City of Lake Saint Louis, MO Chapter 140 Procurement

Article I Purchasing System

Section 140.010 Purchasing Agent Designated.

[CC 1988 §25.010; Ord. No. 691 §2, 6-18-1990; Ord. No. 1185 §1, 5-5-1997]

The City Administrator is hereby authorized to appoint a purchasing agent for the City who shall, acting through the City Administrator when authorized, procure for the City bids for supplies and services needed by the City in accordance with the procedures prescribed by this Article.

Section 140.020 Duties, Generally.

[CC 1988 §25.020; Ord. No. 1185 §1, 5-5-1997]

A. In addition to the purchasing authority conferred in the preceding Section and in addition to any other powers and duties conferred by this Article, the City Administrator shall:

1. Act to procure for the City the highest quality in supplies and services at the least expense to the City.

2. Endeavor to obtain as full and open competition as possible in all purchases and sales.

3. Keep informed of current developments in the field of purchasing, prices, market conditions and new products and secure for the City the benefits of research done in the field of purchasing by other governmental jurisdictions, national technical societies, trade associations, and by private businesses and organizations.

4. Explore the possibilities of buying "in bulk" so as to take full advantage of discounts.

5. Act so as to procure for the City all Federal and State tax exemptions to which it is entitled.

Section 140.030 Conflict of Interest. [1]

[CC 1988 §25.030; Ord. No. 1185 §1, 5-5-1997]

No officer or employee of the City shall transact any business in his/her official capacity with any business entity of which he/she is an officer, agent or member or in which he/she owns a substantial interest; nor shall he/she make any personal investments in any enterprise which will create a substantial conflict between his/her private interest and the public agent or member, or the owner of substantial interest, sell any goods or services to any business entity which is licensed by or regulated in any manner by the agency in which the officer or employee serves. All City officers and employees are bound by the conflict of interest requirements in Section 105.454, RSMo.

[1] Cross Reference — As to conflicts of interest, ch. 119 of this Title.

Section 140.040 Conflict of Interest, Officers and Employees Not To Deal With Certain Entities.

[CC 1988 §25.040; Ord. No. 1185 §1, 5-5-1997]

No officer or employee of an agency shall enter into any private business transaction with any person or entity that has a matter pending or to be pending upon which the officer or employee is or will be called upon to render a decision or pass judgment. If any officer or employee is already engaged in the business transaction at the time that a matter arises, he/she shall be disqualified from rendering any decision or passing any judgment upon the same.

Section 140.050 Purchasing Goods and/or Services from City Employees. [1]

[Ord. No. 3490 §1, 12-7-2015]

A. The ICMA Code of Ethics adopted by the City of Lake Saint Louis states that employees shall not leverage their positions for personal gain or benefit. Therefore, City employees are prohibited from selling goods or services to the City unless he/she can meet a four-part exception. In order for this exception to apply, the employee must show that all four of the following requirements are met:

1. The goods and services are necessary.

2. The goods or services are part of a continuing course of business that was established prior to the employee being hired by the City, or the goods or services are unobtainable elsewhere for the same or lower cost. For the latter, the City must use an objective price comparison and follow the City's purchasing policies in a fair and impartial competitive purchasing process.

3. The treatment that the employee provides to the City is the same as, or better than, the treatment provided to other customers in similar transactions.

4. The employee did not use his/her unique access as a City employee to secure the transaction, the employee has made the City fully aware of his/her interest in the transaction, and the employee was not involved in the City's decision-making process.

B. The City will not make purchases from City employees or immediate family members, etc., unless the above four-part exception is met and the transaction is in full compliance with the City's ethics policy. This must be documented in advance of making a purchase commitment. If you desire to make a purchase for which a City employee may be a potential supplier, you must follow the City's standard purchasing procedures. The City Administrator must sign off on any potential purchase prior to making a purchase commitment.

[1] Editor's Note: Former Section 140.050, Gifts and Rebates, as adopted and amended by CC 1988 §25.050; Ord. No. 1185 §1, 5-5-1997, was repealed 11-6-2006 by Ord. No. 2359 §1.

Section 140.060 Formal Contract Procedure.

[CC 1988 §25.060; Ord. No. 1185 §1, 5-5-1997; Ord. No. 1897 §1, 9-23-2003; Ord. No. 2792 §1, 11-2-2009; Ord. No. 2999 §1, 9-6-2011]

A. Procurement Of Budgeted Supplies, Equipment And Services.

1. The following procedures shall apply when procuring supplies, equipment or services that have been adopted within the City budget by the Board of Aldermen and the purchase of the supplies, equipment or services is less than the budgeted amount. All supplies, equipment and services, except as otherwise provided in this Article, when the estimated cost thereof shall be less than one thousand dollars ($1,000.00), supplies, equipment and services shall be purchased by approval of the department head and the City Administrator or his designee without bids or proposals. Department heads shall always strive to maximize value and to minimize costs when making these purchases; when the estimated cost shall be one thousand dollars ($1,000.00) but less than five thousand dollars ($5,000.00), supplies, equipment and services shall be purchased after receipt of three (3) verbal proposals and approval of the department head and the City Administrator or his designee; when the estimated cost shall be five thousand dollars ($5,000.00) but less than fifteen thousand dollars ($15,000.00), supplies, equipment and services shall be purchased after receipt of three (3) written proposals and approval of the City Administrator or his designee; when the estimated cost shall be fifteen thousand dollars ($15,000.00) or more, supplies, equipment and services shall be purchased after receipt of sealed bids or proposals with due notice and approval of the Board of Aldermen. The Board of Aldermen may expressly waive the sealed bids or proposals requirement for purchases exceeding fifteen thousand dollars ($15,000.00) upon their determination that this requirement causes unnecessary costs to the City.

2. These procedures shall apply to all purchase requisitions submitted for supplies, equipment and services.

3. The City Administrator is authorized to sign contracts that have a value less than fifteen thousand dollars ($15,000.00) as long as the contract is for budgeted supplies, equipment or services and the contract amount is within budget.

B. Procurement Of Vehicles From State, County, Municipality Bid Contracts. The following procedures shall apply when procuring vehicles that have been adopted within the City budget by the Board of Aldermen and the purchase of the vehicles is less than the budgeted amount. The City Administrator is authorized to purchase vehicles that have been awarded through a competitive procurement process for a State, County or municipal bid.

Section 140.061 Exception For Used Equipment.

[Ord. No. 2112 §1, 12-6-2004]

Because of the difficulty in soliciting bids for used equipment through a formal process, the formal contract procedure requirements for used equipment purchases over five thousand dollars ($5,000.00) may be waived with the permission of the City Administrator provided that the purchase of the item was approved by the Board of Aldermen and included in the budget.

Section 140.062 Purchase Order.

[Ord. No. 2792 §3, 11-2-2009]

Blanket Purchase Orders. Blanket purchase orders are allowed with the approval of the department head and the City Administrator. Blanket purchase orders less than one thousand dollars ($1,000.00) and within the budgeted line item amount may be authorized by the department head. Blanket purchase orders more than one thousand dollars ($1,000.00) and less than fifteen thousand dollars ($15,000.00) also within the budgeted line item amount may be authorized by the City Administrator.

Section 140.063 Sale of City-Owned Property.

[Ord. No. 2792 §4, 11-2-2009]

Personal property and real property valued at less than one thousand dollars ($1,000.00) may be sold at the discretion of the City Administrator. Property valued over one thousand dollars ($1,000.00) may be sold with the approval of the Board of Aldermen.

Section 140.070 Purchases.

[CC 1988 §25.070; Ord. No. 1185 §1, 5-5-1997]

All purchases of goods or services will be accomplished in a non-discriminating manner in regards to race, creed, national origin, religion, sex, age or disability.

Section 140.080 Notice Defined.

[CC 1988 §25.080; Ord. No. 1185 §1, 5-5-1997]

A. The notice required by Section 140.060 shall consist of the following:

1. Notice inviting bids shall be published once in at least one (1) official newspaper of the City and at least five (5) days preceding the last day set for the receipt of proposals. The newspaper notice required herein shall include a general description of the articles to be purchased or sold, shall state where specifications may be secured, and the time and place for opening bids.

2. In addition to the above, the City Administrator may also solicit sealed bids by:

a. Direct communication request to prospective vendors,

b. By telephone, as may seem to him/her to be in the best interest of the City, and

c. Posting in City Hall.

Section 140.090 Bid Opening Procedure.

[CC 1988 §25.090; Ord. No. 1185 §1, 5-5-1997]

Bids shall be submitted sealed to the City Administrator and shall be identified as bids on the envelope. They shall be opened in public at the time and place stated in the public notices. A tabulation of all bids received will be posted for public inspection.

Section 140.100 Lowest Responsible Bidder.

[CC 1988 §25.100; Ord. No. 1185 §1, 5-5-1997]

A. Contracts shall be awarded to the lowest responsible bidder. Bids shall not be accepted from, nor contracts awarded to, a contractor who is in default on the payment of taxes, licenses or other monies due the City. In determining "lowest responsible bidder", in addition to price, the following shall be considered.

1. The ability, capacity and skill of the bidder to perform the contract or provide the service required;

2. Whether the bidder can perform the contract or provide the service promptly, or within the time specified, without delay or interference;

3. The character, integrity, reputation, judgment, experience and efficiency of the bidder;

4. The quality of performance of previous contracts or services;

5. The previous and existing compliance by the bidder with laws and ordinances relating to the contract or service;

6. The sufficiency of the financial resources and ability of the bidder to perform the contract or provide the service;

7. The quality, availability and adaptability of the supplies or contractual services to the particular use required;

8. The ability of the bidder to provide future maintenance and service for the use of the subject of the contract;

9. The number and scope of conditions attached to the bid;

10. The Board of Aldermen reserves the right to reject any and all bids and waive any technicality or informality.

Section 140.110 Bids Accepted.

[CC 1988 §25.110; Ord. No. 1185 §1, 5-5-1997]

All bids shall be accepted or rejected by the Board of Aldermen. When the award is not given to the lowest bidder, a full and complete statement of the reasons for placing the order elsewhere shall be entered upon the minutes of the Board. Local suppliers shall be considered whenever possible.

Section 140.120 Tie Bids.

[CC 1988 §25.120; Ord. No. 1185 §1, 5-5-1997]

If all bids received or the lowest bids received are for the same total amount or unit price, quality and service being equal, the contract shall be awarded by the Board of Aldermen.

Section 140.130 Open Market Procedure.

[CC 1988 §25.130; Ord. No. 1185 §1, 5-5-1997]

A. All open market purchases shall, whenever possible, be based on at least three (3) competitive bids and shall be awarded to the lowest responsible bidder in accordance with the standards set forth in this Article.

B. The City Administrator shall keep a record of all bids submitted in competition, and such records shall be open to public inspection.

Section 140.135 Purchase/Sale of Real Estate.

[Ord. No. 2201 §1, 8-15-2005]

A. Purchase Of Real Estate.

1. All purchases of real estate shall be based on a certified appraisal.

2. Services of a real estate agent shall only be solicited if:

a. The services are clearly necessary and the need can be documented; and

b. The Board authorizes hiring the agent.

B. Sale Of Real Estate.

1. All sales of City-owned real estate must be authorized by the Board of Aldermen.

2. In most cases, the disposal of surplus real estate will be publicly bid. However, there may be certain cases when the property to be disposed of has little or no value to any party other than the owner of the adjoining property. In these cases, the Board of Aldermen may elect to waive the public bid and negotiate a contract with the owner of the adjacent property. Negotiations shall always be based on an appraisal completed by a certified appraiser working on behalf of the City.

Section 140.140 Emergency Purchases.

[CC 1988 §25.140; Ord. No. 1185 §1, 5-5-1997]

In case of an apparent emergency which requires immediate purchase of supplies or contractual services, the Mayor or City Administrator may authorize the purchase at the lowest obtainable price any supplies or contractual services regardless of the amount of the expenditure. A full explanation of the circumstances of an emergency purchase shall be recorded in the journal of the Board of Aldermen.

Section 140.150 Contractual Services.

[CC 1988 §25.150; Ord. No. 1185 §1, 5-5-1997]

Shall mean and include all telephone, gas, water, electric light and power service; towel and cleaning service; insurance; leases for all grounds, buildings, office or other space required by the using agencies; and the rental, repair or maintenance of equipment, machinery and other City-owned personal property. The term shall not include professional and other contractual services which are in their nature unique and not subject to competition.

Section 140.160 Cooperative Procurement.

[CC 1988 §25.160; Ord. No. 1185 §1, 5-5-1997]

To the maximum extent practicable, the purchases of this City shall be made under the provisions of the Missouri State-Local Technical Services Act. The provisions of this Article requiring competitive bidding at the local level shall not apply to such purchases.

Article II Selection of Professional Services

Section 140.170 Definitions.

[CC 1988 §25.200; Ord. No. 1185 §1, 5-5-1997; Ord. No. 3023 §1, 11-21-2011]

As used in this Article, the following words shall have these prescribed meanings:

DESIGN PROFESSIONALS

Architects, professional engineers or registered land surveyors performing work in connection with professional employment or practice shall be considered design professionals.

FIRM

Any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice architecture, engineering or land surveying in the State of Missouri or to provide professional services as described herein.

OTHER PROFESSIONALS

All professional services not included in the definition of design professionals shall be considered other professionals.

PROFESSIONAL SERVICES

Those services within the scope of practice of architecture, engineering or land surveying, as defined by the laws of the State of Missouri, or those performed by any architect, professional engineer or registered land surveyor in connection with this professional employment or practice. Furthermore, the term "professional services" shall encompass the services provided by planning consultants, insurance consultants, computer consultants, accountants, and other persons/firms providing consulting services.

Section 140.180 Roster of Consultants.

[CC 1988 §25.210; Ord. No. 1185 §1, 5-5-1997; Ord. No. 3023 §2, 11-21-2011]

A. Maintenance Of Roster.

1. The City Engineer will maintain a roster, classified by discipline of qualified firms or individuals offering design professional services interested in performing professional services for the City. Names of firms will be placed on the roster upon their request, at the request of the Mayor or members of the Board of Aldermen, or when recommended by the City Administrator.

2. The City Clerk will maintain a roster classified by profession of qualified firms or individuals offering other professional services interested in performing professional services for the City. Names of firms will be placed on the roster upon their request, at the request of the Mayor or members of the Board of Aldermen, or when recommended by the City Administrator.

3. Each firm meeting the following minimum qualifications shall be deemed to be a qualified firm and meeting the qualifications of the City.

a. Duly authorized to conduct business in the State of Missouri in their particular profession.

b. Professional registration by the State of Missouri, if required.

c. At least one (1) staff professional assigned to each project. Adequacy of personnel will be determined on a contract-by-contract basis against the City's estimate of manpower required to perform the work in the desired time frame.

4. Each firm listed on the roster shall be responsible for maintaining a current resume describing its qualifications and experience with the City. Data which should be included is as follows:

a. Firm name, address, and telephone numbers.

b. Year established and former firm names (if applicable).

c. Types of services for which it is qualified.

d. Names of principals of the firm and States in which they are registered, if registration is required in that profession.

e. Names of key personnel, with experience of each and length of time in the organization.

f. Number of staff available for assignment.

g. Outside consultants and associates usually retained.

h. The past record of performance of the firm with respect to such factors as control of costs, quality of work, and ability to meet schedules.

i. Current projects underway and estimated cost of each.

Section 140.190 Classes of Services and Selection Process.

[CC 1988 §25.220; Ord. No. 1185 §1, 5-5-1997; Ord. No. 2792 §5, 11-2-2009; Ord. No. 3023 §3, 11-21-2011]

A. Projects will be divided into three (3) classes as follows:

1. Class A. Services for projects where fees are less than fifteen thousand dollars ($15,000.00). When a department of the City identifies a project for which professional services will be necessary, the department will draft a scope of services for the specific project. The scope of services will be submitted to the City Administrator for authorization to initiate the project. The scope of services should include the following:

a. A description of the work required and its objectives.

b. The nature of specific tasks and services to be accomplished.

c. The type and amount of assistance to be given by the City department involved.

d. Required time frame.

e. Financial conditions or limitations; grant programs involved.

Advertising for this class of project is exempt. The City Administrator shall have discretion regarding the necessity to require a competitive selection process for this class of project, and shall have the authority to sign all necessary documents securing the services of the professional service contractor.

2. Class B — design professionals. Services for projects where fees are fifteen thousand dollars ($15,000.00) or more. Selection of design professionals:

a. Request for proposals. The department responsible for delivery of the project in question shall select not less than three (3), and not more than five (5), of the firms from the roster, and shall request a statement of qualifications for the specific project and a written technical project approach from each of the selected firms. After receiving the responses to the request for a statement of qualifications and a technical project approach, the purchasing agent and department director shall review and rank the responses.

b. Review. After the firms have been ranked by the staff members, the highest ranked firm, and the basis for its selection, shall be submitted to the Board of Aldermen for its approval. If the staff selection is rejected, then the firm with the next highest ranking, and the basis for its selection, shall be submitted for approval. This selection process shall continue until a firm has been approved or until the staff's list has been exhausted.

c. Negotiations.

(1) The approved firm shall then meet and negotiate with the director of the department, requiring the service, to define in detail the scope of service to be provided and the compensation for those services.

(2) If, after reasonable efforts, the staff members determine that the contract cannot be negotiated, then the negotiations with the approved firm shall be terminated, and the negotiations shall begin with the next firm approved.

(3) Upon completion of negotiation of the scope of services and the compensation, a contract shall be prepared and submitted to the Board of Aldermen for approval.

3. Class C — other professionals. Services for projects where fees are fifteen thousand dollars ($15,000.00) or more.

a. Project initiation. When a department of the City identifies a project for which professional services will be necessary, the department will draft a scope of services for the specific project. This scope of services will be submitted to the City Administrator for authorization to initiate the project, and a determination as to which type of screening and selection committee will be required. The scope of services should include the following:

(1) A description of the work required and its objectives.

(2) The nature of specific tasks and services to be accomplished.

(3) The type and amount of assistance to be given by the City department involved.

(4) Required time frame.

(5) Financial conditions or limitations; grant programs involved.

b. Expressions of interest. After authorization, the administering department will contact those firms on the roster and those firms responding to advertisements for a written expression of interest in the specific project. The request should invite comment as to the special experience in the project being considered, describe previous experience with similar projects, and the availability of the firm to provide required service within any time limitations.

c. Initial screening and requests for proposals. The expressions of interest will then be presented to the appropriate screening and selection committee for initial screening. Factors to be determined in the initial screening will include:

(1) Specialized experience in the type of work required.

(2) Record of the firm in accomplishing work on other projects in the required time.

(3) Quality of work previously performed by the firm for the City.

(4) Experience showing accuracy of cost estimates.

(5) Community relations including evidence of sensitivity to citizen concerns.

(6) Geographic location of the office of the firm which would serve the project.

(7) Qualifications and experience of key personnel.

(8) Relations with previous clients.

The screening committee will designate three (3) or four (4) firms who will be requested to present detailed proposals on the project and be interviewed.

d. Detailed proposals. Firms submitting detailed proposals will be asked to provide the following:

(1) A resume of the firm principal who will be responsible for the project.

(2) A resume of the proposed project supervisor.

(3) Resumes of key project personnel.

(4) A statement of the ability of the firm to meet required time schedules.

(5) A description of how the project would be conducted.

(6) A schedule of hourly rates for various services offered and a proposed project fee range.

(7) A list of municipal references for similar types of projects.

(8) Any other pertinent information the firm wishes to present.

e. Interview and selection. Upon receipt of the detailed proposal, the selection and screening committee will be convened to review selections as to the firm for the project. The prime factors to be rated in the final screening are:

(1) Management capabilities.

(2) Technical capabilities.

(3) Approach to the project.

(4) Understanding of City's objectives.

(5) Proposed work schedule.

(6) Staff to be assigned.

(7) Fee and/or schedule of hourly rates.

(8) Knowledge of local situation.

(9) Ability to communicate.

(10) Presentation and attitude.

(11) Confidence factor.

f. Contract negotiation. The selected firm will then be requested to come in for a final conference with the screening and selection committee to define precisely the scope of service to be provided and to finalize the compensation requirements for the work. A contract is prepared and submitted to the City Attorney for review and then submitted to the Mayor and Board of Aldermen for approval.

If, after reasonable effort, a contract cannot be negotiated, the negotiations with the designated firm shall be terminated and negotiations shall be started with the next firm recommended.

B. Exceptions.

1. In view of the fact that special conditions will occasionally arise that make use of this policy impractical, there can be exceptions made. Reasons for exceptions may include an emergency situation which precludes a selection time frame of at least two (2) months, or an extremely specialized need in which there is only one (1) feasible source of expertise. If it appears there is a need for an exception to the policy, the Mayor will inform the Board of Aldermen to allow them the opportunity to deny the exception.

2. If the number of firms willing and available to perform a specific task is small, the step involving initial screening may be skipped and the selection process will go directly to detailed proposals.

Section 140.200 General Procedure and Responsibilities.

[CC 1988 §25.230; Ord. No. 1185 §1, 5-5-1997]

A. Project Initiation. When a department of the City identifies a project for which professional services will be necessary, the department will draft a scope of services for the specific project. This scope of services will be submitted to the City Administrator for authorization to initiate the project, and a determination as to which type of screening and selection committee will be required. The scope of services should include the following:

1. A description of the work required and its objectives.

2. The nature of specific tasks and services to be accomplished.

3. The type and amount of assistance to be given by the City department involved.

4. Required time frame

5. Financial conditions or limitations; grant programs involved.

B. Expressions Of Interest. After authorization, the administering department will contact those firms on the roster and those firms responding to advertisements for a written expression of interest in the specific project. The request should invite comment as to the special experience in the project being considered, describe previous experience with similar projects, and the availability of the firm to provide required service within any time limitations.

C. Initial Screening And Requests For Proposals. The expressions of interest will then be presented to the appropriate screening and selection committee for initial screening. Factors to be determined in the initial screening will include:

1. Specialized experience in the type of work required.

2. Record of the firm in accomplishing work on other projects in the required time.

3. Quality of work previously performed by the firm for the City.

4. Recent experience showing accuracy of cost estimates.

5. Community relations including evidence of sensitivity to citizen concerns.

6. Geographic location of the office of the firm which would serve the project.

7. Qualifications and experience of key personnel.

8. Relations with previous clients.

The screening committee will designate three (3) or four (4) firms who will be requested to present detailed proposals on the project and be interviewed.

D. Detailed Proposals. Firms submitting detailed proposals will be asked to provide the following:

1. A resume of the firm principal who will be responsible for the project.

2. A resume of the proposed project supervisor.

3. Resumes of key project personnel.

4. A statement of the ability of the firm to meet required time schedules.

5. A description of how the project would be conducted.

6. A schedule of hourly rates for various services offered and a proposed project fee range.

7. A list of municipal references for similar types of projects.

8. Any other pertinent information the firm wishes to present.

E. Interview And Selection. Upon receipt of the detailed proposal, the selection and screening committee will be convened to review selections as to the firm for the project. The prime factors to be rated in the final screening are:

1. Management capabilities.

2. Technical capabilities.

3. Approach to the project.

4. Understanding of City's objectives.

5. Proposed work schedule.

6. Staff to be assigned.

7. Fee and/or schedule of hourly rates.

8. Knowledge of local situation.

9. Ability to communicate.

10. Presentation and attitude.

11. Confidence factor.

F. Contract Negotiation. The selected firm will then be requested to come in for a final conference with the screening and selection committee to define precisely the scope of service to be provided and to finalize the compensation requirements for the work. A contract is prepared and submitted to the City Attorney for review and then submitted to the Mayor and Board of Aldermen for approval.

If, after reasonable effort, a contract cannot be negotiated, the negotiations with the designated firm shall be terminated and negotiations shall be started with the next firm recommended.

G. Exceptions.

1. In view of the fact that special conditions will occasionally arise that make use of this policy impractical, there can be exceptions made. Reasons for exceptions may include an emergency situation which precludes a selection time frame of at least two (2) months, or an extremely specialized need in which there is only one (1) feasible source of expertise. If it appears there is a need for an exception to the policy, the Mayor will inform the Board of Aldermen to allow them the opportunity to deny the exception.

2. If the number of firms willing and available to perform a specific task is small, the step involving initial screening may be skipped and the selection process will go directly to detailed proposals.

Section 140.210 Compensation or Fee.

[CC 1988 §25.240; Ord. No. 1185 §1, 5-5-1997]

A. This amount will include all services to be rendered to the City by the firm, with the exception of certain pass-through expenses that will be identified by contract, if applicable, and it will be calculated by one (1) of the following methods at the preference of the City:

1. Lump sum or fixed fee,

2. Cost per unit, or

3. Hourly basis with total not to exceed a fixed amount.

Section 140.220 Prohibition Against Contingent Fees.

[CC 1988 §25.250; Ord. No. 1185 §1, 5-5-1997]

A. Each contract entered into by the Board of Aldermen for professional services shall contain a prohibition against contingent fees as follows:

"No firm shall retain a person to solicit or secure a City contract for professional services upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, except for retention of bona fide employees or bona fide established commercial selling agencies for the purpose of securing business."

B. For the breach or violation of the foregoing provision, the Mayor and Board of Aldermen shall have the right to terminate the agreement without liability and, at its discretion, to deduct from the contract price or otherwise recover the full amount of such fee, commission, percentage, gift or consideration.

Section 140.230 Prohibitions Against Contingent Fees — Exceptions.

[CC 1988 §25.260; Ord. No. 1185 §1, 5-5-1997]

A. The procedures described herein shall be used in all projects requiring outside professional services. Exceptions to this policy shall be as follows:

1. After the City has used this process to select a firm with specialized expertise that is available to do similar required work in that field of expertise which would fall under Class B type projects, if new contracts can be negotiated, the firm can be retained for additional projects requiring that expertise for a period of no longer than three (3) years. After three (3) years, this procedure shall be used again for selection of professional services.

2. If, after project completion by a firm already selected by the City through this process to do a major project, the City requires professional services on an ongoing consultant basis on that project, the City may retain the services of that firm on a consultant basis for a period of three (3) years. After that period of time, the City shall use this procedure again to select ongoing consultant services.

Section 140.240 Waiver.

[CC 1988 §25.270; Ord. No. 1185 §1, 5-5-1997]

A. The Mayor and Board of Aldermen may waive any and all aforementioned procedural requirements in the best interests of the City.

1. Policy regarding dual representation by professional. The following points of relevant factors to consider in determining appropriate City actions when dealing with professional when the professional has or proposed "dual representation" (defined below) on a project.

2. For purpose of this policy, the term, "professional" included individuals and individuals within the same business organization or firm. The actions of one (1) member of a multi-member firm are attributed to the firm as the "professional".

3. A "project" may be a specific undertaking, defined as to scope and duration, or a course of general representation relative to a field of activity.

B. Dual Representation Defined. "Dual representation" is defined as a situation where:

1. The professional is engaged to provide or proposes to provide advice and recommendations to the City on either a specific project, a defined phase of a project or on a longer-term continuous basis; and

2. The professional, simultaneously with the representation of the City, provides or proposes to provide services to another person or entity that has a financial interest in the same project or a defined phase of the project.

	"Simultaneous representation" includes those work situations where the professional is contractually bound to the City and other party to provide services over a defined period of time.
	Relevant factors in determining whether dual representation exists or is proposed are the following:
	1.	Conflicting interest exists, i.e., where financial or other gain to one (1) party in the transaction will affect financial or other gain to the other party; and
	2.	The professional is in a position to supply information or effectively influences recommendation to either or both parties where the probable result of such information or recommendation may affect material aspect of the work engaged by the others with financial interests in the transaction. A "material" aspect of the work is some substantial portion of the work in which independent professional judgment is expected from the professional as opposed to a purely information gathering or drafting.

C. Disclosure. Where dual representation exists or is proposed, the professional shall provide full information in writing to the City and the other party with respect to the representation of the other party at the earliest possible time that the issue is known to the professional. Detailed disclosure of the nature and extent of the services to be rendered and areas where services overlap with that of the City should be provided by the professional.

D. Consent. Where dual representation exists or is proposed, the City should be in a position to affirmatively:

1. Provide consent in writing; or

2. Withdraw from its contractual commitment with the professional; or

3. Effectively request the professional to not provide the service to the other party.

At preliminary stages of project definition or in other appropriate situations, it may be appropriate to provide conditional consent. The conditional consent may specify factors which, if met, provide consent subject to the condition or for a definite duration of time.

E. Standards For Consent. The City may, through the City Administrator with the advice of the City's project manager or person supervising the work, consent to dual representation if:

1. The City and the other party will mutually benefit from the representation; and

2.

a. Either the City and other party have agreed in advance to the financial responsibilities for the work of the professional and the financial responsibilities for the project; or

b. The work of the professional on one (1) phase of the work for the other party will not significantly effect the overall work of the professional on behalf of the City; and

3. The City and other parties have been fully informed with respect to all aspects of such dual representation; and

4. Sufficient safeguards are in place such that the work of the professional for the City is effectively reviewed either by the City's staff or by a third party professional of the City's choice.

F. Contractual Provisions. This policy shall be incorporated into standard City contractual documents.

Section 140.241 Procurement of Design-Build Contract Services.

[Ord. No. 2350 §1, 10-2-2006; Ord. No. 2417 §1, 2-5-2007]

A. As used in this Section, the following terms mean:

DESIGN-BUILD

A public works project for which the design and construction services are furnished under one (1) contract.

DESIGN-BUILD CONTRACT

A contract between the City and a design-builder to furnish the architecture or engineering and related design services required for a given public works project and to furnish the labor, materials and other construction services for the same public works project.

DESIGN-BUILDER

Any individual, partnership, joint venture, corporation or other legal entity, including combinations of such entities, that proposes to perform or performs a design-build contract.

DESIGN CRITERIA CONSULTANT

A person, corporation, partnership or other legal entity duly registered and authorized to practice architecture or professional engineering in the State pursuant to Chapter 327, RSMo., and who is employed by contract with the City to provide professional design and administrative services in connection with the preparation of the design criteria package.

DESIGN CRITERIA PACKAGE

Performance-oriented specifications for the public works project sufficient to permit a design-builder to prepare a response to the City's request for proposals for a design-build project.

PROPOSAL

An offer to enter into a design-build contract.

REQUEST FOR PROPOSALS

The document by which the City solicits proposals for a design-build contract.

B. The following criteria may be used in determining whether a design-build contract is an appropriate method of procurement for the City:

1. Time constraints for delivery of the public works project; and

2. The suitability of the public works project for a design-build process.

C. The City shall determine the scope and level of detail required to permit qualified persons to submit proposals in accordance with the request for proposals, given the nature of the public works project and the level of design to be provided.

D. A design criteria consultant may be employed or retained by the City to prepare the design criteria package, perform periodic site visits, prepare progress reports, review and approve progress and final pay applications of the design-builder, review shop drawings and submittals, decide disputes, interpret the construction documents, perform inspections upon substantial and final completion, assist in warranty inspections and provide all other professional services where the City deems it in the public interest to have an independent design professional assisting with the project administration.

E. The City shall advertise a notice of a request for proposals at least once in a newspaper of general circulation in the City. The notice shall be published at least ten (10) days prior to the date set for the receipt of the proposals and shall include a description of the project, the procedures for submittal, the selection criteria to be used and the time and place for opening proposals. A notice may also be posted in the City Clerk's office and may also be mailed to all responsible prospective design-builders. If notices can be mailed to all prospective, prequalified design-builders, the purchasing agent may waive publication and send the notices in lieu of publication.

F. Prequalification Of Potential Design-Builders.

1. The City shall prequalify potential design-builders for design-build projects by requesting the submission of qualification information. Under no circumstances shall price or fee be a part of the prequalification criteria.

2. The City shall determine the relative ability of each design-builder to perform the services required for each project. Determination of ability shall be based on staff training and experience, design-builder experience as a firm, location, past contracts with the City, financial capacity, past performance and current and projected work load. In making its determination the City shall interview no less than three (3) design-builder firms to determine the firms' ability to provide services and commitment to meet time and budget requirements.

3. The City shall select no less than two (2) nor more than five (5) design-builder firms to be most highly qualified to perform the required services, after considering the factors in (F)(2) above.

G. A request for proposals shall be prepared for each design-build contract containing, at a minimum, the following elements:

1. The procedures to be followed for submitting proposals, the criteria for evaluation of proposals and the procedures for making awards;

2. The proposed terms and conditions for the design-build contract;

3. The design criteria package;

4. A description of the drawings, specifications or other information to be submitted with the proposal with guidance as to the form and level of completeness of the drawings, specifications or other information that will be acceptable;

5. A schedule for planned commencement and completion of the design-build contract;

6. Budget limits for the design-build contract;

7. Requirements for performance bonds, payment bonds and insurance; and

8. Any other information that the City, in its discretion, chooses to supply including, without limitation, surveys, soils reports, drawings of existing structures, environmental studies, photographs or references to public records.

H. Design-Builders To Submit Technical Proposals And Cost Proposals.

1. Design-builders who have been previously qualified by the City shall submit their proposals to the City in two (2) parts — a technical proposal and a cost proposal — according to the requirements of the request for proposals. The City shall open, review and evaluate the technical proposals prior to opening of the cost proposals and shall recommend selection of a design-builder based on the combined totals as stated in this Subsection. The qualifications of the design-builder and its subcontractors or consultants and any requested drawings or technical information shall be submitted separate from the cost proposal and clearly marked on the outside "technical proposal". Each design-builder's qualifications shall be ranked in accordance with the criteria set forth in Subsection (G)(1). The cost proposal of the design-builder, including the cost of all design services and construction work required to complete the project, shall be submitted separate from the technical proposal in an envelope clearly marked "cost proposal". Cost proposals shall be evaluated and ranked in accordance with the request for proposals.

2. As an inducement to qualified design professionals, the City may pay a reasonable stipend to each prequalified, responsive design-builder who submits a qualified proposal but is not awarded the design-build contract, if a component of the proposal is used by the City. Upon payment of the stipend to an unsuccessful design-build proposer, the City shall acquire ownership to the design submitted and the proposer shall have no further rights thereto or liability for its use in any manner. If the design-build proposer desires to retain all rights and interest in the design proposed, the proposer shall forfeit the stipend.

3. The City shall have the right to reject any and all proposals. If all proposals are rejected, the City may solicit new proposals using the same or different design criteria, budget constraints and qualifications.

I. A design-builder that enters into a design-build contract shall comply with the requirements of Chapter 327, RSMo., that the architectural engineering or land surveying services to be performed under the contract are performed by:

1. Persons who are duly licensed in this State and who are employees of the design-builder;

2. Persons who are duly licensed in this State and who are under contract to the design-builder; or

3. Corporations that hold current certificates of authority from the State Board for the appropriate professions which are under contract to the design-builder.