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INDOT
Quality Based Selection
Consultant Contract Process
QBS Regulations &
Policies
Title 40 USC, Chapter 10,
Subchapter VI
00/b>Brooks
Act00/b>
Title 49 USC, Subtitle A,
Part 18, Subpart C, Section 18.36 00
00niform Administration Requirements for Grants and Cooperative Agreements
to State and Local Governments00nbsp; 00/b>Common
Rule00/b>
Title 23, Chapter 1, Subchapter
1, Section 112 00/b>Letting of Contracts00/b>
23 CFR Part 172 0000/b>Administration
of Engineering and Design Related Services Contracts00/b>
(Revised 06/12/02)
FHWA Revised Guidance, Issued
on 10/23/02.
QBS 00
Applicability
Applies to Design Work that
is Federally funded or State/Local funded as Match for Federal funds
as follows:
Program Management
Construction Management
Feasibility Studies
Preliminary Engineering
Design
Engineering
Surveying
Mapping
Architectural Related Services
QBS 00
Required Outcomes
Ensure that the highest qualified
consultant is obtained through a Qualifications Based Selection process
Ensure that the prescribed
work is properly accomplished in a timely manner, and at a fair and
reasonable cost
QBS 00
INDOT Responsibilities
INDOT must develop Written
Procedures that will be reviewed and approved by FHWA
INDOT shall ENSURE
that sub-recipients comply with ALL Federal Requirements
SAFETEA-LU Section 1904
makes INDOT responsible for Ensuring that:
LPA00
have adequate Project Delivery Systems for projects
LPA00
have sufficient Accounting Controls to properly manage Federal Funds
INDOT may require LPA00 to follow the approved INDOT procedures
or allow LPA00 to develop written procedures, however, INDOT must
review and approve LPA procedures, monitor and ensure compliance, including
rescinding funds if necessary
QBS 00
Required Elements
Written Procedures must Include:
How the project Scope of
Work is developed
How the Evaluation Factors
are developed
How costs for services are
estimated
Ensure that a public advertisement
occurs that ensures that In-State and Out-of-State consultants are given
fair opportunity to compete
Ensure that proposals are
evaluated and Ranked in order of priority (1,2,3)
QBS 00
Required Elements
Ensure that an audit from
another Cognizant Agency is accepted (Federal or State Agency), or one
is conducted
Ensure that negotiations
commence with the highest qualified firm in an attempt to reach an agreed
upon fair and reasonable price
Ensure that if the Agency
is unable to reach agreement, negotiations with #1 firm will be terminated
and negotiations will commence with the #2 firms, etc.
QBS 00
Required Elements
Ensure that the consultant00 work is monitored and evaluated when the
work is completed
Ensure that the Disadvantaged
Business Enterprise (DBE) program provisions are applied
Ensure that preferences are
not included, such as:
In-State preferences (Buy-Indiana)
Locality preferences
Indiana M/WBE Programs
Ensure that costs are not
allowed as a criterion during the evaluation phase of the selection
process
INDOT Vision 00nbsp;
Principles to Follow
FHWA requirements must
be satisfied
Follow best practices
Maximize use of Federal
Funds for INDOT and LPA00
Empower professionals
at ownership / initiator levels to make decisions
Ensure performance through
accountability standards
Methodology Followed
Identified customers
Identified state and federal
statutory requirements 00
Brooks Act QBS
Interviewed INDOT professionals
from all technical areas and offices
Reviewed AASHTO guidance
and procedures of other DOT00
Interviewed consultant
representatives
Interviewed owners
Prequalification
Legal & financial
prequalification required for all consultants and subconsultants
Technical prequalification
required for defined work categories 00
approximately 40.
Prequalification
Legal & Financial Requirements
Registered with Indiana
Secretary of State
In good standing with
Dept of Revenue & Dept. of Workforce Development
Professional liability
insurance
Prequalification
Legal & Financial Requirements
Acceptable / auditable
accounting system
Overhead rate package
Cognizant agency
approved; or
FAR Compliant and CPA
Certified; or
Services less than
$250,000/year00
self-certified accounting
package
Not required for Unit
price only contracting
Prequalification
Technical Requirements
For pre-defined categories,
such as:
Complex or non-complex
roadway design
Level 1 or Level 2
bridge design
Environmental document
preparation
Not required for less-used
services
Will be specified on
case by case basis in advertisements
Advertisement
RFP00
scheduled in advance, 3 to 6 per year
Owner offices identify
projects and services to be advertised and provide the following information
to the contracts office:
Approved determination
of need
Documentation of project
programming
Documentation of funding
availability
Project / services
scope document
Advertisement (cont.)
Advertisements will list
category prequalifications and any additional special qualifications
required
Advertisements to identify
DBE or MBE/WBE goals
Currently three-week advertisement
period, in the future two-week advertisement period with advance notice
Proposals / Statements
of Interest
Statements of interest
and proposals submitted electronically
Proposals for programmatic
/ non-complex projects to include:
Project Approach
Key staff list
Any requested special
qualification information
Selection Scoring
Three to five person scoring
team from initiating office independently scores all proposals
Using selection evaluation
form
Each score sheet is
certified with signature
Selection Scoring (cont.)
The initiating office
forwards all evaluation forms to the central office contracts administrator
within 21 days
Including signed spreadsheet
tabulation of scores by evaluators
In order, highest to
lowest score
Selection Recommendation
Analysis
Central office Consultant
Services Section initiates reviews of the high ranking firms to:
Verify no more than
20% of INDOT00 annual
program area budgets for consulting to a firm
Verify annual services
no more than 200% of consultant00
previous year00 total wages & Salaries
$150,000 minimum
limit
Coordinate with Economic
Oportunity Division to verify compliance with DBE or MBE/WBE goals
or good faith efforts for meeting goals
The Consultant Services
Section prepares documentation of the above for the Central Office review
Committee
Selection Recommendation
Review
INDOT00
Central Office Review Committee made up of:
Contract Administration
Director
Production Management
Director
Economic Opportunity
Director
Planning Director
Selection Recommendation
Review (cont.)
INDOT00
Central Office Review Committee reviews the scoring information provided
for each item to:
Verify scoring procedure
compliance
Review results of DBE
or MBE/WBE compliance checks
Review results of
capacity computations
Firms not meeting set
criteria are eliminated from consideration
Selection Recommendation
Approval
Central Office Review
Committee approves the remaining highest ranked firm for each contract
along with 2 alternates for each item
Approval is indicated
on the scoring tabulation forms submitted by the initiating offices
by signature of each person on the review committee
Selection Recommendation
Approval (cont.)
Results of the review
committee actions are tabulated and certified as accurate by the Contracts
Manager
Selection recommendations
are approved by the Commissioner by signature to the same tabulation
and Posted to the Consultant Services RFP Website
Letters of Interest, scoring
documentation, and committee and commissioner actions for all submittals
to be published on the internet after contracts are awarded
Selection / Performance
Evaluation Scoring Philosophy
Selection Scoring
+2 Outstanding Qualifications
+1 Highly Qualified
0 Qualified
-1 Slightly Below Desired Qualification
-3 Insufficient Qualification
Performance Ratings
+1 Exceeds
0 Satisfactory
-1 Needs Improvement
-3 Unsatisfactory
Selection Evaluation
Form
Performance Evaluation
Completed for all agreements
Evaluation for each major
deliverable including construction specification packages
Cumulative evaluation
maintained for each contract
Project evaluation scores
amended by any additional information arising during construction
Closeout evaluation meetings
held at the end of each agreement
Completion To Date
Prequalification manual
Complete, but will
be revised
Audit procedure
Complete
Consultant selection procedure
Complete, details
to be documented in procedure manual
Performance evaluation
manual
80% complete
Consultant procedure manual
80% complete
Work Remaining
Completion of previously-mentioned
manuals and procedures
Systems intranet interfaces
and databases
Develop and implement
web-based training
Training of contracts
managers, analysts, project managers
Definition of any independent
LPA processes
Prequalification Progress
205 Technical review completed
and approved for RFP eligibility
100 Financially prequalified
38 Awaiting for additional
information
172 Fully prequalified
RFP Statistics
05-01
No. of items - 15
Total contracts selected 0014
Different firms selected 0012
Different scoring evaluators
- 19
05-02
No. of items - 37
Total contracts selected
- 106
Different firms selected
- 58
Different scoring evaluators
- 48
INDOT
Consultant Contract Process
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www.state.in.us/dot/business/
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