UNION COUNTY, NORTH
CAROLINA
DEPARTMENT OF PUBLIC WORKS
REQUEST FOR PROPOSALS
For the Operation, Maintenance and
Management of the County’s Wastewater
Treatment Facilities
DUE DATE: SEPTEMBER 30, 2013
TIME: 2:00 PM
SUBMITTAL LOCATION:
Union County
Department of Administrative Services
Procurement Manager
500 N. Main St., Suite 700
Monroe, NC 28112
i
TABLE OF CONTENTS
INTRODUCTION
1
BACKGROUND AND OBJECTIVES...................................................................................................... 1
DESCRIPTION OF THE FACILITIES
2
Twelve Mile Creek WWTP................................................................................................... 2
Crooked Creek WWTP......................................................................................................... 2
Tallwood Estates WWTP ..................................................................................................... 3
Grassy Branch WWTP ......................................................................................................... 3
Olde Sycamore WWTP ........................................................................................................ 3
DESCRIPTION OF PROCUREMENT PROCESS
3
PRE-SUBMISSION CONFERENCE ...................................................................................................... 3
PROCUREMENT PROCESS AND SCHEDULE ...................................................................................... 4
COUNTY RIGHTS AND OPTIONS ....................................................................................................... 4
EXPENSE OF SUBMITTAL PREPARATION .......................................................................................... 5
INFORMATION DISCLOSURE TO THIRD PARTIES.............................................................................. 5
QUESTIONS/CLARIFICATIONS REQUEST .......................................................................................... 5
EQUAL OPPORTUNITY REQUIREMENTS ........................................................................................... 6
KEY BUSINESS TERMS
6
SUBMITTAL OF PROPOSALS
12
GENERAL INSTRUCTIONS AND SUBMITTAL DEADLINE .................................................................. 12
QUALIFICATIONS AND TECHNICAL APPROACH.............................................................................. 12
COVER LETTER ................................................................................................................... 13
REQUIRED STANDARDS ..................................................................................................... 13
QUALIFICATIONS ............................................................................................................... 14
TECHNICAL APPROACH ..................................................................................................... 16
PRICE PROPOSAL ............................................................................................................................ 17
ii
BASE OPERATIONS AND MAINTENANCE FEE.................................................................... 18
CHEMICALS ....................................................................................................................... 19
POWER 19
BIOSOLIDS DISPOSAL/ REUSE............................................................................................ 19
REVIEW AND EVALUATION
20
EVALUATION CRITERIA................................................................................................................... 20
EVALUATION OF PROPOSALS ......................................................................................................... 21
iii
INTRODUCTION
The Union County Department of Public Works is issuing this Request for Proposals (RFP) to solicit
statements of qualifications, technical approach and pricing from firms capable of providing full service
operations, maintenance and management of the wastewater treatment facilities (Facilities) as
described in this document.
This RFP invites qualified firms to submit proposals describing their technical and financial qualifications
to provide the services described. Subject to approval by the County, the contract term under
consideration is for five years with two optional three-year renewals.
A contract will be awarded, if at all, to the entity that submits the best overall proposal, as determined
in the sole discretion of the Union County Board of Commissioners. The selection of a contractor will be
based on a determination of which proposal offers the best trade-off between price and performance,
where quality is considered an integral performance factor. The award decision will be based on
multiple factors, including: total cost, meaning the cost of service over the duration of the agreement;
the evaluated technical merit of the contractor’s proposal; the contractor’s past performance; and the
evaluated probability of performing the requirements stated in this RFP on time, with high quality, and
in a manner that accomplishes the stated business objectives and maintains industry standards
compliance.
BACKGROUND AND OBJECTIVES
The County is currently investigating the operational and financial feasibility of contracting the
operation of the Facilities with an outside contractor experienced in operating this type of system. The
objectives of this potential outsourcing of operations include:
•
Effectively and efficiently managing the day to day operations of the Facilities;
•
Assuring ongoing regulatory compliance ;
•
Establishing a comprehensive maintenance management and asset management program for the
Facilities to maximize the useful life of the Facility assets; and
•
Removing the County’s day-to-day burden of operating the system.
Full service contract operations requires the contractor to provide all Facility operation and
maintenance staff and pay all process chemical, utility costs and biosolids disposal. The contractor will
be responsible for:
•
All aspects of facility management, operation and maintenance and for all costs including hiring,
training and administering all personnel-related issues, utilities and process chemicals Furnishing
and maintaining vehicles and light duty service trucks and other mobile equipment as necessary
to carry on daily operations.
•
Maintaining the Facilities including the structures and improvements on the sites. Equipment
maintenance shall be performed by the contractor in accordance with manufacturer’s
recommendations, and consistent with the Asset Management Plan prepared by the contractor
and approved by the County. The contractor will be required to provide proof of its maintenance
activities to the satisfaction of the County.
Page 1
•
Corrective maintenance. The contractor will be responsible for repairing equipment that fails.
The County will reimburse the contractor for such amounts subject to provisions of the contract.
•
Biosolids treatment and disposal or reuse. The contractor will be responsible for biosolids
treatment and disposal or reuse. The County will terminate its existing biosolids contract for
biosolids disposal prior to the contract commencement date.
Required capital expenditures will continue to be the responsibility of the County. This includes renewal
and replacement of equipment as determined in the approved Asset Management Program, capacity
increases, and upgrades to meet more restrictive regulatory requirements. The County will authorize
and finance such improvements and implement projects using any legal options available to the County.
The County expects to select the most qualified, responsive, resourceful and experienced contractor
based on the review by the County. It is understood that each firm interested in providing the services
shall evaluate and inspect each facility and review data that the County has available, including
construction plans and specifications, design reports, permits, compliance reports, shop drawings,
operating budgets, audit reports, and pertinent data. Arrangements for the inspection and/or copying of
the documents shall be coordinated through the Water and Wastewater Operations Division Manager.
The County will also provide certain critical documents [permits, discharge monitoring reports,
operating Budgets] in digital form upon request.
DESCRIPTION OF THE FACILITIES
The County currently operates 5 wastewater treatment facilities supported by one laboratory located at
the 12 Mile Creek Wastewater Treatment Plant (WWTP). The Facilities each treat wastewater from a
specific drainage area within the County. The Facilities are: Twelve Mile Creek, Crooked Creek, Tallwood
Estates, Grassy Branch and Olde Sycamore. Union County currently has a total of 13.8 million gallons per
day (MGD) of wastewater treatment capacity. All Facilities use advanced treatment processes to assure
the quality of the receiving streams we discharge to. The Olde Sycamore WWTP is unique in the fact that
100% of the treated wastewater is used as a source of irrigation on a private golf course. The County
also has a Hunley Creek Wastewater Treatment Facility under National Pollutant Discharge Elimination
System (NPDES) Permit #NC0072508, which is not included in the scope of this proposal. This facility is
no longer in use and will be decommissioned by the County in the future.
TWELVE MILE CREEK WWTP
Twelve Mile WWTP is an extended aeration facility utilizing biological nutrient removal and tertiary
filtration. Disinfection is accomplished via ultraviolet (UV) light. A state of the art odor control system
removes and scrubs foul air associated with the facility’s aerobic digesters. Twelve Mile effluent is
discharged into Twelve Mile Creek, which is part of the Catawba River Basin. The plant was originally
constructed in 1997 as a 2.5 MGD capacity plant and was expanded and upgraded in 2007 to its current
permitted discharge capacity of 6.0 MGD of treated wastewater under NPDES Permit #NC0085359. The
Twelve Mile Creek WWTP is located at 8299 Kensington Drive in Waxhaw and serves Waxhaw as well as
portions of Indian Trail, Stallings, and Weddington.
CROOKED CREEK WWTP
Page 2
Crooked Creek WWTP is an extended aeration facility utilizing tertiary filtration. Disinfection is
accomplished via UV light. Crooked Creek effluent is pumped over 17,000 feet to discharge into the
North Fork Crooked Creek which lies in the Yadkin Pee Dee River Basin. This facility was originally
constructed in 1989 and is permitted to discharge up to 1.9 MGD of treated wastewater under NPDES
Permit #NC0069841. Crooked Creek WWTPis located at 4015 Sardis Church Road and serves the Indian
Trail, Lake Park and Stallings areas. The County is currently conducting an Inflow and Infiltration (I&I)
Remediation Study to reduce peak flow during wet weather conditions.
TALLWOOD ESTATES WWTP
Tallwood WWTP is an extended aeration facility with tertiary filtration. Disinfection is accomplished via
UV light. This facility is permitted to discharge up to .05 MGD of treated wastewater under NPDES
Permit #NC0069523. Tallwood WWTP is located within and serves the Tallwood Subdivision off Brief
Road. Tallwood effluent is discharged to Clear Creek, which lies in the Yadkin Pee Dee River Basin. The
original steel package plant was completely replaced in 2013 with new concrete treatment units, pumps
and blowers and filtration units.
GRASSY BRANCH WWTP
Grassy Branch WWTP is permitted to discharge up to .05 MGD of treated wastewater under NPDES
Permit #NC0085812. Grassy Branch WWTP is located at 1629 Old Fish Road and currently serves the
Unionville Elementary, Piedmont Middle and Piedmont High Schools as well as one individual residence,
Loxdale Farms Subdivision, and Smith Field Subdivision. Grassy Branch effluent is discharged to Crooked
Creek which lies in the Yadkin Pee Dee River Basin.
OLDE SYCAMORE WWTP
Old Sycamore WWTP is permitted to discharge up to .150 MGD of treated wastewater under Reclaimed
Water Utilization Permit #WQ0011928. Olde Sycamore serves the Olde Sycamore Golf Community
located off Highway 218 and Rock Hill Church Road. Olde Sycamore effluent is discharged to a
man-made impoundment from which it is then pumped onto the Olde Sycamore Golf Course as a source
of irrigation. This facility aeration system was completely upgraded in 2012 along with other system
improvements
DESCRIPTION OF PROCUREMENT PROCESS
PRE-SUBMISSION CONFERENCE
The County will conduct a mandatory pre-submission conference on August 9, 2013 starting at 1:00 p.m.
at the Personnel Training Room, first floor of the County Governmental Center, located at 500 North
Main St., Monroe, NC 28112.
The purpose of the pre-submission meeting is to answer questions regarding the Request for Proposals.
All contractors interested in submitting a proposal should contact Ashley Whitley, Executive Assistant
with Public Works at 704-296-4217 no later than 4:00 p.m. August 7, 2013 to indicate their intent to
Page 3
attend the pre-submission conference. Each interested contractor should ensure that they meet or
exceed the required standards set forth in this document.
The County will have electronic copies of certain pertinent materials available on the day of the
pre-submission conference. This pertinent information should be sufficient for the contractor to submit
a proposal and develop an understanding of the wastewater operations, maintenance and
management. Copies of materials to be provided to potential contractors will include but are not limited
to: compliance reports, recent inspection reports, personnel information, operating budgets, daily
operating records, copies of chemical bills and other pertinent data.
PROCUREMENT PROCESS AND SCHEDULE
A summary procurement schedule of the major activities associated with this solicitation process is
presented below. This schedule is based on the County’s intent to enter into an agreement with the
selected contractor by December 18, 2013.
Activity
Issue RFP
Date
July 30, 2013
Mandatory pre-submission conference
August 9, 2013
Final date for vendor questions and site visits
August 23, 2013
Final addenda issued including contract
August 26, 2013
Receive proposals from contractors
Evaluation of submittals complete – short list firms
Interviews with selected firms (date certain)
September 30, 2013
October 14, 2013
October 24 & 25, 2013
Complete contract negotiations with most qualified contractor
November 30, 2013
Award contract
December 16, 2013
COUNTY RIGHTS AND OPTIONS
The County, at its sole discretion, reserves the following rights:
•
To determine which contractor, if any, should be selected for negotiation of an agreement
•
To reject any or all proposals or information received pursuant to this RFP
•
To supplement, amend, substitute or otherwise modify this RFP at any time
•
To cancel this RFP with or without the substitution of another RFP or pre-qualification process
•
To request additional data or information after the submittal date, if such data or information is
considered pertinent, in the County’s sole view, to aid the review and selection process
•
To conduct investigations with respect to the qualifications and experience of each contractor
Page 4
•
To take any action affecting the RFP or the services or facilities subject to this RFP that would be
in the best interests of the County
•
To require one or more contractors to supplement, clarify or provide additional information in
order for the County to evaluate the RFPs submitted
•
To waive any defect or technicality in any RFP received
•
To reject any portion of any submittal and/or reject all submittals, to waive any informalities or
irregularities in the submittals or to re-advertise
EXPENSE OF SUBMITTAL PREPARATION
The County accepts no liability for the costs and expenses incurred by the contractors in responding to
this RFP, preparing responses for clarification, attending interviews, participating in contract
development sessions or meetings and presentations required for the contract approval process. Each
contractor that enters into the procurement process shall prepare the required materials and submittals
at its own expense and with the express understanding that they cannot make any claims whatsoever
for reimbursement from the County for the costs and expenses associated with the procurement
process.
INFORMATION DISCLOSURE TO THIRD PARTIES
The public disclosure of the contents of each proposal submitted in response to this RFP is generally
governed by Chapter 132 of the North Carolina General Statutes. By responding to this RFP, contractors
waive any challenge to the County’s decisions in this regard.
If any submittal contains confidential technical, financial or other types of information, the contractor
must clearly label the specific portions sought to be kept confidential and specify the exemption that the
contractor is relying upon. Marking all, or substantially all of, a response as confidential may result in the
response being considered non-responsive by the County.
Notwithstanding the foregoing, contractors recognize and agree that the County will not be responsible
or liable in any way for any losses that the contractor may suffer from the disclosure of information or
materials to third parties.
QUESTIONS/CLARIFICATIONS REQUEST
No interpretation or clarification of the meaning of any part of this RFP will be made orally to any
contractor. Contractors must request such interpretation or clarification in writing from the County.
If any contractor has questions concerning the proposed project, finds discrepancies or omissions in the
solicitation document or otherwise requires clarification, such matters should be submitted in writing no
later than 4:00 p.m. local time on August 23rd, 2013 to:
Michael Moler
500 North Main St., Suite 500
Monroe, NC 28112
Page 5
Email: Michael.Moler@co.union.nc.us
Phone: 704-296-4215
Fax: 704-296-4232
Only written or emailed questions will be acknowledged.
Any and all such interpretations and supplemental instructions will be made in the form of written
addenda which will be sent to all recipients of the RFP and shall become part of this RFP. Copies of all
questions and answers, and any addenda to supplement the RFP, will be sent by fax or email, and U.S.
Mail to each contractor no later than four days prior to the proposal due date. Only formal written
responses to properly submitted questions will be binding.
EQUAL OPPORTUNITY REQUIREMENTS
The selected contractor, in the performance of all services, will not discriminate on grounds of race,
color, religious creed, national origin, age, sex or handicap in employment practices in the selection or
retention of subcontractors, or in the procurement of materials and rentals of equipment.
KEY BUSINESS TERMS
This section sets forth the key business terms that the County will incorporate into the ultimate service
agreement. The County may issue a proposed service agreement as an addendum to this RFP before
the proposal due date. Proposers must base their technical and cost proposal on the terms described
herein. The failure to comply with this requirement will be grounds for deeming the proposal
non-responsive.
If the proposer wants to offer alternative terms, it may submit an alternative in addition to the base
proposal that describes the proposed change in terms; discusses the advantage to the County and to the
proposer and provides the revised pricing, if the County were to accept the proposed change(s). The
proposer is still required to submit the base proposal based on the terms described herein even if
choosing to submit an alternative
TERM OF AGREEEMENT
•
The term of this contract will be five years with two three-year renewals solely at the County’s
discretion. If the County exercises its renewal option, the terms of the then current contract will
continue through the renewal period.
•
The County shall have the right to terminate the contract for its convenience and without cause
at any time after the second anniversary of the execution of the contract upon payment of
termination fee not to exceed the amount proposed by the contractor in the proposal. The
termination fee will be limited to reimburse the contractor for its documented costs of
mobilization, and any unamortized capital costs. The fee will not include anticipated margin or
profit or other overhead.
Page 6
TRANSITION PERIOD
•
Prior to assuming control of the operations the contractor shall:
(a) Obtain any Governmental approvals necessary to operate the County’s Facilities including
obtaining regulatory agency approval for the contractor’s proposed staffing plan as required.
(b) Obtain required insurance;
(c) Establish the required letter of credit in (LOC) an amount equal to the total fee for the
coming contractual year;
(d) Obtain the proposed computerized maintenance management program and begin the
process of configuring and populating it;
(e) Hiring the required staff and ensuring it and its employees meet the appropriate State of
North Carolina staffing requirements.
(f) Prepare a transition plan and carry out activities necessary for a smooth transition of
services; and
•
During the transition period, the County will approve the contract and work diligently with the
contractor to assure a smooth transition.
OWNERSHIP
•
The County’s system will be owned by the County. The contractor may not treat itself as the
owner of the managed assets for federal tax or any other purpose and will not be entitled to
borrow against, or mortgage or otherwise encumber any interest in, the System.
FACILITY OPERATIONS AND MAINTENANCE
•
The contractor, at its expense, will provide uninterrupted operation and maintenance of the
Facilities in accordance with this contract, applicable law, permits, prudent industry practice, the
operation and maintenance manual (as may be updated by the contractor), . At no time shall
the contractor use or permit the use of the Facilities for any purpose other than those
contemplated by the Contract. The contractor shall also be responsible for disposing of all
facility residuals in accordance with applicable law.
•
The contractor will be responsible for all fines and regulatory agency actions that are the result
of contractor failing to properly operate or maintain the Facilities.
•
The contractor will be responsible for all costs required to operate and maintain the Facilities
including utilities, chemicals, residual disposal, vehicles, equipment and any other items or
expendables. The County will reimburse the contractor for corrective maintenance as described
herein.
Page 7
•
The contractor shall maintain the safety of the County’s assets at a level consistent with
applicable law, all required insurance, the safety plan and standard industry practices. The
contractor shall provide for safe and orderly vehicular movement. The contractor shall be
responsible for maintaining the security of the Facilities and take all responsible actions to
prevent vandalism to the Facilities.
•
The contractor shall be responsible for keeping the Facilities neat, clean and litter-free at all
times, to ensure that the operation of the Facilities, including the carrying out of the
contractor's residuals management responsibilities, does not create any impermissible odor,
litter, noise, fugitive dust, vector or other adverse environmental effects constituting, with
respect to each of the foregoing, a nuisance condition (including a violation of any applicable
law). Should any such nuisance condition occur, the contractor shall expeditiously remedy the
condition, pay any regulatory fines and indemnify the County from any third party nuisance
claims.
•
The contractor shall control odors, investigate complaints and correct odor problems promptly
•
The contractor shall immediately respond to all emergencies related to the Facilities (no later
than two hours during nights, weekends or holidays), promptly correct the condition, and abate
any inconvenience to the public.
•
The contractor shall conduct all sampling, testing and monitoring of influent, effluent, emissions,
sludge, side streams, unit process operations and other residuals required by applicable law, this
contract, standard industry practice in accordance with the testing and sampling protocol to be
developed by the parties, and shall provide the County access to the results of such tests and to
its operating data.
•
The contractor shall submit monthly reports as well as an annual report that summarize
Facilities operations including staffing changes, permit compliance and violations, process
control parameters, maintenance activities both corrective and preventive and any other
notable activities.
STAFFING
•
The contractor will be responsible for providing sufficient staffing of the Facilities to meet the
operation and maintenance requirements of this RFP, current law, and North Carolina
regulatory requirements. The contractor will offer employment to the County’s existing
employees at equivalent positions and comparable salaries.
•
The contractor has sole authority and responsibility to employ, discharge, and otherwise control
its employees and has complete and sole responsibility as a principal for its agents, all
subcontractors and all other persons and entities that the contractor or any subcontractor hires
to perform or assist in performing any services or obligations. The contractor shall be
responsible for ensuring that all staff meet applicable licensure requirements and training the
staff to perform the services set forth herein.
•
The contractor shall employ as the facilities manager, the individual proposed for this position in
response to the RFP. Successor managers may be selected by the contractor but must be as well
qualified as the initial manager. Successor managers will be subject to County approval. Such
Page 8
approval will not be unreasonably withheld. The plant manager shall be assigned full time to
these Facilities and located at the Facilities.
•
The contractor will be responsible for all salaries, wages and benefits to be provided its
employees.
CAPITAL AND MAINTENANCE
•
Within six months of the contractual start date, the contractor shall have implemented a
computerized maintenance management system (CMMS)(consistent with its proposal) that
includes an inventory of all Facility assets, a preventative maintenance program for such assets
consistent, with manufacturer’s recommendations and structured to track all maintenance
activities (corrective and preventative) at an asset level. The County shall have full access to the
program at all times and the contractor will transfer the license and rights to the software and
County data at the end of the contract term without additional compensation. All maintenance
work shall be performed through service requests and work orders issued through the CMMS
and include description of the work, time required and costs including the costs of any third
parties used. For corrective actions, it should also include coding identifying the type of failure
and the actions taken to remedy the situation.
•
The contractor shall provide a monthly summary of maintenance activities, including, but not
limited to:
o
Number of preventative maintenance workorders issued and completed
o
Description of all preventative maintenance workorders that were not completed within
fifteen (15) days of due date and explanation for delay.
o
Number and type of corrective maintenance workorders s issued and resolution of any
issues that have impacted Facility performance or regulatory compliance
o
Equipment that has been out of service for more than 8 hours, including cause and
anticipated return to service (scheduled and unscheduled).
•
Within one year of the contract start date, the contractor shall submit an electronic version of
its Asset Management Plan that established the criticality, condition, replacement costs and
remaining useful lives for all assets. Within six months of the contract start date, the contractor
shall submit its proposed criteria for assessing criticality and condition. The County will provide
comments within twenty-one (21) calendar days of receipt and the contractor shall revise and
submit final versions within twenty-one (21) calendar days of comments being provided.
•
The contractor shall update the Asset Management Plan periodically but at least once a year and
submit the results to the County by February off each year.
•
The County will use the Asset Management Plan to guide its capital planning and asset
replacement schedule. The County also expects that the contractor will use the Asset
Management Plan to adjust its maintenance schedule to maximize the productive lives of the
assets as well as to minimize asset failures. As an example, the County would expect the
Contractor to increase maintenance activities for more critical assets or those in poorer
condition, whereas the contractor could request approval to reduce preventive maintenance for
Page 9
less critical assets or those best left to run to failure. The contractor may propose such
maintenance changes and the County will approve provided it concurs with the contractor’s
assessment of criticality and condition for the specific equipment in question.
•
The contractor shall implement the preventative maintenance program as proposed to the
County and incorporated into the CMMS. All such work shall be documented through service
requests and work orders and the County provided monthly reports. The costs of the
preventative maintenance program will be included in the contractor’s base fee.
•
The contractor shall be responsible for all corrective maintenance activities and the County will
reimburse the contractor for such activities through the Corrective Maintenance Fund. The
County will reimburse the contractor for all costs associated with corrective maintenance
excluding on-site labor of those positions indicated in the contractor’s staffing plan plus ten (10)
percent mark-up. The County will fund the Corrective Maintenance Fund at $250,000 in
contract year one (1), $225,000 in contract year two (2), $200,000 in contract year three (3),
$175,000 in contract year four (4), and beyond. If the total costs of corrective maintenance in a
contract year exceed the Corrective Maintenance Fund budget, the County will reimburse the
contractor for all costs associated with corrective maintenance excluding typical on-site labor,
but with no mark-up. In addition, the County may disallow any corrective maintenance expenses
and require the contractor to bear the entire cost, if the contractor cannot document through
the CMMS that if was following the preventative maintenance program.
•
Capital expenditures, defined as facility improvements to increase capacity, significantly extend
the useful life of an asset and/or meet more rigorous permit requirements, will remain the sole
responsibility of the County. The County reserves the right to implement such projects using
any approach legally available to it.
•
Contractor may propose capital improvements that increase efficiency and/or reduce operating
costs. If the County authorizes the capital improvement, the County will share the savings with
the contractor on a sixty (60) percent - forty (40) percent basis with the party financing the
improvement getting the larger share. Saving will be determined by comparing the cost of actual
operations for the fiscal year after the implementation of the improvements compared to the
same cost for the fiscal year prior to the improvements.
•
During the course of this contract, the County does anticipate that capital projects will be
undertaken at the Facilities that will result in the changes to treatment processes and
replacement of equipment. The contractor will use a best efforts basis to maintain the
operations and performance of the Facilities during construction periods. The County will
compensate the contractor for additional costs incurred during construction to maintain
operations. The two parties will modify the compensation and other requirements of this
contract to reflect the impacts of such capital projects in an equitable manner.
INSURANCE AND SURETY
•
The contractor shall provide and maintain the insurance coverage required in Exhibit A, attached
and incorporated herein by reference.
•
As further security for the performance of the Contract, the contractor shall provide and
maintain a LOC equal to the total fee for the year for the benefit of the County. The LOC shall be
Page 10
provided by a financing institution having a minimum rating of "A" or its equivalent from
Standard & Poor's Corporation, Moody's Investor Service, Inc. or Fitch Investor Services. This
shall be delivered to the County at least thirty (30) days before the expiration of any existing
LOC or the contractor shall be considered to be in default.
•
Contractor agrees to protect, defend, indemnify and hold Union County, its officers, employees
and agents free and harmless from and against any and all losses, penalties, damages,
settlements, costs, charges, professional fees or other expenses or liabilities of every kind and
character arising out of or relating to any and all claims, liens, demands, obligations, actions,
proceedings, or causes of action of every kind in connection with or arising out of this
agreement and/or the performance hereof that are due, in whole or in part, to the negligence of
the contractor, its officers, employees, subcontractors or agents. Contractor further agrees to
investigate, handle, respond to, provide defense for, and defend the same at its sole expense
and agrees to bear all other costs and expenses related thereto.
COMPLIANCE AND REMEDIES
•
Except with respect to the parties' respective payment obligations, neither the County nor the
contractor shall be liable to the other for any failure or delay in performance of any obligation
under the Contract due to the occurrence of an uncontrollable circumstance. The party
experiencing the uncontrollable circumstance shall bear the burden of proof and shall promptly
notify the other party and give specific information relating to the uncontrollable circumstance,
including the impact on the party's obligations under the Service Agreement and any mitigating
measures.
•
Force majeure events will relieve both parties of their responsibilities, but both parties will use
best efforts basis to restore facilities and activities in a timely manner.
•
The contractor shall comply with all permit requirements and operating standards continuously.
If the contractor fails to do this, it shall:
o
Promptly notify the County within twenty-four hours of such failure;
o
Promptly provide the County with any notices received from any governmental
regulatory body within twenty-four hours of receipt;
o
Pay any related damages, fines, judgments and awards, and indemnify the County and
its agents and employees from all related liabilities and damages; at its own cost and
expense, take any action necessary (including repairs and replacements) to comply with
the contractual requirements and prevent a reoccurrence of non-compliance. The
County will work with the contractor to assure an equitable allocation of costs between
the parties;
o
As directed by the County, provide appropriate notification to the public, handle all
inquiries from the public, and manage all media relations.
o
Furnish a report to the County within fourteen calendar days identifying the root cause
of the excursion and remedies taken to prevent further instances of such.
Page 11
•
The remedies available to the County for breach of the contract by the contractor include:
termination; assessing liquidated damages and/or real damages; and/or the County taking
corrective actions, and any other legal and equitable remedies available pursuant to applicable
law.
•
Events of default by the contractor, which will permit termination of the contract without notice
and cure opportunity, consist of:
•
o
The occurrence of three significant noncompliance events (an event with a penalty in
excess of $5,000) in any rolling twelve (12)month period with respect to the operation
of the Facilities;
o
Failure to meet any of the specific Effluent Requirements on a six (6)month rolling
average basis;
o
The failure to operate and maintain or the abandonment of the Facilities; and
o
Bankruptcy or insolvency (whether voluntary or involuntary) of the contractor
o
Failure to provide required insurance or the annual LOC
DISPUTE RESOLUTION—The contract will require that the parties seek to mediate a dispute prior
to resorting to litigation.
PAYMENT AND PRICING STRUCTURE
The contractor shall invoice the County in arrears every month within fifteen (15) days of the end of the
month. The County will pay all undisputed amounts within thirty (30) days of receipt of invoice
SUBMITTAL OF PROPOSALS
GENERAL INSTRUCTIONS AND SUBMITTAL DEADLINE
Contractors are requested to submit one original and 4 copies of the proposal to:
Union County Administrative Services
Union County Procurement Manager
500 North Main St., Suite 700
Monroe, NC 28112
Proposals are due on September 30, 2013 by 2 p.m. local time. No facsimile copies will be accepted. The
package should be clearly labeled “Proposal for the Operation, Maintenance and Management of the
Union County Wastewater Facilities - #2014-001.”
QUALIFICATIONS AND TECHNICAL APPROACH
Page 12
The Qualifications and Technical Approach document must provide the following information and be
organized into sections that include at least the following:
•
Cover Letter
•
Required Standards
•
Qualifications
•
Technical Approach
•
Appendices (primarily for supporting financial information, and detailed staff resumes)
Narrative pages are to be 8½x11 inches font size no smaller than Arial 11pt. and all materials shall be
bound into one volume. A clear and concise presentation of information is encouraged. Total number of
pages in the Required Standards, Qualifications and Technical Approach sections shall not exceed
twenty-five (25), excluding any appendices the contractor may choose to submit.
Contractors are required to organize the information requested in this RFP in accordance with the
format outlined. Failure of the contractor to organize the information required by this RFP as outlined
may result in the County, at its sole discretion, disqualifying the contractor from further consideration.
COVER LETTER
The proposal must include a letter of transmittal attesting to its accuracy. The cover letter should
provide the name, address and telephone and email address of the contractor along with the name,
title, address and telephone and email address of the executive that has the authority to contract with
the County.
REQUIRED STANDARDS
This section establishes standards of experience and financial capabilities that the County requires for a
contractor to be considered qualified. The County, at its sole discretion, will decide if a contractor meets
the standards. Full service public-private contracts for operation, maintenance and management means,
at a minimum, providing all labor and management, paying all operation and maintenance expenses and
guaranteeing performance including regulatory agency compliance.
Contractor must:
•
Have been in the business of providing full service public-private contracts for operation,
maintenance and management of water and wastewater treatment facilities for at least ten
years.
•
Have existing full service public-private contracts for operation, maintenance and management
of wastewater treatment facilities that have been in effect for at least five years.
•
Have operated at least three facilities during the past ten years that are comparable in size and
complexity to the County’s Facilities with a strong record of environmental compliance. Describe
the contractor’s approach to meeting and guaranteeing regulatory compliance.
Page 13
•
Have proven business systems in full service public-private contracts for operation, process
control, maintenance, asset management and the general management of treatment facilities.
Describe the systems and cite examples of past and present utilization. Describe the contractor’s
approach and systems utilized in:
−
Process Control
−
Maintenance Management
−
Asset Management
−
Staff Development and Training
•
Have experience in working with engineers to modify treatment systems to improve
performance.
•
Have experience in successfully transitioning projects and the associated public employees into
the private sector. Site specific examples of transition experience that is on a comparable or
larger scale to the County’s Facilities and provide references.
•
Have experience in successfully implementing risk management and safety plans.
•
Have experience in successfully implementing emergency response plans. Describe the
contractor’s experience in preparing for or responding to emergency situations and in assisting
communities to address critical needs in these situations. Identify the number of the contractor’s
employees in the region who could supplement the efforts of existing on-site staff should the
need arise.
•
Have a strong record of health, safety and environmental compliance. Provide the contractor’s
current Occupations Safety and Health Administration (OSHA) recordable rate and Experience
Modification Rate (EMR) and information about any health, safety or environmental violations
within the last five years. Describe the contractor’s approach to meeting and guaranteeing safety
compliance.
•
Be able to furnish liability and property damage insurance of not less than $2,000,000 combined
single limits for bodily and/or property damage. Submit evidence of the ability to provide
coverage in this amount.
•
Be able to secure a letter of credit from a national bank rated A in effect for each year of the
contract equal to the annual total fee. The contractor shall provide a letter from the financial
institution indicating the financial institutions willingness to provide an acceptable letter of credit
to the contractor.
QUALIFICATIONS
Contractors shall demonstrate their ability to undertake the County’s project by providing the technical
qualifications of the contractor, individual team members and principal subcontractors, if applicable.
The County reserves the right to conduct an independent investigation of the contractor’s technical
Page 14
qualifications by contacting project references, accessing public information, inspecting facilities or
contacting independent parties. Additional information may be requested during the evaluations of
technical qualifications. The contractor shall provide the following information to demonstrate its
technical qualifications:
CORPORATE PROFILE:
•
Include the full name, tax identification number, main office address and telephone and facsimile
numbers of the contractor and the principal contact person. This shall include a description of the
firm or organization (corporation, partnership, joint venture, etc.) that will serve as the
contracting party. A project organization chart clearly delineating lines of authority within the
organization is required. The history, ownership, organization and background of the contractor
shall also be provided.
•
If the contractor is a joint venture, the required information shall be submitted for each member
of the joint venture firm. The contractor shall describe the history of the relationships among
team members, including a description of past working relationships.
•
The proposal shall also identify which portions of the work, if any, will be subcontracted. If
subcontractors are proposed, the proposed contractual relationships between the contractor and
all major partners and subcontractors relative to the project shall be outlined in the proposal.
•
Identify when the contractor was organized and, if a corporation, where incorporated and how
many years engaged in providing contract operations, maintenance and management services
under that name.
•
Provide a description of the circumstances, if any, related to any County employee, Board of
County Commission member or other officer, employee or person who is payable in whole or in
part from the County that has or had any material direct or indirect personal interest in the
contractor.
•
Identify any of its operations and maintenance contracts that have been prematurely terminated
during the past ten years including the client and the reason for the termination.
•
Identify any lawsuits filed against the contracting party over the last five years
FINANCIAL QUALIFICATIONS:
•
Submit audited financial statements for the contracting entity for the past three fiscal years. The
financial statements must include income statements, balance sheets and statements of cash
flow.
•
If the contracting entity is a publicly traded entity, provide any 10-Q reports that have been filed
in the past year.
RELEVANT EXPERIENCE AND REFERENCES:
•
Provide information about the contractor’s overall experience with operating wastewater
treatment facilities in the United States. Provide details (size of facilities, scope of responsibilities,
duration of relationship and processes utilized) on representative treatment facilities the
contractor operates under a private contract operations and maintenance arrangement in the
Page 15
United States for the past ten (10) years. Provide current contact information for all such
contracts.
•
Describe the contractor’s experience and capacity to serve communities in the Southeastern
United States.
•
Provide a complete list of the contractor’s current projects with information about the
contracted scope of services, contract start date and client reference.
•
Describe the contractor’s experience operating plants during capital upgrades and replacements
including a description of the capital improvements that were being implemented.
ADDITIONAL CAPABILITIES:
•
Detail the contractor’s capability to provide additional resources to assist in technical
troubleshooting and capital planning. Explain how these resources are sourced (i.e., from affiliate
companies, subcontractors) and whether these services are provided as part of the services
offered under the base operating fee (as opposed to hourly billing).
•
Highlight other capabilities of the contractor that could be brought to bear on this project.
TECHNICAL APPROACH
In this section, contractors will address their approach to operating, maintaining and managing the
Facilities, including:
•
Management Team who will be accountable for the project and the technical personnel that will
support the project
•
Staffing Plan: The contractor shall submit a staffing plan as part of the proposal indicating the number
and type of positions that will be regularly assigned to the project and will constitute the on-site staff as
referenced in this RFP. Shift schedules, staff complements and staff organization in terms of licenses as
well as duties. This should include a full description of the experience and capabilities of the proposed
project manager and other key on-site staff. Staffing should include the full staff complement required to
discharge the responsibilities described herein including all anticipated corrective and preventative
maintenance requirements.
•
Transition Approach
•
Operating Plan
−
Process control Plan, management oversight, monthly operations report to County in
addition to DMR for regulatory compliance
−
Describe local services as well as those that will be provided from central (corporate)
location
−
Emergency Response Plan
Page 16
−
•
Laboratory and Quality Assurance Plan
Maintenance Plan/Asset Management
−
Description of proposed computer maintenance management system (CMMS). Operator
shall demonstrate how they will implement a CMMS system within the first six (6) months of
operations of the facilities to track and report on the status of both preventive and
corrective maintenance activities. Describe the management level report that will be
provided to the County. Also describe the key performance indicators that the contractor
would propose to include in the monthly and annual reports to the County.
−
Describe the operators suggested preventative and predictive maintenance program they
would propose as part of these services and how they envision maintenance schedules to be
adjusted based on asset criticality and condition.
−
Description of asset management approach including process and protocols for assessing
criticality and condition
PRICE PROPOSAL
A separately sealed price proposal shall be provided. The submittal document for complying with the
price proposal portion of this procurement must contain at least the following topics:
•
Summary
•
Price proposal for operating and maintaining the Facilities consistent with the requirements of
the RFP as qualified in subsequent sections. (Note that the base fee should include the full costs
of preventative maintenance program and on-site labor costs for corrective maintenance, but
excluding all other corrective maintenance costs.)
•
Separate prices should be provided for electricity, chemicals and biosolids disposal including
transportation. The contract will include separate prices for these items and each will be
adjusted with appropriate price indices.
•
The proposer should provide the first year base fee to fully discharge the requirements under this
RFP.
•
Future year base fee costs will be adjusted using the Employment Cost Index published quarterly
by the Federal Bureau of Labor Statistics.
Page 17
The price proposal shall be submitted in accordance with the specified format in this RFP and shall be
complete in every detail. The pricing shall be based on the terms in the draft contract and summarized
in the Key Business Terms section of this RFP. Failure to follow this requirement will be considered
cause for disqualification.
If the contractor takes exception to terms and conditions, they must provide an alternative proposal
that includes the alternative language, an explanation of the benefits of the proposed change to the
County and finally the impact of the proposed change on the Service Fee.
The following definitions shall be applicable to the price items requested in this section:
BASE OPERATIONS AND MAINTENANCE FEE
The Base Operations and Maintenance Fee shall include all operation and maintenance (O&M) cost to
provide the services described in the proposal including but not limited to:
•
Personnel Services – Includes, but is not limited to, salaries, wages, overtime, pay differential,
longevity, unemployment compensation, holiday pay, meal allowance, education assistance,
hospital, medical, dental plans, life insurance, retirement contributions, sick leave and other costs
directly attributable to employees.
•
Equipment – Includes, but is not limited to, office equipment, laboratory equipment, safety
equipment, tools, communication equipment, maintenance equipment, vehicles, mechanical
equipment and manually operated equipment.
•
Materials and Supplies – Includes, but is not limited to, gasoline and diesel fuel, vehicle supplies,
vehicle accessories, office supplies, duplication and photo supplies, medical supplies, clothing
and uniforms and other materials and supplies, but excluding chemicals used in the treatment
process or for control of odors.
•
Utilities - all utilities, necessary for the operations of the facilities other than electric power costs
•
Laboratory/Analytical Services - laboratory supplies, chemicals/reagents, contracted laboratory
services
•
Preventive maintenance – Includes all labor, materials and supplies necessary for the ongoing
preventative maintenance of or all structures and equipment within the facilities including but
not limited to tools, outside services, maintenance equipment rental, oil and grease, packing,
paint, other consumables and wear items with a unit price of less than $5,000. Replacement
items over $5,000 per item will be reimbursed by the County with prior approval as part of the
Corrective Maintenance Fund.
•
The costs associated with corrective maintenance should not be included in the Base Fee, except
for the necessary on-site maintenance staff. As described previously, the County will reimburse
the contractor for corrective maintenance expenses, excluding on-site labor, from the Corrective
Maintenance Fund.
•
Grounds Maintenance shall include mowing and edging and weed-eating the facility property to
the property lines to keep grass areas no more than six (6) inches in height, inside or out of the
Page 18
fence lines, and to prevent any vegetative growth off of property fences. Maintain all landscaping
on grounds including mulch, shrubs and trees.
•
Other – Includes amortization of contractor furnished capital and start-up costs and any and all
expenses not identified in any other specific category.
The base fee will be escalated annually using the Bureau of Labor Statistic’s Employment Cost Index.
CHEMICALS
•
Includes the cost for all process chemicals used in the treatment process at the Facilities
The cost of chemicals will be adjusted annually based on the Bureau of Labor Statistics’ Producer
Price Index for Water Treating Compounds (Series ID WPU06790961).
POWER
•
Include the cost for all electrical power used in the treatment process at the Facilities
•
The cost of electricity will be adjusted annually in accordance with Public Utilities Commission
approved applicable rate changes for the local utility—Union Power.
BIOSOLIDS DISPOSAL/ REUSE
•
Includes the cost for biosolids transport and disposal/reuse by contractor or subcontractor.
The costs of biosolids transport and disposal/reuse will be adjusted annually using the
Bureau of Labor Statistics’ Producer Price Index for the Transportation of Freight (Series ID
WPU3012.)
Pricing shall be presented using the following format:
Price Proposal for First Full Year of Operation for the Current Scope of Services
Base Fee
$
Chemicals
$
Electric Power
$
Biosolids Disposal
$
Corrective Maintenance Fund *
$250,000
Total Annual Price
*
$
As described elsewhere this amount will be adjusted over the first five years of the contract.
Page 19
Termination Fee
$
REVIEW AND EVALUATION
Each contractor’s submission will be reviewed for completeness and responsiveness to the RFP
requirements. Any proposer that does not follow the submission requirements described herein may be
deemed non-responsive and the proposal will not be considered any further. Based on its review and
evaluation of the proposals, the County will select the most qualified contractor to begin negotiations.
The selection will be based on the contractor’s demonstrated ability to technically and financially
perform the services outlined in this document. Specifically, proposals will be evaluated based upon the
criteria presented in the subsequent paragraphs.
EVALUATION CRITERIA
In evaluating the RFP, the County will utilize the requirements outlined in this section to identify the
contractor best qualified to perform the services.
Corporate Profile Qualifications – The contractor will be evaluated based on the breadth of
its capabilities, project organization structure and years of experience providing similar
services.
Experience & Technical Qualifications – The contractor’s experience will be evaluated based
upon its past history of successfully providing operations and maintenance services for
similar facilities. The response will be evaluated based on the number of similar facilities
operated and maintained under similar scenarios and the number of contracts, duration of
the contracts and size of the facilities serviced. References will be contacted in order to
verify satisfactory performance on other similar projects. Any reference of a specific client,
project or contract will include the contact information for those referenced.
Financial Qualifications – Financial information will be evaluated to determine the overall
capacity of the contractor to carry out the contractual commitments for the requested
services. At a minimum, the contractor must demonstrate tangible net worth, in each of the
past three years, of at least $3 million. The contractor must also demonstrate its ability to
secure a letter of credit equal to the total annual fee. The contractor shall demonstrate that
the company, or any affiliate of the company, has never filed for bankruptcy.
Technical Approach – The contractor will be evaluated based upon the demonstrated
capability and experience of the proposed management team to meet the specific
operational and maintenance requirements of this project. Contractor shall also
demonstrate its understanding of the Facilities and that it possesses technical resources and
proven business system and processes to effectively manage the key aspects of the
Facilities including process control, laboratory QA/QC, sludge management, facility
maintenance and repair, asset management and capital improvement planning, safety and
staff development.
Page 20
Pricing
EVALUATION OF PROPOSALS
Each proposal will be reviewed against the terms of this RFP to determine if the submittal is complete
and responsive and how well the contractor satisfies the evaluation criteria. The County may reject any
submittal found to be incomplete, unresponsive or not in compliance with the requirements set forth in
this RFP. A submittal may be determined to be unresponsive if any aspect is found to be unacceptable or
contrary to the best interests of the County.
The County reserves the right to reject all responses to the RFP and is under no obligation to award a
contract.
The County intends to select the most responsive contractor and to negotiate an Agreement, then price
with this firm. However, should the negotiation with the most responsive contractor not produce an
acceptable contract arrangement, the County may then request the next most responsive contractor to
begin negotiations.
The responsibility for the final selection and negotiation rests solely with the County.
The County shall not be liable to any contractor for costs associated with responding to the RFP for the
contractor’s participation in any oral interview, or for any costs associated with the negotiations.
Page 21
EXHIBIT A
INSURANCE REQUIREMENTS
At Contractor’s sole expense, Contractor shall procure and maintain the following minimum insurances
with insurers authorized to do business in North Carolina and rated A-VII or better by A.M. Best.
A.
WORKERS’ COMPENSATION
Statutory limits covering all employees, including Employer’s Liability with limits of:
B.
$500,000
Each Accident
$500,000
Disease - Each Employee
$500,000
Disease - Policy Limit
COMMERCIAL GENERAL LIABILITY
Covering all operations involved in this Agreement.
C.
$2,000,000
General Aggregate
$2,000,000
Products/Completed Operations Aggregate
$1,000,000
Each Occurrence
$1,000,000
Personal and Advertising Injury Limit
$5,000
Medical Expense Limit
COMMERCIAL AUTOMOBILE LIABILITY
$1,000,000
D.
Combined Single Limit - Any Auto
PROFESSIONAL LIABILITY
$1,000,000
Per Occurrence
Contractor shall provide evidence of continuation or renewal of Professional Liability Insurance for a
period of two (2) years following termination of the Agreement.
E.
POLLUTION LIABILITY INSURANCE
$1,000,000
Per Occurrence
Contractor shall provide evidence of continuation or renewal of Pollution Liability Insurance for a period
of two (2) years following termination of the Agreement.
F.
TECHNOLOGY ERRORS & OMISSIONS
Page 22
$1,000,000
Per Occurrence
Contractor shall provide evidence of continuation or renewal of Technology Errors & Omissions
Insurance for a period of two (2) years following termination of the Agreement.
G.
SEXUAL MISCONDUCT OR SEXUAL MOLESTATION
$300,000
Per Claim
$300,000
Aggregate Limit
ADDITIONAL INSURANCE REQUIREMENTS
A.
The Contractor’s General Liability policy shall be endorsed, specifically or generally, to
include the following as Additional Insured:
UNION COUNTY, ITS OFFICERS, AGENTS AND EMPLOYEES ARE INCLUDED AS
ADDITIONAL INSURED WITH RESPECTS TO THE GENERAL LIABILITY INSURANCE POLICY.
B.
Before commencement of any work or event, Contractor shall provide a Certificate of
Insurance in satisfactory form as evidence of the insurances required above.
C.
Contractor shall have no right of recovery or subrogation against Union County
(including its officers, agents and employees), it being the intention of the parties that the insurance
policies so affected shall protect both parties and be primary coverage for any and all losses covered by
the above-described insurance.
D.
Union County shall have no liability with respect to Contractor’s personal property
whether insured or not insured. Any deductible or self-insured retention is the sole responsibility of
Contractor.
E.
Notwithstanding the notification requirements of the Insurer, Contractor hereby agrees
to notify Countys Risk Manager at 500 N. Main Street # 130, Monroe, NC 28112, within two (2) days of
the cancellation or substantive change of any insurance policy set out herein. Union, in its sole
discretion, may deem failure to provide such notice as a breach of this Agreement.
F.
The Certificate of Insurance should note in the Description of Operations the following:
Department:
_____________________
Contract #:
_____________________
G.
Insurance procured by Contractor shall not reduce nor limit Contractor’s contractual
obligation to indemnify, save harmless and defend Union County for claims made or suits brought which
result from or are in connection with the performance of this Agreement.
H.
Certificate Holder shall be listed as follows:
Union County
Attention: Risk Manager
Page 23
500 N. Main Street, Suite 130
Monroe, NC 28112
I.
If Contractor is authorized to assign or subcontract any of its rights or duties hereunder
and in fact does so, Contractor shall ensure that the assignee or subcontractor satisfies all requirements
of this Agreement, including, but not limited to, maintenance of the required insurances coverage and
provision of certificate(s) of insurance and additional insured endorsement(s), in proper form prior to
commencement of services.
Page 24