.
a. After the bid opening, the Purchasing Manager and or Transit Manager reviews the bid
documents to determine the lowest Responsive and Responsible bidder. The Purchasing
Manager will determine the responsibility of the lowest bidder. The Purchasing Manager
will also review references and other pertinent information to ensure bidder responsibility.
23
b. Non -Responsive and Non -Responsible bids shall be rejected. Late bids shall be returned
to the bidder unopened. At all times, the County retains the right to reject any or all bids and
will document the sound business reasons for the bid rejection.
c. The low bidder may be allowed to withdraw, provided the bidder can identify and
demonstrate an error in the bid.
d. Award will be made by the authorized party as denoted in the S t . L u c i e
County Purchasing Manual incorporated herein by reference.
The apparent low bidder will be notified in writing of the intent to award, subject to the
bidder's ability to meet the requirements of the IFB including Contract requirements.
f. Contract awards based on a Contractor submitting a low bid shall be contingent on the
Vendor/Contractor submitting satisfactory evidence of financial responsibility. Such evidence
may take one of the following forms: audited financial statements and a Certificate of
Responsibility from the Contractor, a previous financial disclosure dating from no more than
six months prior to the IFB, combined with a certification from the Vendor/Contractor; a
completed Contractor Responsibility Questionnaire form and certification from the Contractor.
g. Before the Contractor can begin work, it must comply with the bid requirements by
completing, executing and returning the Contract that was included with the IFB.
h. After the Contract has been formally awarded by the County, signed and returned with all
necessary documentation (insurance certificates, performance bond) the Contractor is
notified by the Purchasing Manager and/or Transit Manager to s u b m i t the signed
agreement original(s) together with any commercial requirements. Notices to Proceed are
signed by the Project Manager or his/her designee.
Contractor Selection Procedures: In addition to determining bidder/proposer responsibility
when drafting procurement documents, the County shall consider the following criteria in
Contractor selection: 1) Is technically qualified to perform the proposed work; 2) Has, or can
secure adequate financial resources to perform the proposed work or deliver the proposed
goods; 3) Is able to comply with the delivery or performance schedule, taking into account
all existing business commitments; 4) Has a satisfactory record of past performance; 5) If
selected, would not result in a conflict of interest, with regard to other work performed by
the firm, or individual staff conflicts. Qualifications may include the length of time a firm has
been in business, the expertise and experience of staff and the bidder's experience with
projects of similar scope and size. Appropriate business references shall also be required.
Request for Proposals (RM/Competitive Neizotiations
Competitive Negotiation is generally used when conditions are not appropriate for use of
sealed bids. As costs become less important in relation to other factors driving the
procurement, Competitive Negotiation becomes a more appropriate procurement tool. In
Competitive Negotiation, proposals are requested from a number of sources. Negotiations are
normally conducted with more than one of the sources submitting offers. Either a Fixed -
Price or Cost Reimbursable type Contract is awarded in this type of procurement.
This method of procurement is the preferred method for acquisitions when one or more of the
following factors are present:
a. The desired goods or services cannot be precisely defined, described or standardized.
b. The desired end prod uct is conceptual in nature.
24
c. Discussions concerning the technical aspects and price negotiations are intended.
d. Offerors are to be given the opportunity to revise the price or technical aspects of their
proposal.
e. Price alone cannot be the determinative factor in award. Quality, qualifications,
performance data, or other Contractual factors are to be considered in selecting the most
advantageous offering.
f. Artistic or aesthetic values supersede price as primary selection criteria.
Proposal Requirements: Publication of an RFP is required for this method of procurement
Both the Request for Proposals and proposal are required to be in writing. All proposal
evaluation factors will be identified along with their relative importance. The County will
have a method in place for conducting the technical evaluation of the proposals received
and for selecting awardees.
Best Value: In determining which proposal is most advantageous, the County may award to
the proposer whose proposal offers the County best business value to the County based upon
an analysis of a tradeoff of qualitative technical factors and price/cost to derive the "best
value". If the County elects to use the best value selection method as the basis for award,
however, the solicitation must contain language that establishes that an award will be made on
a "best value" basis. If utilizing the best value method the County will take into
consideration the most beneficial combination of qualifications, services and cost and who
has met the requi rements of the RFP.
Preparation of Request for Proposals (RFP): The RFP document will be organized to
include: Information for proposers, Required Forms, including sufficient data to determine
the responsibility of the proposer, Required Contract Clauses, the Contract Agreement, and
scope of work or specifications.
Preparation of the scope of work or specifications, and any special terms and conditions is
the responsibility of the transit staff working in conjunction with the Purchasing Manager.
Specifications defining the items or services sought shall be outlined in detail. The
specifications must be complete, adequate and realistic. Specifications must not only describe
the product, but must also include reliability and quality assurance requirements. Any
required criteria for inspecting, testing and accepting the product shall also be included in
the specification. The nature and extent of items and/or services requested will be limited to
only that deemed necessary to meet the requirements of the intended purchase.
Specifications will encourage full and open competition, and must not rule out one or more
vendors or favor a particular vendor. Therefore, use of brand names in specifications is
allowed solely for the purpose of providing a standard for quality performance. When
requesting a "brand name or equal" the County shall carefully identify its minimum
needs and clearly set forth those salient physical and functional characteristics of the brand
name product in the solicitation.
uestions: Although questions from firms in a position to make a proposal are permissible,
ex parte conversations with Vendors/Contractors prior to the proposal being received should
be confined to the mechanics of filing a proposal. Any questions that raise issues about the
clarity of the RFP must be answered for all firms requesting the RFP through an addendum
(see IFB procedure). Changes in the procurement specifications or requirements will be
provided to all prospective proposers in the form of Addenda. Anyone making contact by or
25
on behalf of a Vendor/Contractor (lobbying or selling) is required to disclose to the County.
T h e C o u n t y staff members are required to make a record of all contacts by non -disclosed
lobbyists once an RFP has been undertaken.
Proposal Opening: Proposals must be in writing. Proposal openings are open to the
public. Multiple proposals must be obtained from an adequate number of qualified sources
(at least two). The evaluation process to be followed will be generally outlined in the RFP
document. Proposals that are received or submitted after the scheduled time due will be
returned to the proposers unopened. Non-responsive and non -responsible proposals shall be
rejected. In the event of protest the matter will be referred to the County Attorney for
investigation. The County Administrator shall resolve all protests and his/her decision shall be
final. Proposals must meet the following requirements:
a. Construction procurements based on an RFP will generally be limited to Design -Build
projects. Construction to a prescribed design (Design -Bid- Build) requires use of the IFB
procedure. Multiple written proposals are required for an RFP. For contracting purposes, state
and federal provisions apply and the insurance requirements are more or less stringent
depending on the value of the project and other relevant factors.
b. An RFP is generally not appropriate for generic items where price competition is
available. For specialty items, proposals must be submitted in the form and manner prescribed
in the RFP. Multiple written proposals are required or sole -source procedures must be
justified. State and federal provisions apply.
c. Proposals for buses must conform to the requirements set forth in the RFP and such
procurements will usually be more appropriate for an IFB. State and federal provisions
apply.
d. Multiple written proposals are required for Operational Services or the Sole- Source
procedures must be justified. State and federal provisions will apply. Contract forms have
been posted. Because of the nature of this work, there are stringent insurance requirements.
e. Technology: An RFP is generally not appropriate for generic items where price
competition i s available. For specialty items, like proprietary technology, proposals must be
submitted in the form and manner prescribed in the RFP. Multiple bids/proposals are
required for the product purchased, but this procedure is only appropriate for specialty items
where selection will be based upon factors besides price. Multiple written proposals are
required or the Sole -Source procedures must be justified. State and federal provisions apply.
e. Multiple proposals are required for Consultant services. Proposals must be in writing. The
RFP procedure may only be used for services and Consultants where the decision to award
will be based upon factors other than price. As provided by the Brooks Act, in procuring
architectural and engineering services, the award will be exclusively on the basis of factors
other than price. State and federal provisions apply and the insurance requirements may be
stringent depending on the type of work.
f. To comply with The Brooks Act, proposals will be evaluated in all areas except price.
Price will be provided in a separate sealed envelope. The County will then open the pricing
envelope for the most qualified offeror and begin to negotiate price. Failing agreement on
price, the County will begin negotiation with the next most qualified offeror until agreement
is reach on price that is fair and reasonable. If the County is unable to reach agreement
26
with any offeror, a new RFP must be issued. T h e C o u n t y may not reopen negotiations
with any offeror during the initial procurement process.
Post -Proposal Conference: When the proposed Contract is for large-scale purchase of goods
or services, a conference may be held before proposals are received. This is an opportunity
for prospective proposers to ask questions about the scope of work, specifications or other
commercial language requirements.
Negotiations: Contract negotiations are initiated with the proposer(s) identified to be within
the competitive range, or with the proposer(s) that have submitted the superior proposal(s).
Negotiations are conducted in accordance with guidelines stipulated in the RFP. When
negotiations and the price/cost analysis are completed, a Contract award recommendation is
presented to the proper authority for consideration. At all times the County retains the right to
reject any or all proposals.
Contractor Selection Procedures: In addition to determining bidder/proposer responsibility
when drafting procurement documents, The County shall consider the following criteria in
Contractor selection: 1) Is technically qualified to perform the proposed work; 2) Has, or can
secure adequate financial resources to perform the proposed work or deliver the proposed
goods; 3) Is able to comply with the delivery or performance schedule, taking into
account all existing business commitments; 4) Has a satisfactory record of past
performance; 5) If selected, would not result in a conflict of interest, with regard to other
work performed by the firm, or individual staff conflicts. Qualifications may include the
length of time a firm has been in business, the expertise and experience of staff and the
bidder's experience with projects of similar scope and size. Appropriate business references
shall also be required.
Contract Award: As negotiated, proposals may be rejected or a proposal may be withdrawn.
If an agreement beneficial to the County is negotiated, and terms accepted by both sides, a
Contract will be recommended for award. Award will be made in accordance with the St. Lucie
County Purchasing Manual that is attached, based upon the most superior final proposal from a
responsible firm. The Contract will be based on the form included in the RFP along with
all required state and federal provisions. Scope of the work, prices, rates and terms for
payment will be described in detail as negotiated by the parties. After the Contract has been
formally awarded by the County, signed and returned with all necessary documentation
(insurance certificates, performance bond, etc.), the Contractor is notified by the
Purchasing Manager and/or Transit Manager to submit the signed agreement original(s)
together with any commercial requirements (bonds, insurance certi ficates). Notices to
proceed are signed by the Project Manager or his/her designee. Before the Contractor can
begin work, it must sign the Contract and comply with the Contract requirements.
Sole or Single Source (Non -Competitive Negotiations)
Non -Competitive Negotiation involves procurement through solicitation of a proposal from a
Sole Source, or, after solicitation of a number of sources, competition is determined to be
inadequate. A Contract amendment or change order that is not within the scope of the
original Contract is considered a sole source procurement that must comply with this section.
Procurement by Non -Competitive Negotiation may be used only when procurement is
infeasible under other methods and at least one of the following circumstances applies:
• The item is only available from a single source;
27
• A public exigency or emergency exists whereby the urgency for the requirement will not
permit a delay resulting from competitive solicitation
• The FTA authorizes Non -Competitive Negotiation (for Federally -funded Contracts only)
• After solicitation of a number of sources, competition is determined to be inadequate
• Infeasible to use small purchase, sealed bid, or competitive procurement
• Cost and price analysis are required
28