POLICY OBJECTIVE

To administer public works contracts under the authority given the Trustees in the Public Contract Code including those sections, referred to as The California State University (CSU) Contract Law.

POLICY STATEMENT

9204 PROFESSIONAL SERVICES

9204.01 DELEGATION OF AUTHORITY FOR MAJOR CAPITAL OUTLAY PROJECTS
Reference: Executive Order 666, dated March 7, 1997

I. Authority

Each campus President or designee is delegated authority to make all professional appointments relative to major capital outlay projects and campus physical development.

II. Responsibility

The campus President or designee is responsible for ensuring that:

A. The authority delegated by Executive Order No. 666 is exercised in compliance with all applicable statutes and regulations and policies of the Board of Trustees.

B. The process for all architectural appointments relative to capital outlay projects is carried out in accordance with Board of Trustees’ ‘Policy on the Appointment of Architectural Firms for State and Nonstate Capital Outlay Projects’ (RCPBG 01-97-01).

C. The process for all other professional appointments is consistent with guidelines of the State University Administrative Manual (SUAM).

D. Appropriate internal controls are in place to ensure that systemwide standardize architectural, engineering, and other professional appointment contract forms are utilized when contracting with the selected professional.

III. Accountability and Reporting

A. Notice of Project Architect/Engineer Selection and Appointments
Each campus shall advise Capital Planning Design and Construction (CPDC) of their selections on major capital architectural appointments when made. CPDC shall review selections for compliance with trustee policy and append information to the systemwide project tracking records (API) maintained by CPDC.

B. Annual Performance Indicator (API) Reporting
The campuses shall keep CPDC informed on major milestone data (both actual and projected) in their management of major capital projects. This information shall be used by CPDC to support systemwide contractor and developer prequalification and in the development of various required legislative and trustee reports. Currently these reports include:

Capital Program reporting to legislature (Quarterly)

API reporting to Trustees on Active Projects (July)

API reporting to Trustees on Completed Projects (January)

Capital Streamlined Project Reporting to Legislature (Annually)

Campuses shall supply initial and/or updated project information to CPDC in a consolidated, perproject, standardized, format (currently via the API Excel database forms) on a quarterly basis for each active and recently completed project. CPDC shall review and validate this data by means of periodic campus visits and telephone inquiries.

Note on timing: Project information for reporting will generally lead the final report by a three-month period.

C. Annual Summary of Major Capital Professional Appointments
The campus shall provide to the assistant vice chancellor, Capital Planning Design and Construction (CPDC), an annual report identifying the appointment of the consulting architect, consulting landscape architect, consulting engineer, etc. The report shall include a list of the firms that were considered and the methods used for selection. This report shall be submitted by July 1 of each year.

D. Revocation of Delegation
Authority delegated by Executive Order No. 666 may be revoked in whole or in part if in the judgment of the chancellor, the campus President or his designee has not complied substantially with provisions of Executive Order No. 666. Annual post performance reviews may be employed to determine compliance with provisions of Executive Order No. 666.

9204.02 POLICY ON THE APPOINTMENT OF ARCHITECTURAL FIRMS FOR STATE AND NONSTATE FUNDED MAJOR CAPITAL OUTLAY PROJECTS

I. Purpose

The purpose of this policy is to establish well-defined and equitable procedures to be used by the University in the selection of architectural firms to design major capital outlay projects.

II. Policy

It is the policy of the California State University Board of Trustees to identify and effectively utilize the professional skills of architectural firms most highly qualified for a CSU project and to base the CSU architect selection process on the professional qualifications and past performance of the applicant firms. It is further the policy of the trustees to endeavor to hire architects who can create functional, aesthetically pleasing and efficient buildings and facilities that further the educational mission of the CSU.

III. Procedure
To implement this policy, the CSU Office of the Chancellor, Department of Capital Planning Design and Construction (CPDC) shall establish and maintain a prequalification process for architectural firms. CPDC may make administrative adjustments to the particulars of this process as needed to effectively carry out the Trustees’ intent.

Architectural firms seeking commissions on major capital design-bid-award projects shall be prequalified through the CPDC process. Prequalification for architectural firms shall be issued on an annual basis. Prequalification from prior years shall not automatically roll over into the next year.

A. Systemwide Architectural Prequalification Notice/Announcement

Once each year, the chancellor’s office shall announce and publish a notice that the CSU desires submittals of a questionnaire and brochure from all architectural firms interested in performing architectural services for the CSU during the following fiscal year.
1. General Prequalification Requirements:

Firms seeking architectural prequalification shall be a firm primarily providing architectural services. Other service providers, i.e., engineering firms, landscape architects, etc., are not subject to systemwide prequalification and therefore will not be considered for this systemwide architectural listing.

Firms seeking prequalification shall maintain an office within the state of California.

While other officers of the company may co-sign, the prequalification application shall list an architect licensed in the state of California and directly associated with the office applying that will be empowered to sign agreements.

Architectural commissions awarded through a design-build project are prequalified on a per project basis and need not be prequalified systemwide.

Joint ventures created specifically for a project will need to pre-qualify. Component firms cannot apply their prequalification to a new corporate entity.

2. Allowable Work On CSU Projects By Non-Prequalified Architects:

As a consultant to a prequalified architect. The CSU shall require the prequalified architect to act as the architect of record for the project.

As the architect of record on a design-build project. Qualification of the developer/architect team occurs on a per project basis as a part of the technical review of the submittal.

As architect of record on minor capital projects. Systemwide prequalification is not required.

Providing feasibility or other design concept studies.

B. Prequalification Submittals and CPDC Review

Once each year, interested architectural firms shall submit the completed questionnaire and brochure by an announced date to the CSU Office of the Chancellor, Attention: Capital Planning Design and Construction (CPDC). CPDC shall, review the questionnaires and brochures of each firm, evaluate the qualifications and consider the past performance of each applicant firm. CPDC shall make individual determinations and place the firms in appropriate project type and construction value categories valid for the upcoming year. The CSU Systemwide Prequalified Architect’s Database shall be published and made available for
systemwide use on the CPDC website. See http://rodgers.calstate.edu/CPDC/PreQualArch/

CPDC shall monitor and consider the past performance of provider firms both in terms of quantifiable factors (E&O rates, etc.) and on performance evaluations as reported by campuses. Below-average rankings may be used by CPDC as the basis for a probationary warning, suspension or denial of architectural firms
from current and/or future prequalification. Affected firms shall be provided written notification of imposed sanctions. An affected firm may appeal a sanction in writing to the assistant vice chancellor of CPDC. The decision by the AVC of CPDC shall be considered final and exhaust administrative remedies available.

C. Short List/Interviews/Appointments of Architectural Firms

Once a capital outlay project has been included in the trustees’ budget written project criteria for the proposed project shall be developed by the campus.

Considering the needs of the project and using the CSU Systemwide Prequalified Architect’s list the campus shall develop a short list of firms to be interviewed and prepare invitations to the short listed firms. The campus shall form a panel for the purpose of interviewing the short list of architects. The panel may contact previous clients and users of projects designed by the short listed firms and, upon completion of the interviews, prioritize the list of firms to establish a first, second, and third order of preference. Upon completion of the interview process, the campus shall select the firm rated first and notify the architect of the intended appointment.

In the event that it is not possible to conclude an agreement for architectural services with the first choice appointed architect, the campus shall terminate negotiations with the architect and endeavor to enter into an agreement with the architect rated next in preference.

In the event that an architect is unable to complete (or the campus elects to terminate) architectural services once under agreement, the campus shall terminate the agreement and enter into a new agreement with another prequalified firm that, in the assessment of the campus, is well-qualified to complete the project in
the best interest of the CSU.

9204.03 POLICY ON THE APPOINTMENT OF ARCHITECTURAL/ENGINEERING FIRMS FOR STATE AND NONSTATE MINOR CAPITAL PROJECTS (TOTAL PROJECT
COST OF $400,000 OR LESS)

If the campus determines that a project architect is required for an approved minor capital outlay or other public works project that is minor in nature, it may select and appoint any architectural firm based upon their assessment of the firms qualifications from the current year’s systemwide prequalified listing (see appointment policy 9204.02) or the campus may establish its own prequalified list.

If the campus determines that a project engineer is required for any public works project that is minor in nature, the campus may either solicit its own proposals or use its appointed consulting engineer.

APPLICABILITY AND AREAS OF RESPONSIBILITY

REVISION HISTORY

RESOURCES AND REFERENCE MATERIALS

Useful Guidelines:

Related Principles:

Sound Business Practices:

Laws, State Codes, Regulations and Mandates:

COGNIZANT OFFICE(S)

CO Manager:

Nancy Freelander-Paice
Executive Program & Fiscal Manager, CPDC AVC Office
CSU Office of the Chancellor
nfreelander-paice@calstate.edu

Subject Expert: