HomeMy WebLinkAbout19-146 Resolution No. 19-146
RESOLUTION
AUTHORIZING EXECUTION OF AN AGREEMENT WITH ENGINEERING
ENTERPRISES, INC. FOR PROFESSIONAL SERVICES IN CONNECTION WITH THE
WATER UTILITIES RISK AND RESILIENCE ASSESSMENT STUDY
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN, ILLINOIS,
that pursuant to Elgin Municipal Code Section 5.02.020B(9) the City Council hereby finds that
an exception to the requirements of the procurement ordinance is necessary and in the best
interest of the city; and
BE IT FURTHER RESOLVED BY THE CITY COUNCIL OF THE CITY OF ELGIN,
ILLINOIS, that Richard G. Kozal, City Manager, and Kimberly A. Dewis, City Clerk, be and are
hereby authorized and directed to execute an Agreement on behalf of the City of Elgin with
Engineering Enterprises, Inc., for professional services in connection with the water utilities risk
and resilience assessment study, a copy of which is attached hereto and made a part hereof by
reference.
s/ David J. Kaptain
David J. Kaptain, Mayor
Presented: October 23, 2019
Adopted: October 23, 2019
Omnibus Vote: Yeas: 9 Nays: 0
Attest:
s/Kimberly Dewis
Kimberly Dewis, City Clerk
9/20/2019
AGREEMENT
THIS AGREEMENT is made and entered into this 23 day of October , 2019 , by
and between the CITY OF ELGIN, an Illinois municipal corporation (hereinafter referred to as
"CITY")and ENGINEERING ENTERPRISES,INC.,an Illinois Corporation(hereinafter referred
to as"ENGINEER").
WHEREAS, Section 2013 of the AMERICAN WATER INFRASTRUCTURE ACT
(passed 10/23/2018 with final guidance documents provided on August 1,2019)requires the CITY
to certify the completion of a RISK AND RESILIENCE ASSESSMENT by March 31, 2020;and
WHEREAS, the CITY desires to engage the ENGINEER to furnish certain professional
services in connection with the RISK AND RESILIENCE ASSESSMENT(hereinafter referred to
as the PROJECT); and
WHEREAS, the ENGINEER represents that it is in compliance with Illinois Statutes
relating to professional registration of individuals and has the necessary expertise and experience
to furnish such services upon the terms and conditions set forth herein below.
NOW, THEREFORE, it is hereby agreed by and between the CITY and the ENGINEER
that the CITY does hereby retain the ENGINEER for and in consideration of the mutual promises
and covenants contained herein, the sufficiency of which is hereby acknowledged to act for and
represent it in the engineering matters involved in the PROJECT as described herein, subject to
the following terms and conditions and stipulations, to-wit:
1. SCOPE OF SERVICES
A. All work hereunder shall be performed under the direction of the Water Director of
the CITY, herein after referred to as the "DIRECTOR".
B. The intent of the PROJECT is to conduct a Risk and Resilience Assessment
according the guidelines provided in AWWA/ANSI J-100 Standard"Risk Analysis
and Management for Critical Asset Protection(RAMCAP®) Standard for Risk and
Resilience Management of Water and Wastewater Systems".
C. A detailed Scope of Services is attached hereto as Attachment A.
D. It is acknowledged that the Scope of Services in Attachment A does not include
completion of an Emergency Response Plan, which is also required under the
American Water Infrastructure Act not later than six (6) months after completion
of the Risk and Resilience Assessment. Should the CITY choose to engage the
ENGINEER for completing the Emergency Response Plan, an amendment to this
Agreement executed by the parties shall be required. Furthermore, it is anticipated
that the fees for completing the Emergency Response Plan would be approximately
$30,000.
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2. PROGRESS REPORTS
A. An outline project milestone schedule is provided hereinunder.
B. A detailed project schedule for the Project is included as Attachment B, attached
hereto. Progress will be recorded on the project schedule and submitted monthly
as a component of the Status Report described in C below.
C. The ENGINEER will submit to the DIRECTOR monthly a status report keyed to
the project schedule. A brief narrative will be provided identifying progress,
findings and outstanding issues.
3. WORK PRODUCTS
All work product prepared by the ENGINEER pursuant hereto including, but not limited
to, reports, plans, designs, calculations, work drawings, studies, photographs, models and
recommendations shall be the property of the CITY and shall be delivered to the CITY
upon request of the DIRECTOR; provided, however, that the ENGINEER may retain
copies of such work product for its records. ENGINEER'S execution of this Agreement
shall constitute ENGINEER'S conveyance and assignment of all right, title and interest,
including but not limited to any copyright interest, by the ENGINEER to the CITY of all
such work product prepared by the ENGINEER pursuant to this Agreement. The CITY
shall have the right either on its own or through such other engineers as determined by the
CITY to utilize and/or amend such work product. Any such amendment to such work
product shall be at the sole risk of the CITY. Such work product is not intended or
represented to be suitable for reuse by the CITY on any extension to the PROJECT or on
any other project, and such reuse shall be at the sole risk of the CITY without liability or
legal exposure to the ENGINEER.
4. PAYMENTS TO THE ENGINEER(Lump Sum Method)
A. The CITY shall reimburse the ENGINEER for the services under this Agreement a
lump sum of Forty-nine Thousand and Five Hundred Dollars($49,500), regardless
of actual Costs incurred by the ENGINEER unless substantial modifications to the
project are authorized in writing by the DIRECTOR, and approved pursuant to a
written amendment to this Agreement executed by both parties. Attachment C
provides a summary of the level of effort and associated cost for the scope of
services for the project.
B. The CITY shall make periodic payments to the ENGINEER based upon actual
progress within 30 days after receipt and approval of invoice. Said periodic
payments to the ENGINEER shall not exceed the amounts shown in the following
schedule, and full payments for each task shall not be made until the task is
completed and accepted by the DIRECTOR.
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C. All costs and expenses incurred by the ENGINEER in connection with the services
under this Agreement are included within the total lump sum amounts provided for
in Section 4A above.
Payment Schedule
ESTIMATED ESTIMATED VALUE
ESTIMATED
% OF WORK INVOICE
DATE COMPLETE COMPLETE VALUE
11/15/2019 16.67% $8,250 $8,250
12/15/2019 16.67% $8,250 $16,500
1/15/2020 16.67% $8,250 $24,750
2/15/2020 16.67% $8,250 $33,000
3/15/2020 16.67% $8,250 $41,250
4/15/2020 16.67% $8,250 $49,500
Total 100% $49,500
5. INVOICES
A. The ENGINEER shall submit invoices in a format approved by the CITY. Progress
reports(2C above) will be included with all payment requests.
B. The ENGINEER shall maintain records showing actual time devoted and cost
incurred. The ENGINEER shall permit the authorized representative of the CITY
to inspect and audit all data and records of the ENGINEER for work done under
this Agreement. The ENGINEER shall make these records available at reasonable
times during the Agreement period, and for a year after termination of this
Agreement.
6. TERMINATION OF AGREEMENT
Notwithstanding any other provision hereof, the CITY may terminate this Agreement at
any time upon fifteen (15) days prior written notice to the ENGINEER. In the event that
this Agreement is so terminated, the ENGINEER shall be paid for services actually
performed and reimbursable expenses actually incurred prior to termination, except that
reimbursement shall not exceed the task amounts set forth under Section 4 above.
7. TERM
This Agreement shall become effective as of the date the ENGINEER is given a notice to
proceed and, unless terminated for cause or pursuant to Section 6, shall be deemed
concluded on the date the CITY determines that all of the ENGINEER's work under this
Agreement is completed. A determination of completion shall not constitute a waiver of
any rights or claims which the CITY may have or thereafter acquire with respect to any
term or provision of the Agreement.
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8. NOTICE OF CLAIM
If the ENGINEER wishes to make a claim for additional compensation as a result of action
taken by the CITY, the ENGINEER shall give written notice of his claim within 15 days
after occurrence of such action. No claim for additional compensation shall be valid unless
so made. Any changes in the ENGINEER's fee shall be valid only to the extent that such
changes are included in writing signed by the CITY and the ENGINEER. Regardless of
the decision of the DIRECTOR relative to a claim submitted by the ENGINEER, all work
required under this Agreement as determined by the DIRECTOR shall proceed without
interruption.
9. BREACH OF CONTRACT
If either party violates or breaches any term of this Agreement, such violation or breach
shall be deemed to constitute a default, and the other party has the right to seek such
administrative, contractual or legal remedies as may be suitable to the violation or breach;
and, in addition,if either party, by reason of any default, fails within fifteen(15)days after
notice thereof by the other party to comply with the conditions of the Agreement,the other
party may terminate this Agreement. Notwithstanding the foregoing, or anything else to
the contrary in this Agreement, with the sole exception of an action to recover the monies
the CITY has agreed to pay to the ENGINEER pursuant to Paragraph 4 hereof, no action
shall be commenced by the ENGINEER against the CITY for monetary damages.
ENGINEER hereby further waives any and all claims or rights to interest on money
claimed to be due pursuant to this Agreement,and waives any and all such rights to interest
which it claims it may otherwise be entitled pursuant to law, including, but not limited to,
the Local Government Prompt Payment Act (50 ILCS 501/1, et seq.), as amended, or the
Illinois Interest Act(815 ILCS 205/1,et seq.),as amended. The parties hereto further agree
that any action by the ENGINEER arising out of this Agreement must be filed within one
year of the date the alleged cause of action arose or the same will be time-barred. The
provisions of this paragraph shall survive any expiration,completion and/or termination of
this Agreement.
10. INDEMNIFICATION
To the fullest extent permitted by law, ENGINEER agrees to and shall indemnify, defend
and hold harmless the CITY,its officers,employees,agents,boards and commissions from
and against any and all claims, suits,judgments, costs, attorneys fees, damages or other
relief,including but not limited to workers compensation claims,in any way resulting from
or arising out of negligent actions or omissions of the ENGINEER in connection herewith,
including negligence or omissions of employees or agents of the ENGINEER arising out
of the performance of this Agreement. In the event of any action against the CITY, its
officers, employees, agents, boards or commissions, covered by the foregoing duty to
indemnify,defend and hold harmless such action shall be defended by legal counsel of the
CITY's choosing. The provisions of this paragraph shall survive any expiration and/or
termination of this Agreement.
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11. NO PERSONAL LIABILITY
No official, director, officer, agent or employee of the CITY shall be charged personally
or held contractually liable under any term or provision of this Agreement or because of
their execution, approval or attempted execution of this Agreement.
12. INSURANCE
A. Comprehensive Liability. The ENGINEER shall provide, pay for and maintain
in effect, during the term of this Agreement, a policy of comprehensive general
liability insurance with limits of at least$1,000,000 aggregate for bodily injury and
$1,000,000 aggregate for property damage.
The ENGINEER shall deliver to the DIRECTOR a Certification of Insurance
naming the CITY as additional insured. The policy shall not be modified or
terminated without thirty (30) days prior written notice to the DIRECTOR.
The Certificate of Insurance which shall include Contractual obligation assumed by
the ENGINEER under Article 10 entitled "Indemnification" shall be provided.
This insurance shall apply as primary insurance with respect to any other insurance
or self-insurance programs afforded to the CITY. There shall be no endorsement
or modification of this insurance to make it excess over other available insurance,
alternatively, if the insurance states that it is excess or prorated, it shall be endorsed
to be primary with respect to the CITY.
B. Comprehensive Automobile Liability. Comprehensive Automobile Liability
Insurance covering all owned, non-owned and hired motor vehicles with limits of
not less than$500,000 per occurrence for damage to property.
C. Combined Single Limit Policy. The requirements for insurance coverage for the
general liability and auto exposures may be met with a combined single limit of
$1,000,000 per occurrence subject to a$1,000,000 aggregate.
D. Professional Liability. The ENGINEER shall carry Engineers Professional
Liability Insurance Covering claims resulting from error, omissions or negligent
acts with a combined single limit of not less than $1,000,000 per occurrence. A
Certificate of Insurance shall be submitted to the DIRECTOR as evidence of
insurance protection. The policy shall not be modified or terminated without thirty
(30)days prior written notice to the DIRECTOR.
13. CONSTRUCTION MEANS, METHODS, TECHNIQUES, SEQUENCES
PROCEDURES AND SAFETY
The ENGINEER shall not have control over or charge of and shall not be responsible for
construction means, methods, techniques, sequences or procedures, or for safety
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precautions and programs in connection with the construction, unless specifically
identified in the Scope of Services.
14. NONDISCRIMINATION
In all hiring or employment made possible or resulting from this Agreement,there shall be
no discrimination against any employee or applicant for employment because of sex, age,
race, color, creed, national origin, marital status, of the presence of any sensory, mental or
physical handicap, unless based upon a bona fide occupational qualification, and this
requirement shall apply to, but not be limited to, the following: employment advertising,
layoff or termination, rates of pay or other forms of compensation and selection for
training, including apprenticeship.
No person shall be denied or subjected to discrimination in receipt of the benefit of any
services or activities made possible by or resulting from this Agreement on the grounds of
sex,race,color,creed,national origin,age except minimum age and retirement provisions,
marital status or the presence of any sensory, mental or physical handicap. Any violation
of this provision shall be considered a violation of a material provision of this Agreement
and shall be grounds for cancellation,termination or suspension, in whole or in part,of the
Agreement by the CITY.
15. ASSIGNMENT AND SUCCESSORS
This Agreement and each and every portion thereof shall be binding upon the successors
and the assigns of the parties hereto; provided, however,that no assignment shall be made
without the prior written consent of the CITY.
16. DELEGATIONS AND SUBCONTRACTORS
Any assignment, delegation or subcontracting shall be subject to all the terms, conditions
and other provisions of this Agreement and the ENGINEER shall remain liable to the CITY
with respect to each and every item,condition and other provision hereof to the same extent
that the ENGINEER would have been obligated if it had done the work itself and no
assignment, delegation or subcontract had been made. Any proposed subcontractor shall
require the CITY's advanced written approval.
17. NO CO-PARTNERSHIP OR AGENCY
This Agreement shall not be construed so as to create a partnership, joint venture,
employment or other agency relationship between the parties hereto.
18. SEVERABILITY
The parties intend and agreed that,if any paragraph, sub-paragraph,phrase, clause or other
provision of this Agreement, or any portion thereof, shall be held to be void or otherwise
unenforceable, all other portions of this Agreement shall remain in full force and effect.
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19. HEADINGS
The headings of the several paragraphs of this Agreement are inserted only as a matter of
convenience and for reference and in no way are they intended to define, limit or describe
the scope of intent of any provision of this Agreement,nor shall they be construed to affect
in any manner the terms and provisions hereof or the interpretation or construction thereof.
20. MODIFICATION OR AMENDMENT
This Agreement and its attachments constitutes the entire Agreement of the parties on the
subject matter hereof and may not be changed,modified,discharged or extended except by
written amendment duly executed by the parties. Each party agrees that no representations
or warranties shall be binding upon the other party unless expressed in writing herein or in
a duly executed amendment hereof, or change order as herein provided.
21. APPLICABLE LAW
This Agreement shall be deemed to have been made in, and shall be construed in
accordance with the laws of the State of Illinois. Venue for the resolution of any disputes
or the enforcement of any rights pursuant to this Agreement shall be in the Circuit Court
of Kane County, Illinois.
22. NEWS RELEASES
The ENGINEER may not issue any news releases without prior approval from the
DIRECTOR, nor will the ENGINEER make public proposals developed under this
Agreement without prior written approval from the DIRECTOR prior to said
documentation becoming matters of public record.
23. COOPERATION WITH OTHER CONSULTANTS
The ENGINEER shall cooperate with any other consultants in the CITY's employ or any
work associated with the PROJECT.
24. INTERFERENCE WITH PUBLIC CONTRACTING
The ENGINEER certifies hereby that it is not barred from bidding on this contract as a
result of a violation of 720 ILCS 5/33E et seq. or any similar state or federal statute
regarding bid rigging.
25. SEXUAL HARASSMENT
As a condition of this contract, the ENGINEER shall have written sexual harassment
policies that include, at a minimum,the following information:
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A. the illegality of sexual harassment;
B. the definition of sexual harassment under state law;
C. a description of sexual harassment, utilizing examples;
D. the vendor's internal complaint process including penalties;
E. the legal recourse, investigative and complaint process available through the
Illinois Department of Human Rights,and the Illinois Human Rights Commission;
F. directions on how to contact the department and commission;
G. protection against retaliation as provided by Section 6-101 of the Human Rights
Act.
A copy of the policies shall be provided by ENGINEER to the Department of Human
Rights upon request 775 ILCS 5/2-105.
26. SUBSTANCE ABUSE PROGRAM.
As a condition of this agreement, ENGINEER shall have in place a written substance abuse
prevention program which meets or exceeds the program requirements in the Substance
Abuse Prevention Public Works Project Act at 820 ILCS 265/1 et seq. A copy of such
policy shall be provided to the City's Assistant City Manager prior to the entry into and
execution of this agreement.
27. WRITTEN COMMUNICATIONS
All recommendations and other communications by the ENGINEER to the DIRECTOR
and to other participants which may affect cost or time of completion, shall be made or
confirmed in writing. The DIRECTOR may also require other recommendations and
communications by the ENGINEER be made or confirmed in writing.
28. NOTICES
All notices, reports and documents required under this Agreement shall be in writing and
shall be mailed by First Class Mail, postage prepaid, addressed as follows:
A. As to CITY:
Eric Weiss
Water Director
City of Elgin
150 Dexter Court
Elgin, Illinois 60120-5555
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B. As to ENGINEER:
Jeffrey W. Freeman, P.E., CFM, LEED AP
Vice President
Engineering Enterprises, Inc.
52 Wheeler Road
Sugar Grove, Illinois 60554
29. COMPLIANCE WITH LAWS
Notwithstanding any other provision of this Agreement it is expressly agreed and
understood that in connection with the performance of this Agreement that the ENGINEER
shall comply with all applicable Federal, State, City and other requirements of law,
including, but not limited to, any applicable requirements regarding prevailing wages,
minimum wage, workplace safety and legal status of employees. Without limiting the
foregoing, ENGINEER hereby certifies, represents and warrants to the CITY that all
ENGINEER'S employees and/or agents who will be providing products and/or services
with respect to this Agreement shall be legal residents of the United States. ENGINEER
shall also at its expense secure all permits and licenses, pay all charges and fees and give
all notices necessary and incident to the due and lawful prosecution of the work,and/or the
products and/or services to be provided for in this Agreement. The CITY shall have the
right to audit any records in the possession or control of the ENGINEER to determine
ENGINEER'S compliance with the provisions of this section. In the event the CITY
proceeds with such an audit the ENGINEER shall make available to the CITY the
ENGINEER'S relevant records at no cost to the CITY. ENGINEER shall pay any and all
costs associated with any such audit.
IN WITNESS WHEREOF, the parties hereto have entered into and executed this Agreement
effective as of the date and year first written above.
FOR THE CITY: FOR THE ENGINEER:
By / By: 4:166w
City Manager Name rint: Jeffrey W. Freeman. P.E., CFM, LEED
AP
Title: Vice President
(44e-ey bele
A e
City Clerk
F:\Legal Dept\Agreement\ENGINEERING AGREEMENT-FORM-01-23-12.docx
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ATTACHMENT A
SCOPE OF SERVICES
RISK AND RESILIENCE ASSESSMENT
City of Elgin. IL
BACKGROUND
The American Water Infrastructure Act (Public Law Number 115-270, passed 10/23/2018)
requires all Community Water Supplies serving populations greater than 3,300 to conduct an
assessment of the risks to, and resilience of, its water system. The Risk and Resilience
Assessment (RRA) must include an assessment of:
• the risk to the system from malevolent acts and natural hazards;
• the resilience of the pipes and constructed conveyances, physical barriers, source water,
water collection and intake, pretreatment, treatment, storage and distribution facilities,
electronic, computer, or other automated systems (including the security of such
systems) which are utilized by the system;
• the monitoring practices of the system;
• the financial infrastructure of the system;
• the use, storage, or handling of various chemicals by the system; and
• the operation and maintenance of the system.
Final US EPA Guidance Documents for the RRA were available on August 1, 2019. Based on
the population served of approximately 112,000, the City of Elgin Water Utility (EWU) must
submit to the US EPA Administrator a certification that the system has conducted a compliant
RRA prior to March 31, 2020.
In addition, EWU must prepare or revise, where necessary, an ERP that incorporates findings of
the RRA. EWU must certify to the US EPA Administrator, not later than 6 months after
completion of the RRA, that they have completed such a plan.
Engineering Enterprises Inc. (EEI) will assist EWU in meeting the regulatory requirements of the
American Water Infrastructure Act by conducting the following Scope of Services. The Scope of
Services only covers the RRA, it does not include the ERP. Should EWU choose to the engage
EEI for completing the ERP, an amendment to this contract may be executed. EEI expects the
fees for the ERP to be approximately $30,000.
TASK A: PROJECT ADMINISTRATION AND FACILITATION
Task A-1: Project Administration
Project administration includes, but is not limited to. organizing project records, tracking and
reviewing project progress, and ensuring the project team is meeting overall and specific project
goals and objectives.
ENGINEERING ENTERPRISES,INC.
CONSULTING ENGINEERS
Exhibit A— Scope of Services
Page 2 of 7
Task A-2: Stakeholder Assistance
Stakeholder Involvement is important to the development of the RRA. It promotes consensus on
risk management priorities among stakeholders and encourages them to take ownership of the
decisions made during the process. It is also required to fulfill the regulatory requirements of the
program.
EEI will assist EWU in designating internal and external stakeholders that will participate in the
development of the RRA. We anticipate the following stakeholder groupings:
• Program Champion — One (1) Water Utility employee responsible for overall project
coordination.
• Steering Committee — Four (4) to six (6) Water Utility employees (including the Program
Champion) who will review technical information and participate in key decisions
regarding the Utility's priorities and preferences throughout the project.
• Stakeholder Group — Six (6) to ten (10) representatives from other organizations inside
and outside the City who will participate in one (1) or two (2) Workshops and provide
input based on the perspective of the organization they represent.
EEI will provide EWU with a description of the roles and responsibilities of the stakeholders.
draft invitations to prospective stakeholders, preliminary meeting schedules and topics, and
recommendations for those agencies to include.
EEI will lead up to six (6) workshops during the development of the RRA. It is anticipated that
four (4) workshops will be conducted with primarily EWU staff and two (2) workshops will
include the larger Stakeholder Group. If all six workshops are not performed, the Director will
have the option of substituting other work tasks for those workshops.
For each workshop, EEI will provide EWU with relevant information to be distributed participants
prior to the workshop. During the workshops. EEI will present general background and technical
information concerning the topics to be presented and discussed. The purpose of the
Stakeholder Group Workshops is to receive comments and suggestions from participants based
on their perspectives. EWU will be afforded the opportunity to make presentations during the
Stakeholder Group Workshops, as desired.
Task A-3: Steering Committee Work Session Assistance and Progress Meetings
EEI will lead up to six Steering Committee Work Sessions during the development of the RRA
EEI will provide the Steering Committee with relevant background information prior to each
meeting. The meetings will be an opportunity for EWU to provide input on their priorities and
preferences regarding key decisions during the development of the RRA.
TASK B — RISK AND RESILIENCE PLAN
Task B-1: Asset Characterization
An Asset Characterization will be completed in accordance with the AWWA/ANSI J-100 Risk
Analysis and Management for Critical Asset Protection (RAMCAP) Standard. The purpose of
Asset Characterization is to determine the water assets that, if compromised, could impair
EWU's ability to complete its mission.
ENGINEERING ENTERPRISES,INC.
CONSULTING ENGINEERS
Exhibit A — Scope of Services
Page 3 of 7
For Task B-1, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
a) Identify critical functions of EWU and associated assets to determine which assets are
critical to the Utility's mission.
b) Develop a list of potentially critical assets.
c) Identify the critical internal and external infrastructures that support the potentially critical
assets.
d) Identify and document existing protective countermeasures and mitigation
measures/features associated with the potentially critical assets.
e) Estimate the worst reasonable consequences resulting from the destruction or loss of
each potentially critical asset, without regard to the threat.
f) Prioritize the potentially critical assets using the estimated consequences.
g) Identify critical assets by screening the prioritized list using criteria relevant to the
decisions to be made.
Task B-2: Threat Characterization
A Threat Characterization will be completed in accordance with the AWWA/ANSI J-100 Risk
Analysis and Management for Critical Asset Protection (RAMCAP) Standard. The threats to be
considered will include man-made hazards or accidents, natural hazards, and dependency
hazards (interruptions of supply chains or proximity to dangerous sites). The specific threats in
each category will include the Reference Threats defined by the RAMCAP methodology (see
table on next page). Other threats may be added at the utility's discretion.
RAMCAP Reference Threats
Hazard Type Hazard Description
Natural N(H)Hurricanes N(E)Earthquakes N(T)Tornadoes N(F)Floods
N(W)Wildfire N(I)Ice storms
Dependency& DIU)Loss of Utilities 0151 Loss of Suppliers DIE)Loss of DICILoss of Customers
Proximity Employees
DIT)Loss of Transportation DIP)Proximity to other targets
Product C(C)Chemical C(R)Radionuclide C(B)Biotoxin C(P)Pathogen
Contamination C(W)Weaponization of water disposal system
Sabotage 5(PI)Physical— SIPU)Physical— SICI)Cyber—Insider SICUI Cyber—Outsider
Insider Outsider
Theft or Diversion T(PI)Physical—Insider TIPU)Physical— T(CI)Cyber—Insider T(CU)Cyber—Outsider
Outsider
Attack:Marine (M1)Small Boat (M2)Fast Boat (M3)Barge (M4)Ocean Ship
Attack:Aircraft (Al)Helicopter (A2)Small Plane (A3)Medium. (A4)Long-Flight Jet
Regional Jet
Attack:Automotive (V1)Car (V2)Van (V3)Midsize Truck (V4)Large Truck
118 Wheeler
Attack: Assault Team (AT1) 1 Assailant IAT2)2-4 Assailants (AT3)5-8 Assailants (AT4)9-16 Assailants
ENGINEERING ENTERPRISES, INC.
CONSULTING ENGINEERS
Exhibit A— Scope of Services
Page 4 of 7
For Task B-2, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
Task B-3: Consequence Analysis
This task identifies the worst reasonable consequences that can be caused by the specific
threat-asset pairs identified in Task 2-B. The consequence analysis will consider:
• Number of fatalities • Number of serious injuries,
• Financial loss to the owners of the facility • Economic losses to the community
The consequence analysis may be based upon reasonable estimates. Consequences relate to
degradation in public confidence. environmental quality, the ability of civilian or military agencies
to function, etc. using a qualitative, descriptive analyses.
For Task B-3, EEI will review relevant information from EWU and other sources. facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
a) Apply worst-reasonable-case assumptions for each threat critical threat-asset pair and
document the assumptions for each case.
b) Estimate the consequences in terms of loss of life and serious injury, financial losses to
the Water Utility, duration and severity of service denial for the affected customers, and
economic losses to society and the public.
c) Evaluate additional consequences if desired.
d) Document the specific assumptions and procedures used for performing this
consequence analysis, the worst-reasonable-case assumptions, and the results of the
consequence analysis.
e) Record the consequence values for use in determining Risk and Resilience values (Task
B-6).
Task B-4: Vulnerability Analysis
This task analyzes the ability of each critical asset and its protective systems to withstand each
specified threat. Vulnerability analysis for malevolent events estimates the likelihood that an
adversary will be successful in executing a specific attack mode on an asset, given that the
attack occurs. For natural hazards, dependency hazards, and proximity hazards, the
vulnerability is the likelihood that, given the hazard occurs, the estimated consequences will
ensue.
For Task B-4, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
a) Review pertinent details of the facility construction, systems, and layout. Evaluate
existing countermeasures, mitigation measures, and other impediments to threats, such
as topographic, design. and equipment features that provide deterrence, detection
systems, and delay features, and local and supporting response measures. Evaluate
ENGINEERING ENTERPRISES,INC.
CONSULTING ENGINEERS
Exhibit A – Scope of Services
Page 5 of 7
information on interdependencies. personnel interactions, and process flows within the
facility and identify vulnerabilities or weaknesses in the protection system.
b) Analyze the vulnerability of each critical asset or system to estimate the likelihood that,
given the occurrence of a threat, the consequences estimated will result.
c) Document the method used for performing the vulnerability analysis, the worst-
reasonable-case assumptions, and the results of the vulnerability analysis.
d) Record the vulnerability estimates as point estimates. The likelihood of attack success
will be expressed as a fraction representing the number of successes among attempts.
Task B-5: Threat Analysis
This task estimates the likelihood of malevolent event, dependency/proximity hazard, or natural
hazard. There are three methods allowed by the J-100 RAMCAP process. EEI will use the most
appropriate method given the specific threat being analyzed.
For Task B-5, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
a) Malevolent Threats. Estimate the likelihood of a malevolent event is based on the
adversary's objectives and capabilities and the attractiveness of the region, facility, and
threat–asset pair relative to alternative targets. Any among the following three
approaches to estimating malevolent threat likelihood may be used:
i. Proxy Measure—Proxy measures may be based on attractiveness of utility, size
of metropolitan area, amount of governmental facilities in the area, or other
attributes and be provided by industry or other organizations to provide a
common basis for evaluation of risk from malevolent threats.
ii. Best Estimate—With this method, likelihood is determined based on informed
experience of the organization, input from federal, state, and local law
enforcement, and others. The likelihood will be either an ordinal measure, e.g..
low, medium, high, very high, or can be a probability with a value between 0.0
and 1.0.
iii. Conditional Assignment—With this method, the likelihood of the threat is
considered to be a probability of 1.0. This is a useful approach for examining the
worst-case potential for a variety of malevolent threats.
b) Natural Hazards. Estimate the probability of natural hazards by drawing on the historical
record for the specific location of the asset. The frequencies for various levels of severity
of natural hazards will be estimated using published records for earthquakes, tornadoes,
and floods.
c) Dependency and Proximity Hazards. Estimate the likelihood of dependency hazards
based on local historical records for the frequency. severity, and duration of service
denials.
ENGINEERING ENTERPRISES, INC.
CONSULTING ENGINEERS
Exhibit A — Scope of Services
Page 6 of 7
d) Record Estimates. Record the method used for making the estimates and the estimates
themselves, as either single-valued point estimates or ranges.
Task 8-6: Risk and Resilience Analysis
This task step combines the results from Tasks B-1 through B-5 into estimates of EWU's risk
and resilience.
For Task B-6, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
a) Calculate risk for each threat—asset pair as the product of the results from Consequence
Analysis, Vulnerability Analysis. and Threat Analysis, using the following equation:
• Risk = Consequences x Vulnerability x Threat Likelihood = C x V x T
• Where:Consequences are as estimated in Task B-3, Vulnerability is as
estimated in Task B-4, and Threat likelihood is as estimated in Task B-5.
b) Calculate the current level of resilience.
i. The asset resilience metric is service denial due to a threat—asset pair, weighted
by vulnerability and threat likelihood.
• Asset Resilience Metric = Duration x Severity x Vulnerability x Threat
Likelihood
• Where:Duration = the time period of service denial, in days
• Severity = the amount of daily service denied, in gallons per day
• Vulnerability and Threat Likelihood are as defined above.
ii. The economic resilience metric is lost revenue to the utility owner due to the
threat—asset pair. Lost revenue is asset resilience times the unit price of the
service, where price is the pre-disruption price.
iii. The community economic resilience metric is the lost economic activity to the
community served by the utility. For the community, the metric is the same as the
economic loss to the community, estimated in Task B-3.
c) Record the risk and resilience estimates for each threat—asset pair for use in Task 7.
Task 8-7 - Risk and Resilience Management
Risk and resilience management is the deliberate process of deciding whether actions are
needed to enhance security or resilience or both. It includes deciding on and implementing one
or a portfolio of options to achieve an acceptable level of risk and resilience at an acceptable
cost to the utility and the community.
For Task B-7, EEI will review relevant information from EWU and other sources, facilitate
discussions, provide engineering support, and document decisions by the Steering Committee
as necessary to complete the following tasks:
ENGINEERING ENTERPRISES, INC.
CONSULTING ENGINEERS
Exhibit A– Scope of Services
Page 7 of 7
a) Decide what risk and resilience levels are acceptable by examining the estimated results
of the first six steps for each threat–asset pair. For those that are acceptable, document
the decision. For those that are not acceptable. proceed to the next steps.
b) Define countermeasure and mitigation/resilience options for those threat–asset pairs that
are not acceptable.
c) Estimate investment and operating costs of each option, being sure to include regular
maintenance and periodic overhaul if expected. Adjust future costs to present value.
d) Assess the options by analyzing the facility or asset under the assumption that the
option has been implemented—revisiting all affected Tasks B-3 through B-6 to re-
estimate the risk and resilience levels and calculating the estimated benefits of the
option (the difference between the risk and resilience levels without the option and those
with the option in place).
e) Identify the options that have benefits that apply to multiple threat– asset pairs.
f) Calculate the net benefits and benefit–cost ratio (and/or other criteria that are relevant in
the utility's resource decision-making) to estimate the total value and risk-reduction
efficiency of each option.
g) Review the options considering all the dimensions—fatalities, serious injuries, financial
losses to the owner, economic losses to the community, and qualitative factors—and
allocate resources to the selected options. Determine the resources—financial, human,
and other—needed to operate the selected options.
Task B-8 - Risk and Resilience Assessment Documentation
For Task B-8, EEI will document the procedures, findings, and results of the RRA process. The
document will contain a description the results of Tasks B-1 through B-7, Stakeholder Workshop
meeting attendees and minutes, a plan for implementing agreed upon operational and capital
plans for decreasing risk and improving resilience.
Additional Services
The above scope summarizes the work items that will be completed for this contract. Additional
work items, including additional meetings beyond the meetings defined in the above scope, shall
be considered outside the scope of the agreement and will be billed in accordance with EEI's
current Standard Schedule of Charges. No such additional services shall be performed unless
authorized pursuant to a written amendment to this Agreement entered into and executed by the
parties.
ENGINEERING ENTERPRISES, INC.
CONSULTING ENGINEERS
Engineering Enterprises,Inc.
Attachment B:
SCHEDULE
RISK AND RESILIENCE ASSESSMENT
CITY OF ELGIN IL
WORK Year: 2019 2020
ITEM Month: OCT NOV DEC JAN FEB MAR
NO. WORK ITEM Work Week Starting: Q N N o 7. coN N °' co N 2 O N N " oO N N °' D N 2
TASK A: PROJECT ADMINISTRATION AND FACILITATION
A-1 Project Administration
A-2 Stakeholder Assistance& Workshops (6 Workshops)
A-3 Steering Committee Work Session Assist. & Progress Mtgs. (6 Mtgs.)
TASK B: RISK AND RESILIENCE PLAN
B-1 Asset Characterization (Tasks a-g)
B-2 Threat Characterization (Tasks a-f)
B-3 Consequence Analysis Tasks (a-e)
B-4 Vulnerability Analysis (Tasks a-d)
B-5 Threat Analysis (Tasks a-d)
B-6 Risk and Resilience Analysis (Tasks a-c)
B-7 Risk and Resilience Management (Tasks a-g)
B-8 Risk and Resilience Assessment Documentation
Legend
Project Administration Work Item(s)
Stakeholder Workshops
Risk and Resilience Assessment
11411 Engineering Enterprises,Inc. ENTEREDDATE
9/20/2019 BY: TGH
Attachment C:
ESTIMATE OF LEVEL OF EFFORT AND ASSOCIATED COST FOR PROFESSIONAL ENGINEERING SERVICES
RISK AND RESILIENCE ASSESSMENT
CITY OF ELGIN, IL
ENTITY: EEI WORK
PRINCIPLE SENIOR ITEM COST
WORK PROJECT ROLE: IN PROJECT PROJECT HOUR PER
ITEM CHARGE MANAGER ENGINEER TECHNICIAN ADMIN. SUMM. ITEM
NO. WORK ITEM HOURLY RATE: $203 $197 $141 $106 $70
TASK A: PROJECT ADMINISTRATION AND FACILITATION
A-1 Project Administration 2 6 8 $1,588
A-2 Stakeholder Assistance&Workshops(6 Workshops) 30 30 3 1 64 $10,528
A-3 Steering Committee Assist.&Progress Mtgs. (6 Mtqs.) 2 30 30 3 1 66 $10,934
Project Administration and Facilitation Subtotal:I 4 66 60 6 2 138_ $23,050
TASK Bt RISK AND RESILIENCE PLAN
B-1 Asset Characterization(Tasks a-g) 1 4 8 4 17 $2,543
B-2 Threat Characterization(Tasks a-f) 1 4 8 13 $2.119
B-3 Consequence Analysis Tasks(a-e) 4 8 12 $1.916
B-4 Vulnerability Analysis(Tasks a-d) 2 4 6 $958
B-5 Threat Analysis(Tasks a-d) 2 4 6 $958
B-6 Risk and Resilience Analysis(Tasks a-c) 2 4 6 $958
B-7 Risk and Resilience Management(Tasks a-g) 1 12 16 29 $4.823
B-8 Risk and Resilience Assessment Documentation 2 8 12 4 4 30 $4,378
Risk and Resilience Plan Subtotal:I 5 38 64 8 4 119 $18,653
PROJECT TOTAL:1 9 104 124 14 6 2571 $41,7031
Notes: DIRECT EXPENSES LABOR EXPENSES
Subcontract with KaleTech L.L.C.for$7,500 Mileage= $0 Engineering Expenses= $39.799
Printing= $250 Drafting Expenses= $1,484
Subcontact with Kale Tech LLC= 7,500 Administrative Expenses= $426
DIRECT EXPENSES= $7,750 TOTAL LABOR EXPENSES= $41,703
"G\Public\Elgin\2019\EG1903 Risk&Resiliency Assessment\PSA\EG1903 Attachment C-Fee Schedule xlsx" TOTAL CONTRACT COSTS= I $49,453