HomeMy Public PortalAboutConsultant Prequalification Questionnaire 2023August 1, 2022
MSD is conducting its annual Engineering Consultant Qualifications. We are performing our annual
process a bit earlier this year in conjunction with the retirement of Sharon Parker (Holt) after 40 years with
MSD. Sharon has been an integral part of the consultant selection process and she will be missed. An
important change this year is that we will no longer require insurance as part of the prequal process, rather
it will now be required before a contract is entered into.
As before, we have three options to consider for qualification:
1. RENEWAL ONLY - If you have no major changes to your company or staffing, and no additional
categories are requested, you can do the abbreviated renewal process.
a. To renew your company’s existing prequalification (existing prequalification available upon
request) for another year you must complete the following documents and submit them as
one (1) PDF to the email address listed below:
i. Complete the first page, along with pages 2 and 5.
ii. Current copy of Professional License (Engineering, Land Surveying and/or
Architectural) for Firm issued by the State of Missouri
iii. Current copy of Firm’s MBE/WBE Certification (if applicable)
iv. Signed Agreement indicating no substantial organizational changes in last year
v. Signed Affidavit for Renewal Only (if applicable)
vi. Signed Affidavit indicating Firm is capable of providing the required insurance
outlined in Attachment B of the Engineering Consultant Qualification package, if
selected
vii. Vendor’s Conflict of Interest Questionnaire, along with Attachment A
viii. If any of the required attachments are not included with your prequalification form,
your firm will be rejected.
2. NOTIFICATION ONLY - If your firm only wants to receive notifications related to upcoming
opportunities, just complete the first page and return.
a. Please complete the first page of the attached APPLICATION FOR CERTIFICATE OF
QUALIFICATIONS TO PROPOSE FOR PROFESSIONAL SERVICES. Check the box for
Notifications Only and submit a PDF of the completed page to the email address listed
below.
3. FULL QUALIFICATION - For all new qualifications or if you have had substantial changes at your
firm, including major staffing changes, you will need to submit the entire Engineering Consultant
Qualification package to the email address listed below.
a. Please follow the revised Checklist on Page 2, which lists attachments required for
prequalification. If any of the required attachments are not included with your prequalification
form, your firm will be rejected.
• ATTACHMENT A FOR THE CONFLICT OF INTEREST POLICY HAS BEEN REVISED.
• ARTICLE 6.7 REGARDING CORONAVIRUS (COVID-19) TESTING POLICY- REQUIRED ONLY
AFTER UNDER CONTRACT.
• AFFIDAVIT FOR INSURANCE AND ATTACHMENT B WITH UPDATED INSURANCE LIMITS IS
NOW REQUIRED.
• WE ARE REQUIRING THAT YOU PLEASE SUBMIT THE ATTACHED 2023 QUESTIONNAIRE
AS ONE (1) PDF TO THE FOLLOWING EMAIL ADDRESS:
msdengpq@stlmsd.com
Completed forms must be submitted to the above email address by Monday, October 3, 2022. Firms
submitting forms after this date may be excluded from consideration for future capital improvement projects.
Also, please do not change our format or page numbers since we reference certain pages for
pertinent information.
If you should have any difficulty in opening this electronic file or have any questions regarding the format or
the submittal process of this document, please contact Sharon Parker (Holt) at (314) 768-6285.
Sincerely,
Richard L. Unverferth, P.E.
Director of Engineering
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
Qg®or
wastewater i stormwater
2350 MARKET STREET
ST. LOUIS, MO 63103-2555
MSDProjectClear.org
(USED IN PREQUALIFYING CONSULTANTS ON ARCHITECTURAL,
ENGINEERING, AND SURVEYING SERVICES)
January 1, 2023 through December 31, 2023
Submitted By (Company as shown on License)
Address (St. Louis Office)
City, State, Zip Code
Telephone and Fax
E-Mail Address (One only)
Name of Contact for Firm
Date
□ Notifications Only
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
APPLICATION CHECKLIST FOR REQUIRED ATTACHMENTS
(Required attachments are not included in the application packet.)
Revised August 2022
Items required for RENEWAL ONLY applications
1 Current copy of Professional Engineering License for Firm issued by the State of Missouri
(if applicable - as noted on Page 5) '
2 Current copy of Professional Land Surveying License for Firm issued by the State of Missouri
(if applicable - as noted on Page 5)*
3 Current copy of Architectural License for Firm issued by the State of Missouri (if applicable -
as noted on Page 5)*
4 Current copy of Firm’s MBE/WBE Certification (if applicable - as noted on Page 5)*
5 Firm’s City, State, and Country of Corporate Headquarters (Page 5)*
6 Executed Qualifications and Experience (Page 12)
7 Executed Agreement to Notify District of Organizational Changes (Page 15)
8 Executed Affidavit in accordance with Company’s status (Pages 16a through 16e)
9 Executed Affidavit for Renewal Only (if applicable - Page 16f) *
10 Executed Affidavit for Professional Liability Insurance Coverage (Page 16g)*
11 Executed Vendor’s Conflict of Interest Questionnaire, along with Attachment A-Revised
(Page 23)*
If you should have any difficulty in opening this electronic file or have any questions regarding the format or the
submittal process of this document, please contact Kayla Young.
Kayla Young
Senior Office Associate
Director of Engineering's Office
Metropolitan St. Louis Sewer Distr ict
2350 Market Street
St. Louis, MO 63103-2555
314-768-6285
kyoung@stlmsd.com
2
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
General Information on Selection Process
The Metropolitan St. Louis Sewer District utilizes a Qualifications Based Selection (QBS) process to select
qualified firms to provide the necessary professional services to assists the District in the implementation of its
Capital Improvement and Replacement Program (CIRP). In an effort to expedite the selection process, the
District annually* pre-qualifies design consultants in specific areas of expertise, based on the general information
provided in this document.
This list of pre-qualified firms is used to develop a consultant “short-list” for projects that typically have a total
design budget of less than $500,000. The short-list of consultants is asked to send a response to a Request for
Proposal (RFP) for specific projects. For more complex projects (typically having a design budget of $500,000
or more) a Request for Qualifications for the specific project(s) is sent to all pre-qualified firms. A short-list is
then developed and RFPs sent to those firms. More details about the District’s QBS process can be found on the
District’s website www.msdprojectclear.org.
Consultants must have a fully functioning office within the District’s boundaries, as defined in Part II of
the application, to be considered for pre-qualification.
*The District will accept and review pre-qualification information throughout the year should there be a significant
change in a firm’s qualification information, or a firm recently opened an office within the District’s boundaries.
Contractual Approach
The District typically utilizes two approaches in engaging professional services. In the first, General Services
Agreements (GSA) are utilized to provide staff extension or specialized expertise that the District does not have
for multiple small projects that typically have a construction budget of $300,000 or less. Firms wishing to be
considered for this type of contractual work must have sufficient local staffing to provide the flexibility and quick
response that is sometimes needed for these types of projects. GSA contracts typically range in value from
$50,000 to $150,000.
The second approach is to engage professional services for individual capital projects that generally have a design
schedule of six (6) months to a year. For these types of services, the qualifying firm may not be required to have
the same depth of staffing as would be required for a GSA contract, depending on the project scope and level of
difficulty.
Applicants interested in pre-qualifying for one or both types of contractual services must do so by completing the
appropriate sections of Part III of this application.
Other Services
On occasion, the District may seek services in areas not included in this pre-qualification package. In these
instances, all pre-qualified consultants will be offered the opportunity to respond to a Request for Qualifications
for these services.
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APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
INSTRUCTIONS TO APPLICANTS
All firms wishing to be pre-qualified must complete all parts of this application. Failure to adequately complete
any part of this application could result in the rejection of the application in its entirety.
PART I DETAILED INFORMATION ABOUT THE FIRM (Page 5)
PART II ST. LOUIS OFFICE INFORMATION (Page 9)
PART III QUALIFICATIONS AND EXPERIENCE (Page 12)
PART IV AGREEMENT TO NOTIFY DISTRICT OF ORGANIZATIONAL CHANGES
(Page 15)
PART V AFFIDAVITS (Pages 16a through 16g)
PART VI CONFLICT OF INTEREST POLICY, VENDOR’S CONFLICT OF INTEREST
QUESTIONNIARE, AND ATTACHMENT A (Pages 17 through 25)
PART VII ATTACHMENT B - MSD’s MINIMUM INSURANCE REQUIREMENTS (Page 26)
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APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART I - DETAILED INFORMATION ABOUT THE FIRM
Name of Company
Principal Address
City & State Zip
City, State & Country of Corporate Headquarters
Type of Organization (check applicable category):
( ) A Corporation
( ) A General Partnership
( ) A Limited Liability Partnership
( ) A Limited Liability Company
( ) Sole Proprietorship
( ) Joint Venture
NOTE: Attach a copy of the current License issued by the State of Missouri authorizing applicant to
perform architectural, professional engineering, or land surveying services in the State of Missouri.
Is your firm certified as a Minority Business Enterprise? Yes No
Is your firm certified as a Women's Business Enterprise? Yes No
NOTE: If yes to either of the above, attach a copy of your current certification. Visit our website for the
list of acceptable agencies: www.stlmsd.com/msd-work/supplier-diversity
Incorporated or organized:
Date State
(If a corporation, provide name and address of registered agent)
List names of all partners or officers. (Note: If limited partnership, explain and please list full 100%
ownership.)
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
5
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART I - DETAILED INFORMATION ABOUT THE FIRM (cont.)
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
Name and Title
Address, City, and State
Fractional interest in firm or number of shares owned
(Use additional sheets as necessary.)
6
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART I - DETAILED INFORMATION ABOUT THE FIRM (cont.)
Location Number of Personnel
List offices (by City):
Type of work performed:
(Specify if different in
each office)
Work usually sub-contracted:
7
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART I - DETAILED INFORMATION ABOUT THE FIRM (cont.)
Identify any pending litigation involving applicant's work wherein applicant is a party, other than plaintiff.
Estimated Annual Capacity (Billings for the last three (3) years):
How many years have you operated under the above name?
8
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART II - ST. LOUIS OFFICE INFORMATION
(The District requires that a qualifying firm maintain a full-time (fully staffed) office within the District
boundaries that operates as a self-sufficient office.)
A. Address of Office Located within the District’s Boundary (St. Louis Office):
B. Number of Years at this Address:
C. Number of Years at any other address within the District’s Boundary:
D. Personal History Statement of all Principals located in the St. Louis office: (Furnish complete relevant
data.)
Name:
Education [degree(s), school(s) & year(s)]:
Registrations (state, license expiration date, registration number):
Experience: Number of Years
St. Louis Office
Prior to this office
As a Principal
As a Key Person (Project manager, office manager, etc.)
Name:
Education [degree(s), school(s) & year(s)]:
Registrations (state, license expiration date, registration number):
9
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
Experience: Number of Years
St. Louis Office
Prior to this office
As a Principal
As a Key Person (Project manager, office manager, etc.)
Name:
Education [degree(s), school(s) & year(s)]:
Registrations (state, license expiration date, registration number):
Experience: Number of Years
St. Louis Office
Prior to this office
As a Principal
As a Key Person (Project manager, office manager, etc.)
Name:
Education [degree(s), school(s) & year(s)]:
Registrations (state, license expiration date, registration number):
Experience:
St. Louis Office
Prior to this office
As a Principal
As a Key Person (Project manager, office manager, etc.)
Number of Years
(Use additional sheets as necessary.)
10
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
E. Personal History Statement of the St. Louis Office Manager: (Furnish complete relevant data. In the
event spaces provided are not sufficient for entries in this entire questionnaire, add additional sheets with
appropriate reference.)
Name:_
Education [degree(s), school(s) & year(s)]:
Registrations (state, license expiration date, registration number):
Experience: Number of Years
St. Louis Office
Prior to this office
As a Principal
As a Key Person (Project manager, office manager, etc.)
F. St. Louis Office Staffing Information (Full-time employees only):
STAFF Number
Professional Engineers (MO P.E.)
Engineers not licensed in Missouri (including FE)
Professional Land Surveyors Licensed in Missouri
Land Surveyors not licensed in Missouri (including LSIT)
Professional Architect (MO A.I.A.)
CADD Technicians
Microstation Technicians
Clerical
Others, including non-fulltime (please specify below)
Others:
11
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART III - QUALIFICATIONS AND EXPERIENCE
The undersigned hereby applies to the Executive Director of the Metropolitan St. Louis Sewer District for a
Certificate of Qualification to propose work in the following areas of expertise: (Check each type of work for
which qualification is requested and complete the related Part III Section for each category.)
GENERAL SERVICES AGREEMENT (GSA) CONTRACTS IN THE AREAS OF:
□ Construction Management (Requires P.E.) - This work typically consists of the inspection of sewer
construction and private lateral connections, material testing, pipe and manhole testing and other
miscellaneous construction management services.
o Please indicted if your company has staff members experienced in Sewer Inspection that is
currently 40 Hour Hazwoper Certified?Yes No
□ Geotechnical Services (Requires P.E.) - This work typically consists of geotechnical investigation for
small storm or sanitary sewer projects and may include performing borings or test holes, evaluating and
recommending shoring, foundation, excavation and pipe support methods, and evaluating and
recommending solutions to slope failures, foundation, and pipe bedding problems.
□ Sewer and Channel Design (Requires P.E.) - This work typically consists of the preparation of complete
construction plans and specifications for small projects which could include sanitary, storm, and combined
sewers as well as stormwater channels.
□ Sewer and Process Design (Requires P.E.) - This work typically consists of the preparation of complete
construction plans and specifications for small projects which could include sanitary, storm, and combined
sewers as well as wastewater treatment plant and pump station improvements.
□ Surveying (Requires P.L.S.) - This work typically consists of providing a variety of surveying services
such as GPS surveys, land surveys, property surveys and strip map preparation, easement plat preparation,
and other miscellaneous survey-related work.
PROJECT-SPECIFIC CONTRACTS IN THE AREAS OF:
□ Sewers (Requires P.E.) - This work typically consists of preparation of plans and specifications for the
construction of sanitaiy and storm sewer relief projects.
□ Large Facilities (Requires P.E.) - This work typically consists of preparation of plans and specifications
for the construction of new treatment plants and major pump stations or improvements to existing
treatment plants and major pump stations.
□ Small Pump Stations (Requires P.E.) - This work typically consists of preparation of plans and
specifications for the construction of new pump stations, or modifications of existing pump stations whose
design criteria falls under the District’s Pump Station Design Requirements.
□ Natural Channel Restoration (Requires P.E.) - This work typically consists of the preparation of
complete construction plans and specifications for projects with an emphasis on the restoration of natural
stormwater channels, often with bio-stabilization techniques.
□ Building (Architectural, Electrical, Mechanical and Structural) (Requires P.E. and/or A.I.A.) - This
work typically consists of preparation of plans and specifications for the construction of interior
improvements or building expansion of existing administration buildings, or construction of new facilities.
Signature
Name & Title (Please Print)12
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART III - QUALIFICATIONS AND EXPERIENCE (cont.)
CATEGORY BEING APPLIED FOR:
□ Construction Management (Requires P.E.)
□ Geotechnical Services (Requires P.E.)
□ Sewer and Channel Design (Requires P.E.)
□ Sewer and Process Design (Requires P.E.)
□ Surveying (Requires P.L.S.)
□ Sewers (Requires P.E.)
□ Large Facilities (Requires P.E.)
□ Small Pump Stations (Requires P.E.)
□ Natural Channel Restoration (Requires P.E.)
□ Building (Architectural, Electrical,
Mechanical and Structural) (Requires P.E.
and/or A.I.A.)
Demonstrated Project Experience/Key Personnel (Separate sheets must be submitted for each category
being applied for.):
(Provide information about the five (5) most recently completed or currently active projects completed by the
firm within the last three years that demonstrate the firm’s experience in this category. If firm acted as a
subconsultant or was part of a joint venture, please describe firm’s role in project in the Subconsultant or Joint
Venture section. Projects do not have to have been in the St. Louis area.)
Project Name:______
Location:___________
Owner:_____________
Description of Work:
Year Work Completed:__________________
Construction Cost:______________________
Design Fee:_____________________________
Key Personnel:_________________________
Role as Subconsultant or in Joint-Venture:
Project Name:______
Location:___________
Owner:_____________
Description of Work:
Year Work Completed:__________________
Construction Cost:______________________
Design Fee:_____________________________
Key Personnel:_________________________
Role as Subconsultant or in Joint-Venture:
13
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
Project Name:______
Location:___________
Owner:_____________
Description of Work:
Year Work Completed:__________________
Construction Cost:______________________
Design Fee:_____________________________
Key Personnel:_________________________
Role as Subconsultant or in Joint-Venture:
Project Name:______
Location:___________
Owner:_____________
Description of Work:
Year Work Completed:__________________
Construction Cost:______________________
Design Fee:_____________________________
Key Personnel:_________________________
Role as Subconsultant or in Joint-Venture:
Project Name:______
Location:___________
Owner:_____________
Description of Work:
Year Work Completed:__________________
Construction Cost:______________________
Design Fee:_____________________________
Key Personnel:_________________________
Role as Subconsultant or in Joint-Venture:
14
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES
PART IV - AGREEMENT TO NOTIFY DISTRICT OF ORGANIZATIONAL CHANGES
I/We will from time to time, when significant changes occur in our organization or in the information furnished
above, forward such revised data to be incorporated in this statement to keep the record current.
NAME OF FIRM OR INDIVIDUAL:
Signed by Authorized Member of Firm:
Title
Please return this questionnaire and all supporting documentation to:
WE ARE REQUIRING THAT YOU PLEASE SUBMIT THE 2023 QUESTIONNAIRE AS A
PDF TO THE FOLLOWING EMAIL:
msdengpq@stlmsd.com.
If you have any questions please contact:
Kayla Young
Director of Engineering’s Office
2350 Market Street
St. Louis, MO 63103
314-768-6285
15
PART V - AFFIDAVITS
NOTE:
Please execute the appropriate Affidavit in accordance with your company’s status.
16
AFFIDAVIT FOR CORPORATION
State of)
) ss.
County of)
, being duly sworn, deposes and says that
he
is of
the applicant and that the information furnished in this questionnaire is true, correct, and complete.
Title
Title
Sworn to before me, this day of, 20..
Notary Public
(seal)
16a
AFFIDAVIT FOR LIMITED LIABILITY COMPANY (LLC)
State of)
) ss.
County of)
, being duly sworn, deposes and says that
he
is of
the applicant and that the information furnished in this questionnaire is true, correct, and complete.
Title
Title
Sworn to before me, this day of, 20.
Notary Public
(seal)
16b
AFFIDAVIT FOR LIMITED LIABILITY PARTNERSHIP (LLP)
State of)
) ss.
County of)
, being duly sworn, deposes and says that
he
is of
the applicant and that the information furnished in this questionnaire is true, correct, and complete.
Title
Title
Sworn to before me, this day of, 20.
Notary Public
(seal)
16c
AFFIDAVIT FOR GENERAL PARTNERSHIP
State of)
) ss.
County of)
, being duly sworn, deposes and says that
he
is of
the applicant and that the information furnished in this questionnaire is true, correct, and complete.
Title
Title
Sworn to before me, this day of, 20.
Notary Public
(seal)
16d
AFFIDAVIT FOR SOLE PROPRIETORSHIP
State of)
) ss.
County of)
, being duly sworn, deposes and says
that the information furnished in this questionnaire is true, correct, and complete.
Title
Title
Sworn to before me, this day of, 20.
Notary Public
(seal)
16e
AFFIDAVIT FOR RENEWAL ONLY
State of)
) ss.
County of)
, being duly sworn, deposes and says
that:
• The information furnished in this questionnaire is true, correct, and complete.
• That the company asking for the RENEWAL ONLY qualification has not had substantial
changes to the company of loss of KEY PERSONNEL since the last submittal of the
APPLICATION FOR CERTIFICATE OF QUALIFICATIONS TO PROPOSE FOR
PROFESSIONAL SERVICES to MSD.
Title
Title
Sworn to before me, this day of, 20.
Notary Public
(seal)
16f
AFFIDAVIT FOR INSURANCE
State of)
) ss.
County of)
, being duly sworn, deposes and says
that:
• That the company asking for QUALIFICATON OR RENEWAL ONLY must have the
ability to provide the insurance coverages outline in Attachment B.
• If a Consultant is selected, the following contract language will apply: Within fifteen (15)
days after written notification by the District that the fee proposal has been accepted and
receipt of the Contract for signature, the Consultant must provide two (2) copies of executed
Certificate(s) of Insurance on the ISO ACORD 25 Form or current equivalent with the
District, indicating that the Consultant has obtained and will continue to cany commercial
general liability, comprehensive automobile liability, workers compensation/employers’
liability, excess/umbrella, professional liability and pollution liability as required. The
initial and renewal Certificates of Insurance must identify the MSD Project and Contract
by name and reference number. A sample Certificate of Insurance Form in the format
required has been provided to Consultant and is to be followed.
• If the Consultant cannot provide the necessaiy information within fifteen (15) days, MSD
may go on to the next highest-ranking consultant.
Title
Title
Sworn to before me, this day of, 20.
Notaiy Public
(seal)
16g
PART VI
GENERAL MANAGEMENT POLICY/PROCEDURE
APPROVED BY:
TOPIC:
Conflict of Interest Policy
Supersedes Policy Issued:
09/15/2017EXECUTIVE DIRECTOR
PURPOSE
This Policy is meant to promote an ethical business environment at The Metropolitan St. Louis
Sewer District, and to ensure compliance with all state ethics requirements.
This Policy supersedes and replaces any prior policies, rules, practices, standards or guidelines to
the contrary, whether written or oral. Other District policies, procedures and guidelines shall
continue to apply to the extent not inconsistent with this Policy.
POLICY
To promote an ethical environment of unquestionable integrity and to comply with state
requirements, the District requires all employees, as well as Trustees, to refrain from conflicts of
interest involving any and all business transactions involving the District. Furthermore, the
District expects that all employees and Trustees will use their best judgment in all business
dealings with customers, suppliers, contractors, governmental and regulatory agencies, the media
and vendors, that they will refrain from unethical actions, and that they will disclose all relevant
outside employment and business transactions. This Policy details all such requirements.
A “conflict of interest” occurs when your private interest interferes or appears to interfere in any
way with the interests of the District. You are expected to avoid all situations that might lead to a
real or apparent material conflict between your self-interest and your duties and responsibilities as
an employee, officer or Trustee of the District. Any position or interest, financial or otherwise,
which could materially conflict with your performance as an employee, officer or Trustee of the
District, or which affects or could reasonably be expected to affect your independence or judgment
concerning transactions between the District, its customers or suppliers or otherwise reflects
negatively on the District would be considered a conflict of interest and should be avoided. A
conflict of interest should be properly disclosed by the affected Trustee or District employee at the
earliest opportunity.
PROCEDURE
1. Conflict of Interest
17
(a) Members of the Board of Trustees and all District employees must avoid all
conflicts of interest and the appearance of impropriety when representing the
District in business dealings or making any recommendations which could affect
the District, In addition, each employee must disclose any actual or apparent
conflict of interest to his or her supervisor and/or the Director of his or her
department. Members of the Board of Trustees must disclose any actual or apparent
conflict of interest to the full Board of Trustees,
(b) It is not practical or possible to specify all activities which may create a conflict of
interest; however, situations that are related to the procurement process that should
be avoided by Trustees and District employees include:
(1) Owning any interest (other than nominal amounts of stock in publicly traded
companies) in any supplier, service provider, consultant, or lessor;
(2) Consulting with or being an employee of any customer, lessor, contractor,
service provider, consultant, or supplier (without prior written approval of
his/her departmental director);
(3) Purchasing goods and services from, or selling them to, the District or
having a business associate or close relative do the same (unless done
through an established program of disposal of surplus District property
offered to the general public);
(4) Participation in outside activities which are so substantial that they interfere
with an employee’s ability to devote appropriate time and attention to his or
her job responsibilities with the District;
(5) Serving on the Board of Directors of any customer, lessor, contractor,
service provider, consultant, supplier or other entity doing or seeking to
business with the District. However, if avoidance is impractical, full
disclosure must be made and the individual must abstain from participating
in any votes concerning the entity in question; and
(c) In addition to all other requirements of this section, and in accordance with RSMO
§105.454.1(6) and any other applicable state statutes, Trustees and District
employees may not:
(1) Have any contracts or arrangements with the District to perform any
services outside of the scope of their regular employment;
(2) Sell, rent, or lease any property to the District; and
(3) Work for any person or entity in relation to any case, proceeding,
application or matter that they worked on during their employment with the
District except to the extent expressly allowed by law.
(d) For each of the individuals named in (c) above, written disclosure must be made of
any outside employment, other than with the District.
18
(e) If a Trustee has a significant business relationship as an individual or through his
or her employer with a vendor doing or being considered to do business with the
District, the Trustee must inform the full Board of the business relationship and
recluse himself or herself from voting on said matter. If the existence of a conflict
of interest is undetermined, the subsequent inquiry may include disclosure of the
nature of the business relationship, the amount of annual charges resulting from the
relationship, and whether any of the charges relate, directly or indirectly to the
business of the District. Intentionally providing materially false or misleading
information, or omitting material information, shall constitute malfeasance in office
for any Trustee, subjecting the Trustee to removal as provided in the Charter of the
District. Furthermore, by definition, actions taken by a Trustee on behalf of the
District based solely on the existence of a personal relationship between the Trustee
and a vendor constitutes a conflict of interest.
(f) If an employee has a significant business relationship as an individual or through
an employer other than the District with a vendor doing or being considered to do
business with the District the employee must inform his or her supervisor and/or
the Director of his or her department of the business relationship. If the existence
of a conflict of interest is undetermined, the subsequent inquiry may include
disclosure of the nature of the business relationship, the amount of annual charges
resulting from the relationship, and whether any of the charges relate directly or
indirectly to the business of the District. Intentionally providing materially false or
misleading information, or omitting material information, shall be cause for
termination of employment with the District. Furthermore, by definition, actions
taken by an employee on behalf of the District based solely on the existence of a
personal relationship between the employee and a vendor constitutes a conflict of
interest.
(g) Additionally, the following acts are expressly prohibited for all Trustees and
employees of the District:
(1) Acting or refusing to act in any capacity in which he or she is empowered
to act by reason of payment, offer to pay, or promise to pay, or receipt of
gifts or anything of value.
(2) Using or disclosing confidential information gained in the course of
employment or term as a Trustee with the intent to obtain financial gain for
him or herself, his or her spouse or children, or any business with which he
or she is associated, or for the purpose of extorting anything of value from
another.
(3) Acting in any matter which specifically gives special monetary benefit to
himself or herself, his or her spouse or children, any close family members
or any business associate.
2. Interpretation and Administration
This Policy shall be administered and interpreted as follows:
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(a) In the case of employees who are not managers, by the human resources department
in consultation with the General Counsel.
(b) In the case of employees who are managers, by the Executive Director in
consultation with the General Counsel.
(c) In the case of Trustees, by the disinterested Trustees in consultation with the
General Counsel.
3. Business Relationships
(a) The District considers its reputation for fairness and integrity one of its most
valuable assets. Employees are expected to use good judgment in all dealings with
individuals, service providers, consultants, suppliers, or firms which seek to
become a supplier of goods or services to the District and all customers of our
services. To that end, Trustees or District employees must conduct their business
affairs so that the District’s integrity is unquestionable if the full details of those
dealings were to become public.
(b) To illustrate the high ethical standards expected of every Trustee and every
employee of the District, the following conduct is expressly prohibited:
(1) Receiving or soliciting money, loans or other favors which may influence
business decisions or compromise independent judgment;
(2) Receiving or soliciting gifts of money in any amount or any other gifts of
more than a nominal value; a gift of nominal value is one that a company or
individual routinely provides as part of their customary and normal business
practices (all gifts must be reported in accordance with state ethics laws, if
applicable);
(3) Receiving or soliciting any trip without the employee’s supervisor’s prior-
wri tten approval;
(4) Receiving or soliciting kickbacks for obtaining business from the District;
(5) Degrading the District’s reputation through any other activities which are
of questionable integrity.
(c) These guidelines are not intended to prevent the District from taking normal prompt
payment discounts. They also do not prohibit receiving inexpensive gifts or
services which are unsolicited and acceptable under normal and customary social
circumstances, so long as the gratuity is not offered with a corrupt intent and does
not influence or compromise the conduct of the recipient. In addition, the guidelines
do not prohibit normal business entertainment expenses that are neither lavish nor
solicited.
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(d) If any Trustee or employee of the District is requested to make or accept a gift or
payment that is prohibited or may even appear to be prohibited under this Policy,
the request and all surrounding circumstances should immediately be disclosed to
the District’s General Counsel who will advise the appropriate course of action.
4. Disciplinary Action
Violations of this Policy involving employees will be handled on a case-by-case basis and
disciplinary action could cover the full range of actions permitted under the District’s Civil
Service Rules. Violations of the Policy involving Trustees will be reviewed and handled
by disinterested Trustees in consultation with the General Counsel.
5. Compliance with Laws, Rules and Regulations
This Policy is based on the District’s policy that all employees, officers and Trustees
comply with the law. While the law prescribes a minimum standard of conduct, this Policy
requires conduct that often exceeds the legal standard.
All employees, officers and Trustees are required to respond honestly and candidly when
dealing with the District’s independent and internal auditors, regulators and attorneys.
6. Reporting of Illegal and Unethical Behavior
Fraud is an element of business that can significantly affect the reputation and success of
the District. The District requires its employees, officers and Trustees to talk to
supervisors, managers or other appropriate personnel to report and discuss any known or
suspected criminal activity involving the District or its employees. If, during the course of
your affiliation with the District, you become aware of any suspicious activity or behavior
including concerns regarding questionable accounting or auditing matters, you must report
violations of laws, rules, regulations or this Policy to your supervisor, the Director of
Human Resources or the General Counsel. Reporting the activity will not subject you to
discipline absent a knowingly false report.
7. Misappropriation
Anyone who embezzles, steals or willfully misappropriates any monies, funds or anything
of value from the District may be subject to fine, imprisonment, restitution payment and
other such actions conferred by law or District policy, in addition to disciplinary action.
8. Investigation
You must cooperate fully with any investigation, internal audit, external audit or regulatory
examination. If an employee becomes aware that he or she is or has been the subject to
any external investigation, the employee must immediately inform his or her supervisor
and/or Director of the department, unless otherwise prohibited by law, regulation or the
investigating authority. Trustees shall inform the disinterested Trustees and the General
Counsel.
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9.Financial Disclosure Statement
In accordance with Missouri State Statutes, the following positions are required to submit
annually, a Financial Disclosure Statement to the State:
(a) Members of the Board of Trustees
(b) Executive Director
(c) General Counsel
(d) All Director-level positions
(e) Purchasing Manager
(f) Other personnel as identified by the Board of Trustees
Such Financial Disclosure Statements shall be filed within 30 days of appointment
for new appointees, and no later than May 1 of each calendar year for all others.
10. Employees and Immediate Family Members, Selling to the District.
(a) Employees and Immediate Family Members of the District:
Employees of the District, and members of their immediate family, will not be
permitted to sell goods and/or services to the District.
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VENDOR'S CONFLICT OF INTEREST QUESTIONNAIRE
1. Name the individual or company requesting to do business with The Metropolitan
St. Louis Sewer District (MSD):
2. In the past two (2) years, has the individual or company named in No. 1 above (or
any principal of such company, i.e. partner, officer, director, etc.) contributed cash
or gifts in excess of $200.00 in value in the aggregate in any calendar year to any of
the individuals or organizations listed on Attachment A hereto?
Yes No
If yes, describe in detail (date/amount/description):
3. In the past two (2) years, has the individual or company named in No. 1 above done
business with any person listed in Attachment A and/or their respective companies?
Yes No
If yes, describe in detail (date/amount/description):
4. The undersigned certifies that the above information is true and correct to the best of
his or her knowledge and belief.
Dated this day of 20
Printed Name:
Title:
Company:
Signature:
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ATTACHMENT A
NOTE: Attachment A contains a list of the MSD Trustees and their respective employer, MSD officers and Directors, and the
organizations which each are individually associated with, as applicable.
Updated February 1,2022
Trustee/Director
MSD BOARD OF TRUSTEES & DIRECTORS
Name of Firm, Organization or Company Affiliation
Bret A. Berthold
Director
American Water Works Association (AWWA)
Engineers Club of St. Louis
Missouri Water Environment Association
National Association of Clean Water Agencies (NACWA)
Water Environment Federation
Member
Member
Member
Member
Member
Tracey Coleman
Director
Association for Talent Development
St. Elizabeth Mother of John the Baptist
Society for Human Resource Management
Member
Member
Member
Michael Evans
Trustee
AFL-CIO Lawyers Coordinating Committee
Bar Association of Metropolitan St. Louis
Hartnett Reyes-Jones, LLC
International Foundation of Employee Benefit Plans
Kentucky Bar Association
Missouri Bar Association
St. Louis City Labor Legislative Club
Member
Member
Partner
Member
Member
Member
Member
Amy L. Fehr
Trustee
Algonquin Golf Club
American Bar Association
Bar Association of Metropolitan St. Louis
Capes, Sokol, Goodman and Sarachan, PC
Federal Bar Association, St. Louis Chapter
Missouri Bar Association
Member
Member
Member
Shareholder & Director
Member
Member
Marion M. Gee
Director
American Water Works Association (AWWA)
Church on The Rock
Government Finance Officers Association (GFOA)
Missouri Government Finance Officers Association
Member
Member
Executive Board
Member
Brian Hoelscher
Executive Director
Engineers Club of St. Louis
Missouri Water Environment Association
National Association of Cleanwater Agencies (NACWA)
Project MOSAIC
Washington University in St. Louis - W Club
Water Environment Federation
Member
Member
Executive Board
Ambassador/Connector
Executive Council
Member
Susan M. Myers
Director
Association of Corporate Counsel
Association of Missouri Cleanwater Agencies (AMCA)
Bar Association of Metropolitan St. Louis
Missouri Bar Association
National Association of Cleanwater Agencies (NACWA)
Member
Board Member
Member
Member
Member
Greg Nicozisin
Trustee
Plumbers & Pipefitters Local 562 Member
Betsy Schubert
Manager
Institute for Supply Management Member
Timothy R. Snoke
Director
Association of Financial Professionals
Government Finance Officers Association
Member
Member
Updated February 1,2022
Trustee/Director
MSD BOARD OF TRUSTEES & DIRECTORS
Name of Firm, Organization or Company Affiliation
Institute of Management Accountants
Lutheran Church of Webster Gardens
St. Louis Treasury Management Association
Member
Member
Member
Jonathon Sprague
Director
American Water Works Association (AWWA)
Engineers Club of St. Louis
Missouri Water Environment
National Association of Clean Water Agencies (NACWA)
Water Environment Federation
Member
Member
Member
Member
Member
Rich L. Unverferth
Director
Engineers Club of St. Louis
Knights of Columbus - Council 2119 Webster Groves
National Association of Clean Water Agencies (NACWA)
St. Michael the Archangel Catholic Parish
Member
Member
Member
Member
Brian Wahby
Trustee
Democratic National Committee
St. Raymond's Maronite Catholic Church
Member
Member
Brian K. Watson
Trustee
Laborers' Local 42 Member
Ret. Col. Richard R.
Wilson
Trustee
American Institute of Parliamentarians
Anniversary Club
Oaks Social Club
Pathfinders Golf Club
Pin High Golf Club
Reserve Officers Association
Royal Vagabonds Foundation, Inc.
Royal Vagabonds, Inc.
Member
Member
Treasurer
Treasurer
Member
Member
Board Member
Member
PART VII - ATTACHMENT B
(Article 6.7 and 8 of MSP Standard Contract)
ARTICLE 6 - PROJECT MANAGEMENT AND STAFFING (partial)
6.7 CONSULTANT shall be responsible for ensuring that its employees and its SUBCONSULTANT(S) and
SUBCONTRACTOR(S) and their employees at all times comply with the DISTRICT’S Mandatory
Coronavirus (COVID-19) Testing Policy.
ARTICLE 8 - INSURANCE
8.1 Within fifteen (15) days after written notification by the District that the fee proposal has been accepted
and receipt of the Contract for signature, the Consultant must provide two (2) copies of executed
Certificate(s) of Insurance on the ISO ACORD 25 Form or current equivalent with the District, indicating
that the Consultant has obtained and will continue to carry commercial general liability, comprehensive
automobile liability, workers compensation/employers’ liability, excess/umbrella, professional liability
and pollution liability as required. The initial and renewal Certificates of Insurance must identify the MSD
Project and Contract by name and reference number. A sample Certificate of Insurance Form in the format
required has been provided to Consultant and is to be followed.
8.2 Consultant shall cany and maintain adequate liability insurance as required by this Contract with a
company or companies satisfactory to the District and which are (1) licensed to do business in the State
of Missouri (Admitted) with a financial strength rating of "A-" or better and a financial size categoiy of
Class VI or higher per AM Best Company; or (2) not licensed in the State of Missouri (Non-admitted) with
a financial strength rating of "A" or better and a financial size categoiy of Class IX or higher per AM Best
Company; or (3) with regard to worker’s compensation coverage only, organized pursuant to the Missouri
Insurance Company Act (R.S. Mo. §§ 287.900 to 287.920). An insurance policy will be acceptable
regardless of the above requirements if the insurance company furnishes a guarantee or policy containing
a provision (commonly referred to as a "cut-through" endorsement) giving all claimants thereunder a
direct right of recovery against the company's reinsurer, provided the reinsurer meets one of the
qualifications listed in the preceding sentence.
8.3 The amounts of coverage required herein shall not be construed to limit the liability of the
Consultant under the Indemnification provision of the Contract.
8.4 The District (including its trustees, agents, directors, officers, attorneys and employees and if applicable to the
particular project and required by the project specifications, its consultants and sub-consultants), shall be
named as “Additional Insured(s)” for all required insurance coverage with respect to the work covered by
the Contract (with the exception of pollution liability, professional liability and workers compensation
coverage). The Consultant shall require that its sub-consultants name the District and the Consultant as
“Additional Insured(s).” The additional insured coverage must be sufficiently broad to afford the District
coverage as required by the indemnification provision of the Contract and must include products and
completed operations coverage included within the commercial general liability policy.
8.5 The coverages shall be as specified below, and the limits of liability shall not be for less than the amounts
listed below except as may be specifically modified elsewhere in the Contract Documents:
Required Minimum Insurance Coverage & Limits
A. Commercial General Liability (occurrence form):
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$1,000,000 Each Occurrence
$2,000,000 Aggregate/Per Project*
*The aggregate limits must be provided on a per project basis. Aggregate limits not provided on a
per project basis must be noted on the Certificate of Insurance and the District must approve in
advance.
The CGL insurance policy shall include the following coverages:
1. Premises - Operations Liability
2. Blanket Contractual Liability
3. Products & Ongoing and Completed Operations Liability
4. Contractor's Protective Liability (Independent Contractors)
5. Personal Injury Liability
6. Broad Form Property Damage Liability Endorsement (a specific endorsement may be needed
if non-standard coverage is provided)
7. Coverage for explosion, collapse and underground hazards (X.C.U.)
8. Blasting (provided that blasting coverage may be excluded if blasting is not to be performed
in connection with the Contract work as governed by the Project Specifications).
If any exceptions or exclusions have been made to the standard CGL policy, the exceptions and
exclusions must be specifically listed and identified in the Description of Operations section of the
Certificate of Insurance and must be submitted to the District for approval.
If using a non-standard policy form (Form CG 00 01 04 13 or equivalent), additional endorsements
may be required.
The CGL Policy must provide primary and non-contributory coverage that is equivalent to the
terms of ISO Form CG 20 01 04 13, Primary and Noncontributory Other Insurance Conditions, or
current equivalent.
The commercial general liability coverage including products and completed operations shall be
maintained for a minimum period of five (5) years following final payment.
B. Business Automobile Liability
$1,000,000 Combined Single Limit
The policy must cover all owned vehicles including hired, non-owned, and leased vehicles used
in connection with the work. A MCS-90 endorsement shall be included on the Policy when
required by Missouri law.
C. Workers Compensation & Employers’ Liability
1. Workers Compensation: $1,000,000 each
Workers Compensation shall comply with all applicable State and Federal laws, including
but not limited to U.S. Longshore & Harbor Workers (USL&H) Act and Jones Act.
2. Employers' Liability:
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$ 500,000 Each Accident
$ 500,000 Disease Each Employee
$ 500,000 Disease Policy Limit
D. Excess (Umbrella) - applies to CGL, Business Auto & Employers’ Liability
Excess (umbrella) coverage must be provided for Commercial General Liability, Business Auto
and Employers’ Liability coverages. These limits are in addition to the primary limits set forth
above.
For Contracts $100,000 & Over:
$2,000,000 Each Occurrence
$2,000,000 Aggregate
For Contracts Less than $100,000:
$1,000,000 Each Occurrence
$1,000,000 Aggregate
E. Pollution Liability
$2,000,000 Per Claim
$2,000,000 Aggregate
The Consultant or its subconsultant if providing or performing subsurface or geotechnical
services and/or landscaping shall cany and maintain or shall require their sub-consultant performing
such services to cany and maintain in force for the full period of the Contract, pollution liability
insurance covering losses caused by pollution conditions that arise from the operations of the
Consultant and/or the sub-consultant. Such insurance shall apply to bodily injury and property
damage, including loss of use of the damaged property or property that has not been physically
injured, and shall cover cleanup, transportation, disposal, remediation and defense costs, including all
expenses incurred in the investigation, defense, payment or settlement of claims. The pollution
liability insurance coverage if provided on a claims-made basis shall be retroactive to the earlier of the
date of this Contract or the commencement of the Consultant’s work on the Project, and Consultant
shall cause the same to remain in effect for a period of at least five (5) year's (two (2) years if contract
less than $100,000) after final acceptance of the Project by the District or such other period as may
be set forth in the Contract or in the Project Specifications.
F. Professional Liability/Errors & Omissions
Contracts with Initial Design value < $500,000___________
$2,000,000 Per Claim
$2,000,000 Aggregate
Contracts with Initial Design value > $500,000___________
$5,000,000 Per Claim
$5,000,000 Aggregate
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Consultant shall maintain in force for the duration of this Contract errors and
omissions/professional liability insurance appropriate to the Consultant’s profession. Coverage as
required in this Article shall apply to liability for professional errors, acts or omissions arising out
of the scope of the Consultant’s services as set forth in this Contract and the Project
Specifications. The insurance coverage shall be retroactive to the earlier of the date of this Contract
or the commencement of the Consultant’s work on the Project, and Consultant shall cause the same
to remain in effect for a period of at least five (5) years (two (2) years if contract less than $100,000)
after final acceptance of the Project by the District or such other period as may be set forth in the
Contract or in the Project Specifications.
NOTE: If Consultant provides combined Pollution Liability and Professional Liability coverage,
separate limits in the amounts required must be provided. If a policy aggregate applies, the
certificate of insurance must so indicate and the amount must be approved by the District.
8.6 Deductible/Self-Insured Retention:
In any coverage a deductible or retention that exceeds $100,000 shall be noted and approved by the
District’s Risk Management Department. The District reserves the right to review the funding for any such
deductible or retention program. If self-insured, the District reserves the right to request acceptable proof
of financial responsibility before approval.
8.7 Cancellation
Should any of the required insurance coverage be cancelled prior to the expiration date, the Consultant must
provide at least sixty (60) days written notice to the District prior to the cancellation. For policy cancellation
for non-payment of premium, the Consultant must notify the District at least ten (10) days prior to the
cancellation.
Cancellation provisions within any coverage shall be in accordance with Missouri Cancellation and Non
Renewal provisions. It is the duty of the Consultant to notify the District of any cancellation or non-renewal
and provide the District 60 days’ notice.
8.8 Replacement Policy
Upon receipt of any notice of insurance cancellation, termination or alteration, the Consultant shall procure
other policies of insurance identical in all material respects to the policy or policies about to be cancelled,
terminated or altered and shall provide the District with evidence of coverage before the alteration,
cancellation or termination date; and if Consultant fails to provide, procure and deliver acceptable policies
of insurance and satisfactory certificates or other evidence thereof, the District may obtain such insurance
at the cost and expense of Consultant without notice to Consultant or may elect to pursue any other remedy
permitted by law or the Contract terms, including but not limited to termination of the Contract.
8.9 The DISTRICT requires by contract that the DISTRICT, CONSULTANT and SUBCONSULTANTS be
made additional insured(s) under the General Contractor’s General Liability Insurance Policy.
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