HomeMy WebLinkAboutCOM 0582.003 2004-2006
Harry Kim a William Takaba
Mayor ~ Director
Nancy E. Crawford
i'• • Deputy Olrector
,'Oi ~M~~
County of Hawaii
Finance Department
25 Aupuni SlreeL Room 118 • Hilo, Hawaii 96720
(808)961-8234 • Fax (808)961-8248
January 17, 2006
The Honorable Stacy Higa, Chairman, and
Members of the Hawaii County Council
25 Aupuni Street
Hilo, Hawaii 96720
Subject: Solid Waste Reduction Facility Stage 1 RPP
Communications Protocol
Dear Chairman Higa and Council Members:
My letter to you on January 9, 2006 briefly explained the rationale for establishing the
Communications Protocol in the Request for Stage 1 Proposals that appears in Attachment C,
and summarized in Section 4.3.3 on page 20. This Communications Protocol states that potential
proposers are prohibited from contacting or communicating directly with elected officials
regarding this Project until the contract is awarded.
The same letter explained that the Protocol does not prevent public presentations by firms when
invited by the Council's Committee on Environmental Management, so the presentations
planned for January 19, 2006, are not in violation of the Protocol.
As mentioned in my letter, this Protocol was included to prevent a protest should there be an
appearance that any one cornpany, through its lobbying efforts with an elected official, received
information unavailable to others or had any influence on the final selection of the technology
and/or vendor.
To explain further, I asked our legal consultant, Rick Sapir, to provide us with further discussion
of its purpose. Enclosed is a copy of his response which includes examples of language from
other contracts he is familiar with. I am also enclosing an e-mail from Bobby Jean Leithead-
Todd, Deputy Corporation Counsel, pointing to similaz language used in other jurisdictions.
Subsequent to my letter being sent, however, I heard from members of the County Council who
believed the prohibition is unnecessary, and asked that it be rescinded from the Communications
Protocol. As mandated by the Council, we are committed to successfully execute a contract for
the construction of a waste reduction facility in the quickest timeframe possible. I hope the
attached information has provided you with a better understanding of the purpose of the Prot of
Comm. Na
Harunii County is an equnl o~yortitnity provider and employe~ef. TO:
Rrff. Late t
The Honorable Stacy Higa
and Members of the Hawaii County Council
Page 2
January 17, 2006
and why it was included in the Stage 1 RFP. We remain willing to answer any additional
questions you may have, and to work with you to address your concerns. We would like to
discuss this matter further when the Solid Waste Reduction Project RFP monthly reports are
discussed at the Environmental Management Committee meeting on January 19, 2006. Should
you have any further comments or questions before that time, please contact me. Thank you
very much.
l-,lf 6w ~ ~
William Taka a
Director
APPROVED:
Harry Kim
Mayor
Enclosures
DELAFIELD&WOODu_N
~''iONE .2Ri 6G0-9$00 S~WGI 4REE~ NFVV YORK
F~,%i?iRl'=~n -Mn ~E+ NFW TCRK. NY IJOO~ r: tiSHiNiT[~N
NhVVV_H. "W F I N4C'CJM N~VJ4F1~
r,PR1FGRt]
~J:: 4n OELES
..HC.RANEnV O
_.~n ru,aui~ s~o
MEMORANDUM
Tu: William "fakaba, Director, Department of Finance
Barbara Bell. Director, Department of Environmental Management
From: Rid< Sapir
Date: January 17, 2t~06
Re: Conunmricatiun Protocol
Communications protocols restricting or prohibiting communications between
participants in a procurement and the governmental unit procuring services are fairly routine in
procurement processes where the contract is awarded to the most advantageous proposer. rather
than the lowest responsible bidder, especially when the contract is of a significant value and is in
a sector that can be quite litigious.
D1ost public contracts in the United States ore procured on a lowest responsible
bidder basis. Conti acts awarded on such a basis leave virtually no room for discretion in the
award. The purpose of low bid/no discretion laws is to encourage a vigorous competition and to
avoid even the appearance of favoritism or corruption in the awarding of public contract.
For complex contracts such as the waste reduction facility design-build-operate
contract, it is generally recognized dial low bid contracting is of little value, and that
consideration of factors in addition to price, including, but not limited to, the nature of the
technology proposed, experience with the proposed technology, overall technical approach.
linancial strength and assumption of risk, permit the procuring entity to select the most
udvantageous proposal. I3ecause this type of procurement, by its very nature, allows for a certain
amount of subjectivity in the award, it is incumbent on the procuring entity to take measures to
assure that the purposes of all public contracting statutes are met - encourage a vigorous
competition and avoid the appear~uice of favoritism or corruption.
Restricting communications with the procuring governmental unit is one measure
Creyuently utilized. By restricting communications, perspective proposers are provided comfort
avi is9 i uzsavs vu;Ni
that the competition will be fair, and that its competitors are not currying favors, misinforming
the decision makers, or receiving information that is not available to all proposers. The more fair
and open the process is perceived, the more likely the County will have a vigorous competition
and receive the best proposals. Serious companies will elect to spend their business development
dollars, which for this project may be in the hundreds of thousands of dollars, only on projects
that are clearly based on a level playing field.
In addition, procurements that allow for some subjectivity in the selection/award
process may be more vulnerable to a legal challenge by a disgruntled losing proposer.
Procurement challenges could be disruptive, time consuming and costly. While a municipality
can never be assured that its process will ?ot be challenged, particularly in a sector (solid waste)
where challenges are not uncommon, the more steps which the County can take to demonstrate
that the process was fair and open smd without favoritism or corruption, the more likely its ability
u> withstand a legal challenge. Limiting communications in the manner set forth in the
Communications Protocol is one such step.
Finally, it is important that information regarding proposals be kept confidential
during the procurement process. The reasons for this are twofold -one business and one legal.
On the business side, if a proposer knows what another proposer is proposing, it can adjust its
proposal (e.g., raise its price to be higher than it initially planned, but lower than its known
competitor's price) in a manner that harms the County. From a legal standpoint, if a Count}
representative unintentionally divulges information regarding a proposal, that communication
may be the basis of a successtiil challenge to the procurement.
Thus. when any benefits of allowing unfettered communication with council
members or other representatives are weighed against the advantages of limiting
communications in a structured manner, most mcmicipalities undergoing similar procurements
have elected to include provisions similar to those set forth in the Communications Protocol
included in the Staae 1 RFP.
Enclosed, please find similar communication restrictions from similar solid waste.
water and wastewater procurements in other jurisdictions (i.e., New York City_ NY: Tacoma.
Washington; Phoenix, Arizona; San Diego, California; and Newport, Rhode Island).
We look forward to discussing the Communication Protocol and other
procurement issues with you and members of the Council during the week of February 28, ?006.
Of course, we are available to discuss any aspect of the procurement at your convenience.
Enclosure(s)
191189.1 028493 MEM
NYC Sofsd w. ~''r~i~+
3.0 RULES AND PROCEDURES
' I This section, sets forth.the Department's rules and procedutes pertinent to the ciSnduat `df-this
procurement and the preparation and submission of Proposals.- I~ioposers wlio-fail td fully
adhere to these rules and procedures may be ileemeii non-responsive. Accordingly, all Proposers
aze directed W review and actinaecoidant:e with"the folIolvuig
3.1 Coh+muniiations with the Depai-tnn'ent
3.1.1 Authorized Contact Person
'The Authorized Contact Person (ACP)-for this RFP is:
Sarah,DOlinar, Cogtract Officer.
Bureau of Long Term Export
' New York City'Depar(ment oFSanitation
44 Beaver Street, 12th~Ploor
1 New York, New York 10004
212-837-8333
212-785-3953 (faX)
Prom the.issuance of this RFP until three hundred and sixty-five (365)- days after the Proposal
Due Date, no,employee of the City, other than [he ACP; is to b'e contacted regarding-this RFP
and/or this procurement.
3.1.2 Proposer Inquiries
Al] inquiries regarding this RFP and. procurement process must be made in writing,; addressed to
the ACP, and aze due by the date specified in Item nurnber 3 of the Procurement. Schedu]e, set
forth in Section 2.1. The Department has no obligation to respopd to inquiries regarding,this
RFP and/or this procurement process that aze neither ad_ dressed to the ACP nor received by the
due date.
3-1
REQUEST FOR PROPOSALS INCORPORATING ADDENDA
VOLUMEI
APPENDIX C
COMMUNICATION PROTOCOL
CITY OF TACOMA CENTRAL TREATMENT PLANT UPGRADE AND
EXPANSION PHASE 111
DESIGN-BUILD PROJECT
M Project Communication Objectives
The City of Tacoma is proposing to implement the expansion of the Central
Treatment Plant (CTP) using the Design-Build alternative delivery method. Oue
to the magnitude of this Project, the City anticipates significant interest from
multiple entities across the nation. Because of the large number of individuals
involved in this Project, the City intends to take every measure to ensure that
accurate and consistent information is distributed regarding all aspects of the
Project. The City also wants to conduct all Project communications in a manner
that encourages market interest in the Project and facilitates participation by
interested firms. Furthermore, the City is committed to use a fair and open
process to identify and hire the firm or firms to design and construct the
expansion of the CTP.
Specifically, the City is committed to:
• achieving the fair and accurate distribution of relevant information to
interested parties;
• avoiding "insider" information and the appearance thereof;
• providing regular informational updates about the Project; and
• providing prompt, thorough and accurate responses to parties with
questions or concerns.
The City requires that the following guidelines be followed by firms and
individuals who have an interest in the Project and may wish to participate in the
procurement process:
1. No contact with elected officials: The City requests that participating firms
not attempt to contact the City s e ected officials or representatives of their
offices about this Project.
' City of Tacoma C-1 August 2004
Central Trealmen[ Plant Upgrade and Expansion Phase III Request (or Proposals Incorporating Addenda Vol I
Design-Build Project Appendix C
i
2. Elected officials will refer any and all inquiries related to this Project to
the City's Project Manager:
Eric Johnson, PE
City of Tacoma
Public Works De artment
P
Environmental Services /Science and Engineering Division
2201 Portland Ave.
Tacoma, WA 98421-2711
Phone: 253-502-2106
Fax: 253-502-2107
E-Mail: ejohnson(~cityoftacoma.orq
3. Public Outreach: The City requests that participating firms not engage in
outreach efforts to the local community residents, businesses or organizations
during the SOQ and RFO phases.
City of Tacoma C-2 August 2004
Central Treatment Plant Upyrade and Expansion Phase III Request for Proposals Incorporating Adtlenda Vol. I
Design-Build Prgect Appendix C
II
III
~hn~~~,x I~I~f~---T~~~~-~t~,t ~I~.~ R~-r~-t- CD~~
Attachment B
CITY OF PHOENIX
Phoenix, Arizona
Lake Pleasant Water Treatment Plant Project
Project No. WS85350004
Communications Protocoi
I. INTRODUCTION
The City of Phoenix (City) has .established [his Communications Protocol for use in
connection with the competitive procurement process being undertaken by the City for
the Lake Pleasant Water Treatment Plant Project (Project). The City is procuring [he
services for the Project in accordance with Chapter 6 of Title 34 of the Arizona Revised
Statutes, and relevant provisions o£the City Charter. The Project will be developed using
a Design-Build-Operate (DBO) project delivery approach, which consists of a Request
- for Qualifications (RFQ) phase and a Request for Proposals (RFP) phase. This
Communications Protocol includes five components:
. A statement of Cotttmunieation Objectives;
An identification of Key Project Contacts;
Contact with Elected Officials;
Contact with the City Manager's Office; and
f . Guidelines on Project Ihformation Accessibility.
2. COMMUNICATION OBJECTIVES
The City is committed to a fair and open competitive process that allows all interested
parties to receive information about the procurement for the Project, This
Communications Protocol is intended to maintain the integrity of the procurement
- process, to maximize the benefits of a fair and open competitive process and to set forth
the guidelines for all permitted communications re]ating to the procurement. The City
will work to:
k.
Achieve a fair distribution of relevant information to any interested party;
. Avoid unfair "insider" information going to any ftrm, or the appearance of such;
Provide regular information updates regazding the status of the Project; and
Provide thorough, prompt responses, if warranted, to parties with questions or
concerns related to the Project.
BI
Project No. WS85350004-P
All interested parties, including the respondents to the RFQ (Respondents) and the shon-
listed Respondents (Proposers) and any of their representatives, will be required to
manage their communications in a manner consistent with this Communications Protocol.
Any failure to comply with this Communications Protocol may result in the
disqualification of aRespondent or Proposer from the procurement process.
3. ICY PROJECT CONTACT
The City requires that all questions, requests for information and clarifications from
interested parties, Respondents and Proposers and any of their representatives be made in
writing directly to the Project Manager at the following address:
Madeline Goddard, P.E.
Project Manager
Phoenix Water Services Department
200 West Washington Street, 8th Floor ,
Phoenix, Arizona. 85003-1611
Phone: (602)534-3887
Fax: (602)495-5843
E-mail: madeline. oddazd(n~phoenix.¢ov
After the City's announcement for the submittal of qualification statements, no interested
pares, Respondent or Proposer, including any of their representatives, shall contact the
Mayor, any City Council Member, anY City official, any Selection Commt~r,
any employee or representative o the Ctty or any consultant or other agent involve w-Iit
t
'$tis procurement other than the Prolect Mana¢er.
i
Respondents and Proposers are advised that only those communications directed through
the Project Manager will be subject to the confidentiality provisions set forth in Chapter 6
of Title 34 of the Arizona Revised Statutes.
4. CONTACT WITH ELECTED OFFICIALS
The Mayor and the City Council are committed to the procurement process as the means
of ensuring that the selection of a contractor for the Project is completely based on a
Proposal's merit. Elected officials will be briefed by the Water Services Department as
necess and their input and direction sought at key Project milestones.
Notwithstanding the provisions o ection a ove, t e ity's elected officials ono
mean to preclude interested parties, Respondents or Proposers, including any of
their representatives, from discussing their interests in the Project with one or more
members of the City Council, provided such meetings are scheduled through the
Water Services Department's Project Mana er in the manner described herein and
in Section 3. The ater Services Department will prepare and submit t e meeting
notices to the Phoenix City Clerk's office. The meetings will be conducted at Phoenix
City Hall, and posted as an open meeting with the City Clerk at least twenty-four (24)
hours prior to the scheduled meeting. The City Clerk's posting shall include and detail
the participants, the subject matter and shall invite the public and press to participate.
The posting shall also be listed on the Project's Internet web site.
B2
Project No. WS85350004-P
a
` All interested parties, Respondents tir Proposers, including any of their representatives
interested in meeting with the City's elected officials, if required pursuant to Section §2-
1000 of the City Code, must register as a "lobbyist" with the City Clerk Office, 15`"
Floor, Phoenix City Hall, 200 West Washington Street, or by calling (602) 262-6811.
L Respondents and Proposers aze advised that no contacts permitted under this Section shall
e be made by telephone, other than to schedule a public meeting. In the event calls related
to this Project are received by.the Mayor, any City Council Member or their staff, they r;
will be directed to Michael Gritzuk, P.E., Water Services Directoi for proper response. =
All requests for meetings permitted under this Section shall be made to the Project
Manager via letter, facsimile, E-mail or other written method and shall be made available
to the public, press and all other Respondents and Proposers.
if a Respondent or Proposer, including any of its representatives, violates this
Communication Protocol with elected officials with respect to the Project, after the City's
announcement for the submittal of qualification statements, -the City reserves the right to
reject the Respondent or Proposer.
5. CONTACT WITH THE CITY MANAGER'S OFFICE
In the event calls related to this Project are received by the City Manager's office or their
staff, they will be directed to Michael Gritzuk, P.E., Water Services Director far proper
response.
6. PRO.iECT INFORMATION ACCESSIBILITY
f In order to ensure a fair and equitable distribution of information and foster a professional
` competitive environment for the Project, the City will develop and issue solicitation
documents and other materials. These documents wil( provide interested parties with the
information necessary to prepaze responsive and responsible statement of qualifications
or proposals. The City provides [he following guidelines for firms wishing to acquire
information on the Project.
6.1 Written Background Documentation
Written Project background documentation relating to the Project will be made available
to any interested party as such information becomes available. Thereafrer, listings of
available materials will be provided in procurement documents and can also be located at
the Project Internet web site (see below).
6.2 DBO Solicitation Related Materials
The City intends to issue the following formal procurement documents for use by
Respondents and Proposers:
Request for Qualifications (RFQ); and
Request for Proposals (RFP).
B-3
~.e
Project No. WS85350004-P
Only the Proposers will receive a RFP. State legislation limits the number of firms short-
listed to three firms. The procedures for providing comments and requesting clarification
will be addressed in the RFQ and RFP.
In addition, the City may provide some preliminary information on the anticipated overall
Project schedule and milestones in advance of issuing formal procurement documents.
Public notification of the availability of these materials will be posted on the Project
Intemet web site and/or in the Arizona Business Gazette:
6.3 Workshops and Meetines
Due to the complex nature of these solicitation documents, the City anticipates hosting
one or more conferences during the RFQ and RFP procurement phases. The City may
also conduct information sessions' and workshops in advance of commencing the
procurement process. Formal announcements and meeting notes about these sessions and
conferences during the RFQ and RFP procurement phases will be posted and updated on i
the Project Intemet web site and the Arizona Business Gazette.
6.4 Internet Web Site
"11te City has established a Project Intemet web site, which statements will not be binding
and will provide the following:
Project Overview
Schedule
Photo Gallery
i
Notes
Contact
Reports
• Executive Summary of the Alternative Delivery Method Investigation for
the Lake Pleasant Water Treatment Plant Project ,
• Field Investigation Reports
Other Links
The address for the web site is www.LakePleasantWTP.com
a-a
S~,`~;~e-, ~ ~ ~i?a-te~TP ~?~~jec-i- C D1~a~
Date Activity
October 20, 2005 draft Service Contract execution and exchange of documents
a[ Closing
Where wntten comments or submittals are required, all such documents shall be submitted no later than
5:00 pm on the day specified. The Water Authority reserves the right to modify any or all of the above
dates at its sole discretion at any time during this procurement process.
3.3 Communications Protocol
The Water Authority is commuted to a fair, open process for interested parties to receive infbrmahon
about the Project and far the competitive procurement process that the Water Authority is utilizing for
selection of a Company and award of the Service Contract. Any failure to comply with the
Communications Protocol in effect may result in the disqualification of a Proposer. Al] questions and/or
information requests an any o er ues s concerning the RFP and [he procurement process must be
directed in wn mg to the Project Manager:
'fim Suydam, Engineer (P.E.)
San Diego County Water Authority
4677 Overland Avenue
San Diego, CA 92123
(858) 522-6870 (telephone)
(858) 268-7802 (fax)
lsuydam@sdcwa.org
Written communications include communications received via mail, via facsimile followed by mailing of
an original, or via email.
All communications to the Project Manager shall be submitted in writing and are subject to distribution to
all Proposers, except that the Water Authority shall not share one Proposer's written comments on the
draft Service Contract submitted as part of the Initial Submittal with another Proposer. The Water
Authority will, however, share with all Proposers its addenda to the RFP including any revisions based on
us review of Proposer comments on the draft Service Contract.
Any contact with Water Authority staff (other than the Project Manager), Board members, Member
Agencies, the Water Authority advisors, the Board of Senior Consultants (BOSC), or other key Project
stakeholders (excluding Governmental Bodies or Utilities serving the Project tte of er t an the Water
3-10
C'\NrNortbI~HDWNYI\CHANGR\466903 I DOC
rile Nu_ 50101.401.13
46G903J 027219 F'RP
Authority) by a Proposer concerning any matter relating to this procurement is prohibited and is grounds
for disyualifieation of the Proposer.
Members of the Water Authority Board, management, or staff, except for the Project Manager, the BOSC,
and the Water Authority Advisors are not permitted [o solicit or answer questions or to provide
mfomtation or advice to any Proposer during the procurement process concerning any matter related to
this procurement. Any contact with these persons by a Proposer conceming any matter relating to this
r-----
procurement, except for contacts that have been expressly authorized by the Water Authority, may result
m a Proposer's disqualification from eligibility for the procurement.
3.4 Water Authorit} Rights and Options
'this RFP constitutes an imdtation to Proposers to submit I'~aposals to the Water Authority. By
responding to this RFP, Proposers acknowledge and consent to the following conditions relative to the
procurement process and the selection of a Selected Proposer and a Successful Proposer. Without
limitation and m addition to other rights reserved by the Water Authority in this RFP, the Water Authonty
reserves and holds, at its sole discretion, the following rights and options.
1. To supplement, amem_l, or otherwise modify this RFP, including the Proposal Forms and the draft
Service Contract, at airy time.
2. Tu receive written questions conceming this RFP from Proposers and to provide such questions,
and the Water Authority's responses, to all Proposers.
3. To require additional information from one or more Proposers to supplement or clarify the Initial
Submittals, or Propos;ds submitted.
4. 1'o conduct further investigations with respect to the qualifications and experience of each
Proposer.
5. To visit and examine. any of the facilities and projects referenced in the Proposal and others
owned, operated, designed, and/or built by the Proposer to observe and inspect such
facilities/projects and their operations.
6. To waive any defect or technicality in any Proposal received.
7. To eliminate any Proposer that submits a nonconforming, nonresponsive, incomplete, inadequate,
or conditional Proposal.
8. To reject any or all Pruposals.
9. To cancel this RFP n whole or in part with or without substitution of another RFP if such
cancellation is determined to be in the best interest of the Water Authority.
10. To select and enter into a Service Contract with the Proposer approved by the Water Authority
Board for preparation of Che Service Contract.
3-I1
C-ANrPOr~blAHDWNYIACHANGRW66901 I DOC
File No SOIU1.401.1-3
4(6907.1 027217 PRN
r
4.5 Information Requests and Questions Concerning this RFP
Following issuance ofthis RFP, the Proposers may submit written questions to the City to
assist the Proposers in the preparation of [heir Proposals. The City may, but shall not be obligated
to, respond to such questions. All responses to these questions and requests for additional
information which the City determines to be deserving oCresponse will be issued to all potential
Proposers of record in the form of addenda to this RFP. The last day for submission of written
questions will be September 3, 1999
No oral interpretation, instruction, or information concerning this RFP given by any agent,
employee, advisor, or consultant ofthe City shall be binding on the City. Proposers relying on such
~ oral information risk having their response to this RFP deemed unresponsive by [he City. The City
will not be responsible for any explanation or interpretation of this RFY, unless such explanation
~ or interpretation ofthis RFP is given in accordance with this written procedure.
All inquiries and correspondence relating to this RFP shall be directed to:
Michael D. Mallinoff
~ City Manager
~ City of Newport
City Hall -43 Broadway
Newport, Ri 02840
' with a copy of all written correspondence to the following individuals:
- Roy B. Anderson, P.E.
Utilities Director
I City oFNewport
c/o Water Division
701ialsey Street
Newport, RI 02840
Eric 5. Petersen, Esq.
Hawkins, Delafield & Wood
67 Wall Street
New York, NY 10005
-52-
I
Paul A. Boord, P.E.
Vice President
Malcolm Pirnie, Inc.
10 Cabot Road
Medford, MA 02155
All i nquiries and correspondence between the City and the Proposers shall be sent in writing
and delivered to the above addresses. In order [o ensure Fairness during the procurement process,
there is to be no verbal communication between a Proposer or its employees, representatives or
agents and the City Manager or the City Utilities Director
I
As of the date this RFP is released to the public and throughout [he procurement process
and Service Agreement negotiations, Proposers or their employees, representatives oragents shall
not contact the Mayor, the Contract Communities, any City Council member, any City official, any
member ofthe Evaluation Committee, any employee or representative ofthe City or any consultant
or other agent involved with this procurement other than the City Manager or the City Utilities
Director.
~ If a Proposer or its employee, representative or agent contacts anyone other than the City
Manager or the City Utilities Director in relation to this RFP or if a Proposer or its employee,
~ representative or agent attempts to have verbal communications with the City Manager or the City
Utilities Director, such Proposer risks either being disquali ied to submit a Proposal inn respo
this RFP or having its Proposal rejected by the City Manager, as applicable.
4.6 Addenda or Amendments to this RFP
During the period provided for the preparation of Proposals, the City may issue addenda
to this RFP. These addenda will be numbered consecutively and will be distributed to all potential
Proposers of record. These addenda will be issued by, or on behalf of, the City and will constitute
a par[ of this RFP. Each Proposer is required to acknowledge receipt of all addenda at the time of
submission of its Proposal by submitting an executed Proposal Transmittal Letter, included as
-53-
Page 1 of 8
Takaba, William
From: Kaetsu, Dixie
Sent: Wednesday, January 18, 2006 11:21 AM
To: Takaba, William
Subject: FW: Samples of communications protocols
-----Original Message-----
From: Leithead-Todd, Bobby Jean
Subject: Samples of communications protocols
This is a small sample of point of contact/communications protocol language in procurements on the mainland
and Canada. I can't spend the time to get an exhaustive set of examples, but found that California
municipalities, Wisconsin, South Carolina, Florida, and Arkansas to name a few had bids or RFP that I was
able to access that have similar language re contacting anyone other than the of£?cial point of contact. The
language seems pretty standard. Where I did see some that did not have this language, I did see disclosure
clauses that required any contact with elected officials and the substance of the contact to be disclosed. I also
some waste management procurement guidelines that recommended having a sole point of contact in preparing
bids or RFPs.
From City_of Phoenix, AZ:
Phoenix, Arizona
Lake Pleasant Water Treatment Ylant Project
Project No. WS85350004-P
Communications Protocol
1. INTRODUCTION
The City of Phoenix (City) has established this Communications Protocol for use in connection with the competitive
procurement process being undertaken by the City for the Lake Pleasant Water Treatment Plant Project (Project). The
City is procuring the services for the Project in accordance with Chapter 6 of Title 34 of the Arizona Revised Statutes,
and relevant provisions of the City Charter. The Project will be developed using aDesign-Build-Operate (DBO) project
delivery approach, which consists of a Request for Qualifications (RFQ) phase and a Request for Proposals (RFP)
phase. This Communications Protocol includes five components:
. A statement of Communication Objectives;
. An identification of Key Project Contacts;
. Contact with Elected Officials;
Contact with the City Manager's Office; and
. Guidelines on Project Information Accessibility.
2. COMMUNICATION OBJECTIVES
The City is committed to a fair and open competitive process that allows all interested pazties to receive information
about the procurement for the Project. 'This Communications Protocol is intended to maintain the integrity of the
procurement process, to maximize the benefits of a fair and open competitive process and to set forth the guidelines for
all permitted communications relating to the procurement. The City will work to:
1 / 18/2006
Page 2 of 8
. Achieve a fair distribution of relevant information to any interested party;
. Avoid unfair "insider" information going to any firm, or the appearance of such;
. Provide regular information updates regarding the status of the Project; and
. Provide thorough, prompt responses, if warranted, to parties with questions or concerns related to the Project.
All interested parties, including the respondents to the RFQ (Respondents) and the short- listed Respondents
(Proposers) and any of their representatives, will be required to manage their communications in a manner consistent
with this Communications Protocol. Any failure to comply with this Communications Protocol may result in the
disqualification of a Respondent or Proposer from the procurement process.
3. KEY PROJECT CONTACT
The City requires that all questions, requests for information and clarifications from interested parties, Respondents and
Proposers and any of their representatives be made in writing directly to the Project Manager at the following address:
Madeline Goddard, P.E.
Project Manager Phoenix Water Services Department
200 West Washington Street, 8th Floor
Phoenix, Arizona 85003-161 I
Phone: (602) 534-3887
Fax: (602)534-4795
E-mail: mgoddardregci.phoenix.az.us
After the City's announcement for the submittal of qualification statements, no interested party, Respondent or
Proposer, including any of their representatives, shall contact the Mayor, any City Council Member, any City official,
any Selection Committee member, any employee or representative of the City or any consultant or other agent involved
with this procurement other than the Project Manager.
Respondents and Proposers are advised that only those communications directed through the Project Manager will be
subject to the confidentiality provisions set forth in Chapter 6 of Title 34 of the Arizona Revised Statutes.
4. CONTACT WITH ELECTED OFFICIALS
The Mayor and the City Council are committed to the procurement process as the means of ensuring that the selection
of a contractor for the Project is completely based on a Proposal's merit. Elected officials will be briefed by the Water
Services Department as necessary and their input and direction sought at key Project milestones. Notwithstanding the
provisions of Section 3 above, the City's elected officials do not mean to preclude interested parties, Respondents or
Proposers, including any of their representatives, from discussing their interests in the Project with one or more
members of the City Council, provided such meetings are scheduled through the Water Services Department's Project
Manager in the manner described herein and in Section 3. The Water Services Department will prepare and submit the
meeting notices to the Phoenix City Clerk's office. The meetings will be conducted at Phoenix City Hall, and posted as
an open meeting with the City Clerk at least twenty-four (24) hours prior to the scheduled meeting. The City Clerk's
posting shall include and detail the participants, the subject matter and shall invite the public and press to participate.
The posting shall also be listed on the Project's Internet web site.
All interested parties, Respondents or Proposers, including any of their representatives interested in meeting with the
City's elected officials, if required pursuant to Section §2- 1000 of the City Code, must register as a "lobbyist" with the
City Clerk Office, 15th Floor, Phoenix City Hall, 200 West Washington Street, or by calling (602) 262-6811.
Respondents and Proposers are advised that no contacts permitted under this Section shall be made by telephone, other
than to schedule a public meeting. In the event calls related to this Project are received by the Mayor, any City Council
Member or their staff, they will be directed to Michael Gritzuk, P.E., Water Services Director for proper response. All
requests for meetings permitted under this Section shall be made to the Project Manager via letter, facsimile, E-mail or
other written method and shall be made available to the public, press and all other Respondents and Proposers.
If a Respondent or Proposer, including any of its representatives, violates this Communication Protocol with elected
1 / 18/2006
Page 3 of 8
officials with respect to the Project, after the City's announcement for the submittal of qualification statements, the City
reserves the right to reject the Respondent or Proposer.
5. CONTACT WITH THE CITY MANAGER'S OFFICE
In the event calls related to this Project are received by the City Manager's office or their staff, they will be directed to
Michael Gritzuk, P.E., Water Services llirector for proper response.
From Fresno,_CA:
Frequently Asked Questions
Does the ordinance affect the public's ability to talk to the Mayor or Councilmembers (Elected Officials)?
Communications between Elected Ofcials and the public are not affected.
What communications between a Proposer and an Elected Official are regulated?
A communication is essentially any contact between a Proposer and an Elected Offcial relating to the pending procurement. If the communication is not exempt or
permissible under the Ordinance, it should not take place. Proposer communications unrelated to a pending procurement are permissible.
What is a "Competitive procurement process?"
A competitive procurement process includes a request for proposals (RFP), request for qualifications (RFQ), and competitive bidding, fnally acted on by Council. The process
begins on issuance of offcial notice of announcement of competitive bidding, RFP's or RFQ's, and ends when Council fnally awards a contract, or rejects all bids or offers.
(See links to "Current Bids" and "Bids Opened" listed below to see which projects are currently subject to the ordinance).
Current Bids
Bids Opened
Who is a "Proposer?"
A Proposer is one who submits a proposal, bid, or statement of qualifications for which the Council is the foal decision making body.
What happens if a Proposer impermissibly communicates with an Elected Official?
Communications between a Proposer and EleQed Officials during the procurement process must be disclosed in writing to the Purchasing Agent and City Clerk within 24
hours or the next business day, or be: a. A statement made in Regular or Special Council meetings. b. Simultaneously delivered to all elected offcials and the Purchasing
Agent. c. Routed through the Purchasing Agent for inclusion in the record. The City may also impose sanctions in certain cases.
If sanctions are imposed, what are the sanctions and who can be sanctioned?
Sanctions can include disqualifcation, fnding of non-responsibility, or setting aside an awarded contract. Only a Proposer in violation of the ordinance is subject to sanctions.
From Las Cruces NM:
Doing Business With the City of Las Cruces
Introduction
The City of Las Cruces is a home ruled city, which means we have enacted our own procurement code and do not follow the State
procurement code except as mandated by statue.
The Purchasing Office's purpose is to maximize the purchasing value of public funds and to provide safeguards for maintaining a
procurement system of quality and integrity. Should you have questions or require additional information, please contact us at
(505)541-2555.
Who Purchases for the City of Las Cruces?
The Purchasing Office is the central purchasing authority for all purchases over $1,000. Purchases over $1,000 by city employees
I /18/2006
Page 4 of 8
may only be authorized if there is a blanket order in place. Purchases under $1,000 can be made by city employees via Petty Cash
- $50.00 limit or by use of the City's Procurement Card - $1,000 per day per vendor. Vendors are cautioned not to split a
department's order to accommodate the $1,000 monetary limit. Failure to comply with this procedure may be grounds for
debarment. In any situation, the vendor is responsible for verifying the identity of the person placing an order prior to issuing any
merchandise or providing any service. The Ci[y of Las Cruces will not be responsible for purchases incurred by non-authorized
agents. Proposals or bids over $1,000 are handled as per _Diyision 1 and 2 of the Procurement_Code,_Vendors can register with the
Purchasing Office to be on the bidder's list by filling out the Bidder's List Apgl~ication and mailing it in with the required $25.00
annual fee. This fee guarantees that you receive copies of bids or proposals that corresponds to [he commodity codes you have
signed up for.
Disbursements
The Disbursements Section of Finance is charged with the responsibility of making payment to vendors for purchases over $1,000
incurred by the City of Las Cruces. Invoices shall be issued to the City and mailed to:
Disbursements Section
City of Las Cruces
P.O. Box 20000
Las Cruces, NM 88004.
Invoices must reference the appropriate purchase order number, itemized quantities, description of goods and/or services, unit
prices and total price. Invoices from vendors are audited to insure completeness and accuracy.
Sales Contacts with City Departments
It is requested that you make the Purchasing Office your first contact. Purchasing staff can acquaint you with the appropriate
procurement procedures and direct you to those departments most likely to utilize your products or services. Only Purchasing staff
are authorized to commit the City for the purchase of goods or services over $1,000. Contacts made with City departments shall
be solely for the purpose of providing information and/or literature.
Location
The Purchasing Office is located at 1501 E. Hadley, Las Cruces, New Mexico. It is open for business from 7:00 am to 5:00 pm,
Monday through Friday, with the exception of legal holidays observed by the City. Visiting hours for vendors are the same as
indicated above. To provide you with optimum uninterrupted time during your visit, appointments are encouraged.
Taxes
It is the responsibility of each vendor submitting an offer to be knowledgeable as [o all applicable taxes.
Inspection of Goods and Services
All goods and/or services provided the City are subject to inspection. If any items or articles are found not to meet requirements
to the specifications, the lot or any faulty portion may be rejected with any associated cost to the City being borne by the vendor.
Additional remedies available to the City for vendor noncompliance include debarment or suspension, execution of bonds if
applicable and contract cancellation.
Frequently Asked Questions
1. May a vendor see copies of offers prior to award? If so where?
A vendor may not review bid responses prior to the public opening. These documents become public record after the bid opening
and may be inspected in the Purchasing Section.
2. What are the most frequently considered factors involved in determining a responsive offer and a responsible
offeror?
A "responsive offer" means an offer to furnish goods, services, or construction in conformity with standards, specifications, terms,
conditions, and all other requirements established in a competitive solicitation. A "responsible offeror" is a bidder who has the
financial resources, personnel, facilities, integrity, and overall capability to complete a particular City of Las Cruces contract
successfully.
1 /18/2006
Page 5 of 8
3. What should I do if I want to be guaranteed City of Las Cruces Business?
Either fill out the bidder's list application on line or contact the Purchasing Section and request a vendor registration packet.
4. What preferences are considered by Purchasing?
Vendors from the City of Las Cruces are given a 5% ~ference (Section 14-100) over non-local vendors provided they qualify by
completing the "Local Preference Certification Form" with each offer. The local preference takes precedence aver the State
Resident Preference and only one such preference will be applied to any one offer. If it is determined that the local preference
applies to one of more offerors in any solicitation, the State Resident Preference will not be applied to any offers. This preference
does not apply to Public Works contracts.
5. May I submit an offer if I don't handle the brand listed in the procurement document?
Yes, if the solicitation specified "a brand name or equal", you may offer an alternative or "equal brand". "Or equal" products will be
evaluated after offers are received, based on literature or samples submitted and any required testing for the product. Failure to
submit required literature and/or samples may be cause for rejection of offer.
6. Who manages surplus property?
Purchasing in conjunction with [he Facilities Department's Fleet Maintenance Section manage the surplus property. Purchasing is
responsible for the disposal of all surplus property through competitive sealed bidding or auction. The auction is usually held once
a year, and generally in the fall.
NOTE: Under no circumstances during the bidding or proposal process of any
solicitation are vendors to contact City Elected Officials or City Staff, other than
Purchasing Staff in regards to such solicitation. Should vendors not adhere to
this requirement their response to the solicitation will be rendered non-
complaint.
THE PURCHASING SECTION IS HERE TO ASSIST YOU IN COMPETITIVELY OBTAINING CITY BUSINESS. CAREFULLY REVIEW ALL
PROCUREMENT DOCUMENTS YOU RECEIVE AND IF YOU SHOULD HAVE ANY CONCERNS, QUESTIONS, OR COMMENTS DO NOT
HESITATE TO CONTACT PURCHASING.
From_ Homestead FL
1.41 SUNSHINE LAW:
As a political subdivision, the City of Homestead is subject to the Florida Sunshine Act and Public Records Law. By
submitting a Bid, Contractor acknowledges that the materials submitted with the Bid and the results of the City of
Homestead's evaluation are open to public inspection upon proper request. Contractor should take special note of [his as
it relates to proprietary information that might be included in its Bid.
1.42 CONE OF SILENCE:
a) Definitions: "Cone of Silence," as used herein, means a prohibition on any communication regarding a particular
Request for Proposal ("RFP" Request for Qualification ("RFQ") or bid, between:
a potential vendor, service provider, proposer, bidder, lobbyist, or consultant, and:
the City Councilmembers, City's professional staff including, but not limited to, the City Manager and his or her
staff, any member of the City's selection or evaluation committee.
b) Restriction; Notice: A Cone of Silence shall be imposed upon each RFP, RFQ and bid after the advertisement of
1/18/2006
Page 6 of 8
said RFP, RFQ or bid. At the time of imposition of the Cone of Silence, the City Manager or his or her designee shall provide
for public notice of the Cone of Silence by posting a notice at the City Hall. The City Manager shall issue a written
notice thereof to the affected departments, file a copy of such notice with the City Clerk, with a copy thereof to
each City Councilmember, and shall include in any public solicitation for goods or services a statement disclosing
the requirements of this section.
c) Termination of Cone of Silence: The Cone of Silence shall terminate at the beginning of the City Council meeting
(whether regular, special or Committee of the Whole meeting) at which the City Manager makes his or her written
recommendation to [he City Council. However, if the City Council refers to the Manager's recommendation back to
the Manager or staff for further review, the Cone of Silence shall be re-imposed until such time as the Manager
makes a subsequent written recommendation.
d) Exceptions to Applicability: fhe provisions of this section shal I not apply to:
1. oral communications at pre-bid conferences;
2. oral presentations before selection or evaluation committees;
3. public presentations made to the City Councilmembers during any duly noticed public meeting;
4. communications in writing at any time with any City employee, unless specifically prohibited by the applicable
RFP, RFQ or bid documents. The bidder or proposer shall file a copy of any written communication with the
City Clerk. The City Clerk shall make copies available to any person upon request;
5. communications regarding a particular RFP, RFQ or Bid between a potential vendor, service provider, proposer,
bidder, lobbyist or consultant and the City's Procurement & Contract Services Agent or City employee
designated responsible for administering the procurement process for such RFP, RFQ or bid, provided the
communication is limited strictly to matters of process or procedure already contained in the corresponding
solicitation document;
6. communications with the City Attorney and his or her staff;
7. duly noticed site visits to determine the competency of the bidders regarding a particular bid during the time
period between [he opening of bids and the time the City Manager makes his or her written recommendation;
8. any emergency procurement of goods or services pursuant to City Code;
9. responses to the City's request for clarification or additional information;
10. contract negotiations during any duly noticed public meeting;
1 I. communications to enable City staff to seek and obtain industry comment or perform market research, provided
all communications related thereto between a potential vendor, service provider, proposer, bidder, lobbyist, or
consultant and any member of the City's professional staff including, but not limited to, the City Manager and
his or her staff are in writing or are made at a duly noticed public meeting.
e) Penalties: Violation of this section by a particular bidder or proposer shall render any RFP award, RFQ award or bid
award to said bidder or proposer voidable by the City Council or City Manager. Any person who violates a
provision of this section may be prohibited from serving on a City selection or evaluation committee. In addition to
any other penalty provided herein, violation of any provision of this section by a City employee may subject said
employee to disciplinary action.
1.42.1 Please contact the City Attorney for any questions concerning "Cone of Silence" compliance.
From Toronto, CA:
1 / 18/2006
Page 7 of 8
Finance Department Policy
Procurement Processes Policy
5.0 Official Point of Contact
The City of Toronto is committed to the highest standards of integrity with respect
to the purchase of goods and services and managing the processes by which
goods and services are acquired.
An official point of contact shall be named in all Calls to respond to all
communications in respect of the Call from the time of issuance, during the
competitive process, and up to and including the announcement of award. The
official point of contact shall be the Chief Purchasing Official or designate. Should
it be necessary or desirable to have contact person to respond to technical issues
that person shall also be named.
Communications in the context of this policy relate to communications to and from
staff or Council and the vendor community as it relates to the particular Call in
process.
Any vendor found to be in breach of the policy will be subject to disqualification
from the Call or a future call or calls in the discretion of Council.
11.0 Vendor Complaints
The City is committed to the highest standards of integrity with respect to dealing
with vendor complaints. Complaints shall be handled with fairness and equity for
all participants in a Call.
All vendor complaints with respect to a Call, whether addressed to elected officials
or the administrative staff, are to be referred to the Chief Purchasing Official for
resolution.
Objections to a recommendation for award must be in writing. The Chief
Purchasing Official shall review the objection and determine, in consultation with
the City Solicitor where necessary, whether the objection is material, as defined in
the Purchasing Chapter of the Municipal Code.
Where the objection is determined not to be material, the making of the award
shall proceed in accordance with the Purchasing Chapter.
Where the objection is determined to be material and cannot be resolved, the
award shall be made by Council in accordance with the Purchasing Chapter. In
such case, the Chief Purchasing Official and the City official on whose behalf the
call was made and, where necessary, the City Solicitor shall report to the
appropriate standing committee of Council with respect to the recommendations
for award. The Chief Purchasing Official shall inform the Vendor ofhis/her right to
make a deputation before the Standing Committee dealing with the award and
shall advise the Vendor to contact the Clerk's Office for further information on the
deputation process. Upon hearing the deputation and considering the staff report,
the standing committee shall make a recommendation to Council with respect to
the award.
From Peel_Municipality,CA:
3.0 Official Point of Contact
The Region is committed to the highest standards of integrity with respect to the purchase of goods and services
and managing the processes by which goods and services are acquired.
An official point of contact shall be named in all Requests for Quotations, Tenders, and Proposals to respond to all
communications in respect of the request from the time of issuance, during the competitive process, and up to and
including the announcement of award. The official point of contact shall be the Manager of Purchasing or designate.
1/18/2006
Page 8 of 8
Communications in the context of this policy relate to communications to and from staff or Council and the Vendor
community as it relates to the particular request in process.
Any Vendor found to be in breach of the policy may be subject to disqualification from the request or a future
request(s) at the discretion of Council.
1 / 18/2006