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HOUSING AND COMMUNITY SERVICES DEPARTMENT

 

DIVISION 6
SCREENING AND SELECTION PROCEDURES
FOR PERSONAL SERVICE CONTRACTS

813-006-0005
Purpose
OAR chapter 813, division 6 is promulgated
to establish the procedures for public contracts and procurements by the Department
as well as its other contracting and procurement activities. The Department is exempt
from all provisions of the Oregon Public Contracting Code as contained in ORS Chapters
279A, 279B and 279C, except with respect to certain aspects relating to the procurement
of goods and services under ORS Chapter 279B. And, the Department has all authority
to procure or supervise the procurement, inter alia, of goods, services and personal
services for which it is subject to ORS Chapter 279B. Also, most contracting by
the Department is not covered by the Oregon Public Contracting Code even if it were
applicable to the Department. Accordingly, the Department has chosen to fashion
its own standards, considerations and procedures with respect to its procurement
and contracting activities.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0010
Basic Policy and Approach
(1) The model rules of the Attorney
General adopted pursuant to ORS 279A.065 do not apply to the Department. The Department
will, however, consider the Attorney General’s model rules for guidance in
exercising its contracting and procurement discretion, particularly with respect
to procurements of goods and services under ORS chapter 279B. Other factors that
the Department may consider include, but are not limited to:
(a) The subject matter of
the proposed contract and appropriate means to ensure successful performance at
competitive costs where practical;
(b) Specificity with respect
to communication and reservation of rights in any procurement;
(c) Clarity in the naming
and description of parties as well as consideration of appropriate preferences;
(c) Ascertaining and obtaining
appropriate representations and warranties as to the qualifications of parties;
(d) Specificity with respect
to consideration and applicable time periods;
(e) Specificity with respect
to terms and covenants, particularly as to standards applicable to the performance
of all work or delivery of goods;
(f) Identification of remedies
and their suitability to protect Department and program interests;
(g) Identification of insurance
and other risk mitigation terms and the appropriate balance of such measures with
potential risks and costs;
(h) Requirements for compliance
with applicable laws, including those applicable to funding sources and nondiscrimination;
(i) Use of appropriate terms
with respect to standard provisions such as governing law, venue, waiver, exhibits,
merger, etc.
(2) Contracting and procurement
procedures, requirements and standards with respect to program loans and similar
extensions or advances of funds or other funding awards are set forth in the divisions
of OAR chapter 813 that specifically address those programs. Relevant general procedures,
requirements and standards are set forth in Divisions 001 – 005, particularly
Division 005.
(3) Contracting and procurement
procedures related to the investment of Department funds and other financial transactions
that cannot practically be established, including with resort to the competitive
contractor selection procedures of ORS 279B.050 to 279B.085, will be accomplished
in consultation with financial advisors, legal counsel and other appropriate professionals.
As a general standard, the Department will seek to employ procedures as are practical
to introduce competitive efficiencies and sound selections given the particular
circumstances, complex regulations and governing law applicable to such financial
and investment transactions.
(4) In contracting for consultant
or other personal services, as well as goods or other services, the Department will
consider factors including those described above in subsection (1) and employ the
following procedures as applicable, except when the Director determines that an
emergency or other good cause exists to excuse the Department from one or more of
those procedures, such as when the personal services contract involves data processing
services. The Department will comply with Executive Department OAR 122-031-0005
or 122-036-0005 for data processing personal services contracts.
(5) The Department will contract
for consultant and other personal services: (i) when the specialized skills, knowledge,
and resources are not available within the Department; (ii) when the work cannot
be done in a reasonable time within the Department's own work force; (iii) when
an independent and impartial evaluation of a situation is required by a consultant
or other provider with recognized professional expertise and stature in a field;
(iv) when it will be less expensive to contract for the work; (v) when the Department
is directed by statute or otherwise to contract for services; or (vi) when the Department
otherwise determines that contracting for a consultant or other personal services
will best serve the purpose of fulfilling its statutory or other duties. The Department
may contract for other goods and services necessary or appropriate for the operation
of the Department. Contracts will be awarded only after the approval of the Director
or his/her designee, subject to minimum limit exceptions.
(6) Agreements for the services
of a contractor who is a member of the Public Employees' Retirement System and who
is employed in another public department usually will be by interagency agreement.
Exceptions may be granted by the Director or his/her designee when such an agreement
is impractical and when the work will be done on the contractor's own time. Such
exceptions normally will be processed as a personal services contract.
(7) The Department will seek
to ensure competition and include performance standards to the maximum extent practicable
when awarding personal services contracts as well as financial assistance agreements
designed, inter alia, to obtain services in furtherance of a Department-supervised
program.
(5) In selecting between
two or more equally qualified bidders, preference will be given to individuals
residing in Oregon and businesses that have an office in Oregon.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 3-1989(Temp), f. & cert. ef. 6-8-89; HSG 6-1989, f. &
cert. ef. 11-3-89; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0015
Definitions
(1) Terms used in OAR chapter 813, division
6 have meanings as defined in the Act, in 813-005-0005 and herein.
(2) As used in these rules,
unless otherwise indicated by the context:
(a) "Consultant" means an
individual or firm that has been found qualified to do specified types of work for
the agency and with whom the Department may contract;
(b) "Competitive Procurement"
is a formal procurement method whereby proposals or applicants are requested from
a number of sources and the Request for Proposals or other solicitation document
is widely published or otherwise distributed;
(c) "Noncompetitive Procurement"
is procurement through solicitation of a proposal from only one source or on a first-
come first-served basis;
(d) "Small Purchase Procurement
Procedures" are those relatively simple and informal procurement methods whereby
price or rate quotations are obtained from a number of sources and selection made
on the basis of costs and other applicable criteria.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 3-1989(Temp), f. & cert. ef. 6-8-89; HSG 6-1989, f. &
cert. ef. 11-3-89; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0020
Procurement Method
(1) The department will comply with
the requirements of ORS 200.035.
(2) The department may allow
for preference of or limit competition for a public contract for goods and services
or for any other public contract estimated to cost $50,000 or less, to contracting
entities owned or controlled by persons described in subsection (1) of ORS279A.100.
(3) The department may participate
in, sponsor, conduct, or administer cooperative procurements pursuant to ORS 279A.200
through 279A.225.
(4) Small Purchase Procurement
Procedures as outlined in OAR 813-006-0030 may be used for the procurement of goods
and services estimated to cost not more than $10,000 per agreement per fiscal year.
Price or rate quotations will be sought from at least three qualified sources, if
practical. This procedure does not govern program solicitations.
(5) Competitive Procurement
procedures as outlined in OAR 813-006-0025 will be used for goods and services,
as well as personal service contracts, estimated to cost in excess of $10,000 per
agreement per fiscal year. Competitive Procurement may be used for contracts of
less than $10,000 whenever the Department determines that it would be prudent and
advantageous to do so. Exceptions may be granted to accommodate one or more of the
conditions described in section (3) of this rule with the approval of the Director.
(6) Noncompetitive Procurement
procedures may be used for goods and services, as well as personal services contracts
if:
(a) The item or service is
available only from a single source, or the sole source has special skills or special
characteristics that are reasonably only available from that source or based upon
the particular provider’s expertise, experience or situation;
(b) Public need or emergency
weighs against the delay incurred by competitive solicitation;
(c) After solicitation of
a number of sources, competition is determined inadequate; or
(d) The contract is a renewal
of an existing contract, subject to approval by all required parties.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 3-1989(Temp), f. & cert. ef. 6-8-89; HSG 6-1989, f. &
cert. ef. 11-3-89; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0025
Competitive Procurement Procedures
(1) A Request for Proposals (RFP) or
similar solicitation (collectively, RFP) will be prepared for the contracts for
which Competitive Procurement procedures will be used. The RFP will normally include,
at a minimum, the following information:
(a) Date and hour by which
proposals or other responses must be received;
(b) Return address where
proposals or other responses must be received;
(c) Description of work;
(d) Evaluation criteria;
and
(e) Department project manager’s
name, address and phone number.
(2) The Department will notify
persons who have indicated a desire to be notified of contracting opportunities
or that have indicated expertise in the subject area, and any other persons deemed
necessary, of projects for which an RFP may be issued. Notification of the project
for which an RFP may be issued may be announced to the public and may be advertised
in appropriate periodicals. The RFP will be sent to all persons responding to the
notification in the required manner.
(3) Exceptions to section
(2) of this rule may be granted by the Director or his/her designee when the RFP
is preceded by a Request for Information (RFI). When an RFI is widely distributed
to solicit information and interest in a proposed contract, eligibility for the
subsequent RFP may be limited to parties responding to the RFI.
(4) Proposals will be evaluated
in accordance with the evaluation criteria included in the RFP. An objective rating
system will be used in the evaluation process. Records pertaining to the procurement
process and selection of the consultant shall be maintained in the Department’s
files.
(5) Exceptions to the notification
procedures in sections (2) and (3) of this rule may be granted by the Director or
his/her designee if warranted by time, cost, or other relevant considerations.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 3-1989(Temp), f. & cert. ef. 6-8-89; HSG 6-1989, f. &
cert. ef. 11-3-89; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 3-2012(Temp), f. & cert. ef. 4-2-12 thru 9-28-12; Administrative
correction 10-29-12; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0030
Small Purchase Procurement Procedures
(1) A Statement of Work and request
for price or rate quotation shall be developed and submitted to prospective contractors
with which the Department has had previous successful experience or which are believed
by the Department to be qualified to offer the needed services. The Statement of
Work and request for quotation may be communicated orally or in writing.
(2) At least three price
quotations shall be obtained from qualified sources unless there are fewer than
three qualified sources interested in the contract.
(3) Contractor selection
shall be made on the basis of the cost estimate and other pertinent information
such as qualifications, experience, reference check and project approach.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: HSG 14-1987, f. &
ef. 12-21-87; HSG 2-1991(Temp), f. & cert. ef. 8-7-91; HSG 8-1991, f. &
cert. ef. 12-23-91; OHCS 12-2013(Temp), f. & cert. ef. 6-21-13 thru 12-18-13;
OHCS 24-2013, f. & cert. ef. 12-18-13
813-006-0040
Discretionary Action
(1) As it deems necessary or appropriate
for its purposes, the Department may waive or deviate from the foregoing provisions
of this Division to the extent the Department’s statutory authority to employ
its own procurement and contracting procedures allow. Factors that the Ddepartment
may consider in waiving or deviating from such provision or in determining what
other procurement or contracting procedures it will apply in a particular circumstance
may include, but are not limited to:
(a) Serving program or other
Department purposes;
(b) Collaborating with reputable
and effective partners;
(c) Leveraging past resources,
experience, or services;
(d) Efficiently and effectively
using department resources;
(e) Addressing exigent or
unusual circumstances;
(f) Advancing the department
or maintenance of safe, sanitary, and affordable housing;
(g) Advancing the delivery
and effectiveness or community services;
(h) Building or sustaining
the capacity of department partners;
(i) Promoting the coordination
of relevant skills, resources, and efforts;
(j) Educating persons and
entities concerning housing and community services needs and opportunities; and
(k) Ensuring compliance with
department or other applicable standards.
(2) Included within this
authority to waive or deviate from such procedures, or to apply other procurement
or contracting procedures in particular circumstances, the Department may amend
an existing contract without additional competition, inter alia, to extend its term,
to modify the compensation, to delete services, or to add any services or goods
within the scope of the relevant procurement provided the amendment, in the Department’s
determination, is consistent with relevant factors identified in the subsection
or consistent with factors otherwise relevant to such action.
Stat. Auth.: ORS 90.800 – 90.840,
91.886, 317.097, 279A.025, 279A.065, ORS 456.515– 456.725 & 458.210 –
458.650
Stats. Implemented: ORS 90.800
– 90.840, 92.886, 279B, 317.097, 456.515 - 456.725, 307.651 & 458.005
–458.740
Hist.: OHCS 12-2013(Temp),
f. & cert. ef. 6-21-13 thru 12-18-13; OHCS 24-2013, f. & cert. ef. 12-18-13

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