United States Region 10
Environmental Protection 1200 Sixth Avenue
Agency Seattle WA 98101
Water Division October 1982
vvEPA Guidance for Obtaining
Professional Services for
Municipal Wastewater
Treatment Facilities
-------
GUIDANCE FOR OBTAINING
PROFESSIONAL SERVICES
FOR
MUNICIPAL WASTEWATER TREATMENT FACILITIES
By
David L. Sullivan
Roy M. Monier
ES Environmental Services
600 Bancroft Way
Berkeley, California 94710
EPA Region X Grant Number T 000 226010
Boise State University Contract Number 74d-57777g-05-5
EPA Project Officer
Tom Johnson
BSU Contract Officer
Jim Felton
June 1982
US Environmental Protection Agency, Region X
Water Division
Seattle, Washington
-------
DIS CLAIMER
This publication as prepared with the support of a
grant from the U.S. Environmental Protection Agency’s
Municipal Operations BrancK. The statements, conclusions
and/or recou endations contained herein are those of the
authors and do not necessarily reflect the views of the
U.S. Covernment, the U.S. Environmental Protection Agency,
or Boise State University, nor does mention of trade names
or co ercial products constitute endorsement of recoendation
for use.
-------
TABLE OF CONTENTS
CHAPTER 1 INTRODUCTION 1-1
CHAPTER 2 DEFINING THE PROBLEM 2-1
CHAPTER 3 EVALUATING THE QUALIFICATIONS
OF PROFESSIONAL FIRNS 3-1
3.1 Qualifications for Diagnostic
Evaluations 3—1
3.2 Qualifications for Operational
Assistance 3—3
3.3 Qualifications for Design
Services 3—4
3.4 Interviewing Firms 3—6
CHAPTER 4 CONTRACTS 4-1
CHAPTER 5 LOCAL VS NON LOCAL FIRMS 5-1
5.1 Diagnostic Evaluations 5—2
5.2 Operations Assistance 5—3
5.3 Design Services 5—4
-------
CHAPTER 1
INTRODUCTION
Municipal wastewater treatment plants have been in operation in
this country for over 100 years. State—of—the—art design and operating
principles have become quite sophisticated in recent years as more
stringent treatment standards have been set, enforcement has become more
consistent, and energy, labor and chemical costs have increased. Prob-
lems which affect the ability of municipal plants to meet discharge
limits or which result In excessive operating costs are a serious matter.
Communities which are experiencing difficulty in meeting discharge
limits established for their treatment facilities or with controlling
operating costs often retain an engineering consultant to solve these
problems. Many firms can provide professional services related to
municipal wastewater treatment facilities. Some professional firms
specialize in this area, while others offer a broader range of capabili-
ties. Of those firms which specialize in wastewater, some are involved
primarily with design, others work mostly in plant operation and manage-
ment, and a few have proven capability in both areas.
manual is intended to serve as a guide for communities select-
ing a professional firm to help solve various problems related to waste—
water treatment. Selection of a properly qualified firm is perhaps the
single most important step in achieving stable, long term compliance with
federal and state requirements at the lowest possible cos Any com-
munity retaining a professional firm is entitled to full disclosure of
the capabilities and experience of the firm, as well as guarantees that
specific individuals from the firm will be involved in the project.
Although the guidelines presented in this manual may appear quite
simple and straightforward, they include many points which are frequently
1—1
-------
overlooked or left to the discretion of the professional firm. All too
often, these omissions lead to misunderstanding and dissatisfaction on
both sides, and to a less than satisfactory completion of the project.
Following the reco iendations in this manual will minimize the potential
for this type of problem to occur.
1—2
-------
CHAPTER 2
DEFINING THE PROBLEM
The design, construction and operation of municipal wastewater treat-
ment facilities creates the potential for countless problems. Fortunately,
most of them never happen. Those which do arise are not always easy to
understand. Many problems which seem to have a single cause may actually
be the result of several interrelated factors, each of which requires a
separate solution. The first step which must be taken in selecting pro-
fessional services is to define the problem which the firm will be
expected to solve.
Generally, the need to hire a professional firm results from one of
the following four situations:
1) A new treatment plant must be built, or an existing
plant must be significantly upgraded because of organic
and/or hydraulic overload.
2) An existing treatment plant has one or more specific
unit processes which operate poorly at loadings within
the design range.
3) An existing treatment plant has poor overall performance,
although all units are operating within the design range.
4) Operating costs are considered to be higher than necessary.
Each of these situations requires a different solution, and, there-
fore, requires different capabilities within the professional firm.
Situation No. 1, above, usually requires design and construction
management services. Situations 2 and 4 are often best approached by
having an operations specialist investigate the problem and present
specific recommendations which can be implemented with the help of a
design firm. Situation 3 usually involves purely operational considera-
tions.
2—1
-------
In many cases, it may be difficult to determine which of these
four general categories a given set of problems falls into. If there
is any question at all about what the problem really is, a diagnostic
evaluation of the treatment facility should be conducted. Although
many firms active in the wastewater treatment field include diagnostic
plant evaluations in their range of services available to clients,
this activity actually is quite specialized. Firms specializing in
this field, or firms with qualified staff members, should be capable of
providing a more thorough evaluation and more detailed recommendations
at a lower cost than can less specialized firms.
The following Chapter presents recommended criteria for evaluating
the qualifications of firms who may be retained to provide diagnostic
evaluation, operational and/or design services. Later Chapters will
discuss contractural considerations and the relative advantages of
local versus non—local firms for providing each type of service.
2—2
-------
CHAPTER 3
EVALUATING THE QUALIFICATiONS
OF PROFESSIONAL FIRMS
The selection process generally begins by requesting a proposal
or statement of qualifications from firms who are interested in providing
their services on a particular project. The request for proposals (REP)
itself is a very important document. Before preparing an RH’, the quali-
fications presented in Sections 3.1 through 3.3 should be reviewed.
The RFP should specifically state that proposals must include all inf or—
mation needed to verify the fact that both the firm and the individual
members of the project team meet these qualifications. Proposals which
do not contain this information should not be considered. The RFP should
also request a detailed work plan or conceptual approach and anticipated
project schedule and budget. Overhead rates, hourly wages and expected
profit should also be clearly identified. Proposals should then be
carefully evaluated to ensure that the following professional capabilities
can be provided for specific types of work.
3.1 Qualifications for Diagnostic Evaluations
Firms proposing to perform a diagnostic evaluation of a municipal
wastewater treatment plant should demonstrate the following qualifica-
tions:
1. The firm, or principals of the firm, should have
experience in treatment plant evaluation and trouble
shooting.
2. The firm should demonstrate that diagnostic evaluations
are an active part of the firm’s regular business and
not merely a stated capability which Is seldom used.
3— 1
-------
3. The firm should demonstrate a number of recent examples
of diagnostic evaluations conducted, and state the
improvements realized as a result of these evaluations.
These specific examples should serve as references.
4. At least one key individual named in the proposal should be
able to demonstrate experience in the design of was tewater
treatment facilities. Experience should include work on
more than one type of treatment plant and must include
experience on the type of process being evaluated.
5. Key individuals named in the proposal should be able to
demonstrate experience in operation or troubleshooting of
municipal treatment plants. Experience should include
work in more than one type of treatment plant.
6. Each key individual named in the proposal should have a
BS or higher degree in civil, sanitary, or chemical
engineering, or biological science, and/or hold the
highest level of operator certification in a state which
follows as closely as is practical the guidelines
established by the Associated Boards of Certification
(ABC). Information on these guidelines can be obtained
by contacting the ABC at the following address or telephone
number:
Address: ABC Administrative Office
P.O. Box 2266
Ames, Iowa 50010
Telephone: 515/232—3623
or state wastewater operator certification authority.
7. Each individual should delineate specific areas of expertise
and include references documenting cases where he or she has
been successful in diagnosing operational problems.
Additional qualifications which indicate capabilities beyond the
minimum requirements include the following:
— Advanced educational degrees
— Professional wastewater 0&M training and troubleshooting
affiliations
3—2
-------
— Professional Engineering Registrations
— Unique abilities of the firm, such as the acquisition and
use of computerized diagnostic operational modeling pro-
grams validated under field conditions
— Previous experience as superintendent of a major wastewater
treatment facility
— “Operator—of—the—Year” awards
3.2 Qualifications for Operational Assistance
The term “Operational Assistance” can be applied to either a tech-
nical assistance program, where a firm works with the staff of a plant
to solve operational problems or train plant personnel, or to contract
operations, where a firm assumes total responsibility for the management
of a plant. The necessary qualifications for firms and individuals pro-
posing either type of service are essentially the same, since the same
skills are required in either case. These qualifications include the
following:
1. The firm, or principals of the firm, should have
experience in actual wastevater treatment plant
operation.
2. The firm should demonstrate that either technical
assistance or contract operation, depending on the
type of service required, are an active part of the
firm’s general business activities and not merely
stated capabilities which are seldom used.
3. The firm should demonstrate it has operated at least
one wastewater treatment plant under contract continuously
for several years or provided technical assistance or
training programs in several treatment plants, depending
on the type of services required.
4. Key individuals named in the proposal should be able to
demonstrate experience in providing the type of operational
assistance desired. Experience should include work in more
3—3
-------
than one type of treatment plant and must include
experience in the type of process under consideration.
5. Each individual named in the proposal should have either
the highest grade of operator certification in a state
which follows the ABC guidelines as closely as is practical
or have a BS degree in civil, sanitary, or chemical engi-
neering, or biological science, and the highest level of
operator certification required at the treatment plant
under consideration.
6. Each individual named in the proposal should delineate
specific areas of expertise and include several references
documenting cases where he or she has been successful in
solving operational problems.
Additional qualifications which indicate capabilities beyond the
minimum requirements include the following:
— Advanced educational degrees
— Previous experience as superintendent of a major
treatment plant
— “Operator—of—the—Year” awards
3.3 Qualifications for Design Services
There are numerous firms currently involved in the design of
municipal wastewater treatment facilities. Many are large and known
nationally, while others are quite small and primarily serve local
communities. The capability of any firm, large or small, to provide
design services depends on both the qualifications of the firm as a whole
and on the qualifications of the individuals who will work on the design.
This point is often overlooked, especially when large consulting firms
are being considered.
3—4
-------
The following criteria should serve as a basis for evaluating the
qualifications of both firms and individuals:
1. The firm, or principals of the firm, should have
experience in civil or sanitary engineering design.
2. If the firm’s primary emphasis is in sanitary
engineering design, the firm should demonstrate
several recent examples of designs which have
been constructed and are now in successful operation.
3. Key individuals named in the proposal should be able
to demonstrate experience in the design of wastewater
treatment facilities. Experience should include work
on more than one type of treatment plant and must include
experience in the type of process under consideration.
4. If the firm’s primary emphasis has been in civil engineer-
ing, but includes little work in sanitary engineering,
(i.e., the firm cannot meet the qualifications described
in items 2 and 3 above) the proposal should include a sub-
contract to a well—qualified sanitary engineer to review
and approve all equipment selection and process and opera-
tional parameters, including significant changes made dur-
ing construction. The subcontractor should be capable of
demonstrating the qualifications indicated in items 1, 2
and 3 above.
5. Each key individual in the project team should have a ES
or higher degree in civil, sanitary or chemical engineering
and registration as a Professional Engineer or an Engineer—
in—Training in the state in which he or she resides would
be desirable.
3—5
-------
Additional qualifications which indicate capabilities beyond the
minimum requirements include the following:
— Advanced educational degrees
— Wastewater operators certification in conjunction
with registration as a Professional Engineer or
Engineer—in—Training
— Personal participation in a design project designated
“Project—of—the—year” by the WPCF, particularly as Project
Manager or Project Engineer.
3.4 Interviewing Firms
After proposals have been received and reviewed according to the
criteria in Section 3.1, 3.2 or 3.3, a list of the firms which appear
to be best qualified should be prepared. Those firms should then be
interviewed in person before a final decision is made. The firms to
be interviewed should agree to the following format:
1) All key individuals named in the proposal including
subcontractors should be present.
2) Each key individual should personally present a suary
of the work which he or she will perform.
3) The amount of time that each individual will devote to
the project should be clearly stated.
4) Individuals from the firm who will serve primarily
administrative roles, such as sales managers, principals—
in—charge, etc., should not be permitted to present any
information regarding the project other than to briefly
introduce the firm, introduce members of the project team
and state their role in the project. The technical pre-
sentation should be made entirely by the individuals who
will do the technical work.
3—6
-------
CHAPTER 4
CONTRACTS
The primary purpose of a contract is to ensure that the services
which a firm has offered in their written proposal are delivered for
the stated price. The contract itself should state the specific work
items to be performed, the time frame in which they are to be performed,
the compensation to be provided for successful completion of the pro-
ject and the liquidated damages to be imposed for unsuccessful completion
or unreasonable delay.
Unfortunately, it is often difficult or impossible to prepare a
contract which guarantees that the degree of excellence suggested in
most proposals and presentations is actually delivered. Usually the
best that can be done is to clearly state the minimum acceptable
standards. There are, however, several relatively straightforward
requirements which can be included In contracts that will help protect
the client’s interest. These include the following:
1) State clearly in the contract that only those key
individuals who are identified in the firm’s pro-
posal for specific tasks are permitted to charge
their time and expenses to the job. This require-
ment should not apply to clerical staff, draftsmen,
technicians or other support personnel. Any changes
in the project team, or any subcontract which was
not stated in a firm’s proposal, or any change in
subcontractors who were previously identified in a
firm’s proposal, must receive prior written approval
from the client. Violation of any of these provisions
should be grounds for termination.
4—1
-------
2) State clearly in the contract that the time commitments
stated in the proposal for each key individual in the
project team must be honored unless changes are approved
in writing by the client before the project is completed.
Violation of this provision should be grounds for termina-
tion.
3) The contract should guarantee the client the right to
inspect the firm’s accounting records including direct
and indirect costs which document charges to their job.
All time and expense charge records should include the
name of the individual making the charges.
4) It is incumbent upon the client to negotiate a fair
and reasonable profit. The basis for determining fair-
ness and reasonableness could include experience on
previous projects, contacts with other municipalities or
published professional guidelines covering the services
to be provided.
5) The contract should state the cost limit to be allowed
for technical review of the project if this type of
review is required by the firm’s corporate policy.
4—2
-------
CHAPTER 5
LOCAL VS NON LOCAL FIRMS
Prospective clients for wastewater treatment facilities services
who live in large metropolitan areas can usually choose from among
several firms with offices near the project site. This is particu-
larly true when design services are required. For more specialized work,
it may be advantageous to look beyond the immediate area to ensure that
the needed skills are provided.
In small communities, the situation is generally quite different.
The issue of hiring a firm for a wastewater project frequently
requires choosing between a local firm which may have very little
experience with wastewater, and a more specialized firm located quite
a distance away.
There are several issues to be considered in making such a choice.
Local consultants often work on very friendly, informal terms with the
community. It is also true that local firms can usually work at a lower
cost to the community than a larger, non local firm. Another considera-
tion is the desire of most communities, large and small, to keep avail-
able funds circulating within the community rather than ttlosefl them to
an outside firm.
Specialized or larger consulting firms, on the other hand, can
usually assemble a project team with more experience in a particular
type of job than can a smaller or non specialized consultant. This could
be advantageous in that the work product may prove far more satisfactory
and economical in the long run than that produced at a lover initial cost
by a less experienced firm.
5—1
-------
The specific advantages and disadvantages of each type of firm are
discussed below for each of the three types of services described in
Chapter 3. The reader should bear in mind that since specific projects
and firms are not being discussed, the recommendations that will be made
are general in nature. However, the main objective of these recommenda-
tions is to ensure that the required qualifications described in
Chapter 3 for each type of service are met, and to point out some of the
more common problems that can result if they are not.
5.1 Diagnostic Evaluations
If there is any question at all as to the specific reasons why a
treatment plant is not performing satisfactorily, the first step a
community should take is to seek out the best qualified individual or
firm it can find to conduct a diagnostic evaluation regardless of their
location. Complete evaluations can be conducted on nearly any type of
municipal treatment plant by qualified specialists for less than $10,000.
Many evaluations have been done on small (less than 10 mgd) relatively
simple plants for less than $5,000. Moreover, a properly conducted
evaluation can pay for itself many times over by reducing unnecessary
design and/or operating costs.
Since the cost of conducting a diagnostic evaluation is relatively
small compared to the cost of most major wastewater treatment projects,
the selection of the best firm should be based as far as is practical on
qualifications alone, with location being an extremely minor consideration.
The training and experience needed to perform a comprehensive diag-
nostic evaluation on a wastewater treatment facility are extensive and
very specialized. It is very unlikely that a local, relatively unspecial-
ized firm could provide individuals with this type of expertise without
subcontracting. Moreover, many large consulting firms have none or only
a few individuals who are qualified to do this type of work.
5—2
-------
5.2 Operations Assistance
Virtually all operations assistance programs involve day—to—day
activities at the treatment facility. For this reason, it may seem at
first glance that local firms are distinctly preferable to non—locals.
However, the objectives of the program being considered should be clearly
established before the consultant selection process is begun.
For example, if a particular plant staff is unable to maintain a
satisfactory level of operation due to inadequate training but are
capable and conscientious, the best course of action may be to retain an
operations specialist to conduct a detailed training program specific
to the needs of that particular plant. The individual or firm which
provides these services could also provide a series of regularly
scheduled follow—up visits to make sure that the objectives of the
training effort are fully achieved. This approach ultimately provides
the community with a staff made up entirely of local individuals who can
continue to do their jobs effectively without continued reliance on
outside professional assistance. In this case, it would clearly be in
the community’s best interest to retain the best qualified firm or
individual available to provide the needed services regardless of loca-
tion. The net cost of this type of program is often very low when
factors such as energy conservation, employee productivity and reduced
turnover are all considered.
If, on the other hand, the community’s objective is to transfer
complete responsibility for the operation, maintenance and management of
a treatment facility to a private entity, there are several factors which
may favor local firms. These include willingness of assigned staff to
remain at the jobsite, reduced relocation costs, and the potential
benefit to the community of having a permanently available staff of
experienced operators who are familiar with their particular treatment
plant. Obviously, the qualifications of each interested consulting firm
should be carefully evaluated and certain standards must always be met.
The prospective client must, however, keep both the short term and long
term needs of the community in mind.
5—3
-------
5.3 Design Services
Perhaps the greatest difference between the overall product of a
design effort provided by an unspecialized firm and a large or
specialized firm is not actually related to each firm’s ability to pro-
duce quality bid documents. More often, the difference results from the
experience that individuals in each firm have had with various designs
they have produced. A thorough understanding of treatment processes and
the advantages of various process equipment in a given application is
absolutely essential in producing a design that will allow a reasonably
skilled operating staff to achieve and maintain the required treatment
standards at the lowest possible cost and with the highest degree of
reliability. Communities should understand that wastewater treatment
process knowledge is in many ways separate from the civil, structural
and mechanical engineering knowledge needed for a design effort, and the
two do not necessarily have to be provided by the same firm.
Large or specialized consulting firms can usually provide a project
team which includes expertise in both areas, although all of the individ-
uals involved may not work in the same office. This is not necessarily
a disadvantage provided the contractual requirements described in
Chapter 4 are insisted upon and met.
As an alternative to retaining the services of a non—local office
of a large or specialized firm, communities should consider the
possibility of hiring a local firm which may have less experience in
wastewater treatment if a subcontract to a well—qualified sanitary
engineer or engineering firm is included to provide the needed process
knowledge. This approach can provide the same benefits as hiring a
large or specialized firm with the additional benefit of simplifying
follow—up work and resolving minor construction and start—up difficulties
quickly and at minimum cost.
Both of these alternatives should be explored before a final decision
is made. The overall cost of the two alternatives described above is
usually about the same for equally capable project teams. The specific
5—4
-------
needs of each project and the proven ability of each proposed project
team should be the main considerations in the final decision. The
issue of local vs non—local participation should only become a decision
factor when all other considerations are equal.
5—5
------- |