TSPManual.pdf

Final_Version 1

State of Georgia Department of Transportation Office of Procurement

Procurement Manual

For The Procurement, Management and Administration of Engineering and Design Related

Consultant Services

6/20/2016 600 West Peachtree Street N.W.

Atlanta, GA 30308 Ver. 1

Transportation Services Procurement Manual

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Version 1 Georgia Department of Transportation Office of Procurement

GEORGIA DEPARTMENT OF TRANSPORTATION

PROCUREMENT MANUAL

FOR THE PROCUREMENT, MANAGEMENT AND ADMINISTRATION OF

ENGINEERING AND DESIGN RELATED CONSULTANT SERVICES

Approved by FHWA Approved by GDOT

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Table of Contents Acronyms

Purpose

Overview

Guiding Regulations

Federal Laws and Regulations

State Regulations

Introduction

THE SEVEN STAGES OF ENGINEERING AND DESIGN RELATED SERVICES PROCUREMENT

Stage 1-Pre-qualification

1.1 Pre-Qualification Process

1.1.1 Pre-qualification will be required in accordance with the below:

1.1.2 Review of Pre-qualification Application

1.2 Appeal/Suspension Process

1.3 Pre-qualification Utilization in Procurement Process

Stage 2-Development

2.1 Development Activities

2.1.1 Project Team Initiation Process (PTIP)

2.1.2 Projects/Contracts Not Requiring PTIP

2.1.3 Preparation of Scope

2.1.4 Selection of Appropriate Area Classes

2.1.5 Identify Key Team Roles to be considered in Evaluation/Scoring

2.2 Procurement Procedures

2.3 Initiation

2.4 Pre-Solicitation Activities

2.4.1 Determine Procurement Methods and Procedures

2.5 Determine Contracting and Payment Method

2.5.1 Contract Type

2.5.2 Payment method

2.6 Develop Request for Qualifications (RFQ)

2.6.1 Scope

2.6.2 Area Class Requirements

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2.6.3 Pre-Established Evaluation Criteria

2.6.4 Technical Approach

2.6.5 Past Performance

2.6.6 Developed Evaluation Criteria

2.7 Establish RFQ deliverables

2.7.1 Phase I Evaluation Deliverables

2.7.2 Phase II Evaluation

2.8 Procurement Schedule

Stage 3 - Advertisement

3.1 Consultant Acquisition Needs List

3.2 Advertisement Methods

3.2.1 Batch Advertisements

3.2.2 Public Notice of Advertisement

3.2.3. Advertisement Periods

3.2.4 Location of Advertisement Postings

3.2.5 Utilization of NIGP Codes

3.3 Advertisement Process

3.4 Questions and Answers

3.5 Restriction of Communication

3.6 Notification of Finalists and Selection

3.6.1 Notice to Finalist

3.6.2 Notice of Most Qualified

Stage 4 - Evaluation and Selection

4.1 Selection Committee

4.1.1 Eligible Appointees

4.1.2 Identification/Establishment of Selection Committee Members

4.1.3 Size of Selection Committees

4.1.4 Selection Committee Instructions

4.2 Evaluation Process

4.3 Scoring Documents

4.3.1 Individual Scoring Documents

4.3.2 Overall Committee Scoring Documents

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4.3.3 Additional Considerations for Scoring Documents

4.4 Evaluation of Statements of Qualifications and Selection of Finalists

4.4.1 Evaluation Procedures

4.4.2 Receive Statement of Qualifications (SOQ) from Respondents

Stage 5 - Negotiation

5.1 Initial Scoping Meeting with Selected Firm(s)

5.1.1 Initial Scoping Meeting

5.1.2 Master Contract or Supplemental Agreement Creation Approval

5.1.3 Negotiating

5.1.4 Negotiation of Work Effort and Cost

5.1.5 Establishing the Method of Compensation

5.1.6 Contract Modifications

5.1.7 Notification that Negotiations have been completed and retaining documentation of negotiation activities 64

Stage 6-Award

6.1 Contract Preparation

6.2 Contract Execution and Notice to Proceed

6.3 Post Selection Announcement to the Georgia Procurement Registry (GPR)

Stage 7 - Contract Administration

7.1 Transportation Audit Services

7.1.1 Overhead (Indirect Cost) Rate

7.1.2 Certificate of Final Indirect Costs:

7.1.3 Facilities Capital Cost of Money (FCCM)

7.2. Professional Service Agreement Pre-Award, Interim, and Final Cost Audit Reviews

7.2 .1 Pre-Award Audit Review

7.2.2 Interim Cost Audit Review

7.2.3 Notification of Completion-Interdepartmental letter From Applicable Office

7.2.4 Final Cost Audit Review

7.3 Local Public Agency Consultant Procurement and Program Oversight

7.4 Contracts or Supplemental Services Positions or Management Support Roles

7.5 Administration of the Agreement

7.5.1 Project Roles and Responsibilities

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7.5.1 Consultant Evaluation

7.6 Monthly Progress and Payment

7.6.1 Electronic Invoicing System

7.6.2 Progress Payment Reports

7.6.3 Invoice Payments

7.6.4 Withheld Amount

7.6.5 Prompt Payment

7.7 Change of Key Personnel

7.8 Shifting Effort/Costs Within Agreements

7.9 Contract Suspension (Stop Work Notice)

7.10 Changes of Corporate Structure or Ownership (Novation/Assignment Agreement)

7.11 Name Change Without a Change In Corporate Structure

7.12 Protest Process

7.13 Contract Dispute Resolution Process

7.13.1 Performance of Services and Arbitration:

7.13.2 Third Party Claims:

7.14 Conflict Of interest

7.14.1 CONSULTANT RESPONSIBILITY

7.14.2 GDOT Responsibility

7.14.3 Organizational Conflicts Of Interest Which May Exist

7.14.4 Actions To Be Taken

7.15 Contract Completion

7.16 Project Closeout

7.17 Document Retention

7.18 Agreement Provisions

7.18.1 Non-Discrimination

7.18.2 Disadvantaged Business Enterprises (DBE)

7.18.3 Small Business Concerns

7.18.4 Immigration Requirements

7.18.5 Insurance

7.18.6 Errors and Omissions

7.18.7 Use and/or Release of Privileged or Confidential Information

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7.18.8 Ownership of Data

7.18.9 Publication and Publicity:

7.18.10 Copywriting

7.18.11 Termination for Default or Convenience

7.18.12 Termination for Convenience

7.18.13 Records Retention/Destruction

7.18.14 Anti-Lobbying/Disclosure

7.18.15 Debarment and Suspension

Definitions

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Acronyms

A&E Architectural and Engineering

AASHTO American Association of State Highway and Transportation Officials

AMRL AASHTO Materials Reference Laboratory

CFR Code of Federal Regulations

CO Contract Officer

CPM Consultant Pre-qualification Manual

CS Contract Specialist

DBE Disadvantaged Business Enterprise

DLC Direct Labor Cost

DOAS Department of Administrative Services

EC Categorical Exclusion

EEO Equal Employment Opportunity

EIS Environmental Impact Study

FAHP Federal-Aid Highway Program

FHWA Federal Highway Administration

GDOT Georgia Department of Transportation

GPR Georgia Procurement Registry

IDIQ Indefinite Delivery/Indefinite Quantity (On-Call)

LPA Local Public Agencies

NIGP National Institute of Governmental Purchasing

NTF Notice to Finalists

NTP Notice To Proceed

O.C.G.A Official Code of Georgia Annotated

PAR Practical Alternative Report

PDP Plan Development Process

PM Project Manager

PNA Public Notice Announcement

PRF Procurement Requisition form

PTIP Project Team Initiation Process

QBS Qualification Based Selection

R/W Right of Way

RFQ Request for Qualifications

SAM System For Award Management

SAT Simplified Acquisition Threshold

SME Subject Mater Expert

SOQ Statement of Qualifications

SUE Subsurface Utility Engineering

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TSP Transportation Services Procurement

VE Value Engineering

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Purpose

The purpose of the Transportation Services Procurement (TSP) Manual is to develop policies and procedures in accordance with the requirements set by the Federal Highway Administration (FHWA) in 23 CFR Part 172, Procurement Management, and Administration of Engineering and Design Related Services. The manual will adhere to these procurement rules and regulations as well as those set by the State of Georgia and Georgia Department of Transportation (GDOT) Policy 4020-1 to provide guidance for engineering and design related consultant services procured by the Office of Procurement’s TSP Section. The manual will provide requirements for local governments (Local Public Agencies – LPAs) for engineering and design related consultant services procurements when utilizing Federal-Aid Highway Program (FAHP) Funds. The purpose of the requirements in 23 CFR 172 are to ensure that a qualified consultant is obtained through an equitable qualifications-based selection (QBS) procurement process accomplished in a timely manner at a fair and reasonable cost.

This manual will be updated on a periodic basis, as prescribed in GDOT Policy 4020-1 to reflect changes in guiding federal and state regulations, and any other changes that may affect methods of procurement covered by this manual. This manual, and all subsequent revisions, shall be approved by FHWA in accordance with 23 CFR 172.5(c) written policies and procedures.

Overview

TSP serves as the procurement entity for all engineering and design related consultant services for GDOT. TSP is responsible for coordinating all engineering and design related consultant services procurement activities once a valid procurement requisition is received. The procedures set forth in this manual are designed to provide GDOT and LPAs, using federal funds for contracted engineering and design related consultant services, the required methods for acquiring those services. These procedures incorporate the required regulatory practices, as well as procurement industry best practices, determined to be most appropriate for GDOT. Due to federal funding of services, the majority of procurements will require adherence to federal regulations. For consistency of process and adherence to best practices, GDOT will generally follow the same procedures required for federally funded procurements when procuring non-federally funded services. Federal requirements may be waived for non-federally funded services if a clear advantage to the State can be demonstrated and so long as procurement regulations outlined in Official Code of Georgia Annotated (O.C.G.A.) 50-22-1 through 50-22-9 are complied with in full.

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Guiding Regulations

GDOT operates under the authority of the O.C.G.A. Title 32 Highways, Bridges, and Ferries, Chapter 2.

Department of Transportation, for the procurement of goods and services required for the construction and maintenance of roads and bridges and any services ancillary to such work. For the procurement of engineering and design related consultant services which utilize FAHP funds, the following regulations are also applicable:

Federal Laws and Regulations

23 U.S.C 112, Letting of Contracts

23 CFR Part 172 Procurement, Management and Administration of Engineering and Design Related Services; Final Rule

2 CFR Chapter I, and Chapter II, Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule

40 U.S.C. 1101-1104 Selection of Architects and Engineers “The Brooks Act”

48 CFR Part 31 – Contract Cost Principles and Procedures

Moving Ahead for Progress in the 21st Century Act (MAP-21)

Repayment of Preliminary Engineering Cost (Order 2020.1)

FHWA Policy for Contractor Certification of Costs in Accordance with Federal Acquisition Regulations (FAR) to Establish Indirect Cost Rates on Engineering and Design-related Services Contracts Order No. 4470.1A

FHWA Policy of Permissible Project Related Activities during the National Environmental Policy Act (NEPA) Process Order 6640.1A

State Regulations

O.C.G.A. Title 32. Highways, Bridges, and Ferries, Chapter 2. Department of Transportation

O.C.G.A. Title 50. State Government, Chapter 22. Managerial Control Over Acquisition of Professional Services

O.C.G.A. Title 43. Professions and Businesses, Chapter 15. Professional Engineers and Land Surveyors

Introduction

This manual is arranged in the seven (7) stages of engineering and design related services procurement. The organization of the seven stages occurs in a logical progression in the order that each stage is required to be performed. The seven (7) stages are discussed in detail in this manual and should provide readers/users of the manual with a step by step guide to the engineering and design related consultant services procurement process. The seven stages are as follows:

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THE SEVEN STAGES OF ENGINEERING AND

DESIGN RELATED SERVICES PROCUREMENT

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Stage 1-Pre-qualification

In accordance with 23 CFR Part 172, GDOT requires engineering consultants to be qualified for the work they are proposing to perform. It is GDOT‘s policy to procure all consultant professional services from consultants pre-qualified by GDOT. However, it should be noted that the pre-qualification process is not, nor does it substitute for a valid procurement process. This process is a key step in procuring engineering and design related services.

This pre-qualification process governs the minimum qualifications of professional engineering consultants that perform design and any related work for GDOT including firms providing other ancillary services such as;

Transportation Planning, Mass Transit Operations, Highway Design Roadway, Highway structures, Topography, Soils, Foundation & Materials Testing, Construction and Erosion and Sedimentation Control, to support design work that directly leads to construction. GDOT has made its Consultant Pre-Qualification Manual available on its website (http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/ConsultantPrequalificationManual.

pdf), which further describes the process to obtain prequalification.

1.1 Pre-Qualification Process

Consultants are required to submit a pre-qualification application (http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/PrequalificationApplication.pd

f) via e-mail to consultants_prequals@dot.ga.gov mailbox. This application must be submitted along with the Employee Qualifications Sheet selecting the area class(es) being requested. Applications to be qualified by GDOT shall be submitted using forms and procedures established by the Department.

http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/ConsultantPrequalificationManual.pdf http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/ConsultantPrequalificationManual.pdf http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/PrequalificationApplication.pdf http://www.dot.ga.gov/PartnerSmart/Business/Prequalification/Documents/PrequalificationApplication.pdf mailto:consultants_prequals@dot.ga.gov

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1.1.1 Pre-qualification will be required in accordance with the below:

a) Certified consultants who desire to maintain qualification are required to submit a renewal application every three (3) years.

1) The application shall be submitted three (3) months prior to the anniversary of the initial/current qualification for Class of Work.

2) All changes of personnel, updated work experience for all key personnel, and any other information requested must be submitted with the application.

b) If additional area classes are requested during the three (3) year period, an updated certificate will be provided indicating the date of update. However, the expiration date of the original certificate shall prevail regardless of when the updated area classes are added.

1.1.2 Review of Pre-qualification Application

The consultant’s application shall be examined by the Pre-qualification Committee to determine the consultant’s ability to perform one (1) or more of the area classes of work. Refer to the Consultant Pre-qualification Manual (CPM) for a list of Area Classes and qualification requirements:

a) GDOT will issue a Certificate of Qualification with an expiration date three (3) years from the first month in the calendar year in which the consultant is determined to be qualified.

b) Should the consultant be dissatisfied with the decision of the Committee concerning the assigned area class(es) of work, the consultant may file an appeal. Consultants may file an appeal within 30 days of receiving the committee’s decision by e-mail.

1.2 Appeal/Suspension Process

Should the consultant be dissatisfied with the decision of committee as to the assigned area class(es) of work, the consultant may file an appeal of the decision with the committee. An appeal of the committees’ decision will follow the same procedures as a suspension of certification.

During the course of providing services consultants may be subject to suspension or revocation of the pre-qualification status for a variety of reasons, including but not limited to loss of staff, loss of certifications for staff, unacceptable performance evaluation, failure to maintain an adequate accounting system, suspension as defined in the Federal Acquisition Regulations (FAR), and adverse actions taken by the Office of Secretary of State, and/or State Board of Registration for Professional Engineering and Land Surveyors.

Should consultants be subject to suspension or revocation of their pre-qualification status, GDOT will notify the consultant in writing that their qualification status has been revoked or suspended and cite specific reasons why the action has taken place. Once the notification is received, the consultant has the following options:

If a consultant wishes to appeal, they should make a formal appeal, in writing to the chairperson of the Pre-qualification Committee within thirty (30) days of receiving the committee’s decision by e-mail, including all of the documentation to be considered. The committee shall provide the firm written notice of its decision within twenty-one (21) calendar days of receipt of the appeal. If the decision of the committee supports the original judgment of the Consultant Pre-qualification Committee, the consultant will not be allowed to reapply for pre-qualification in the area class for a period of no less than one (1) year from the effective date in the notification letter unless the Pre-qualification Committee determines a shorter period is warranted. The decisions of the committee shall be final.

http://www.dot.ga.gov/doingbusiness/prequalification/consultants/Pages/AreaClass.aspx

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If a firm on revocation or suspension wishes to be reinstated in any or all area classes, it shall submit a Plan of Correction to GDOT no less than three (3) months before possible reinstatement. The firm shall submit documentation showing the corrective measures implemented. The committee shall review the firm’s documentation along with any additional documentation from on-going deliverables and make a determination to reinstate area class(es) or extend the revocation or suspension.

If the consultant’s pre-qualification certification expires during the revocation or suspension period, they can only reapply after the period has ended. If an application of renewal is submitted, it must include a copy of their corrective plan that was reviewed and approved by

GDOT.

If a consultant is reinstated after a period of suspension or revocation and a second suspension or revocation is issued, the consultant shall become ineligibility for the area class(es) for a minimum of three (3) years and possibly indefinite, depending on the severity of the violation.

1.3 Pre-qualification Utilization in Procurement Process

GDOT utilizes the pre-qualification status of consultants during the procurement process to ensure that prime consultants and their sub consultant team members are qualified to perform the anticipated services.

Each procurement will contain area class requirements which must be held by the prime consultant as well as those which may be held by sub consultants. Consultants responding to solicitations will be required to provide the Pre-Qualification Certificates of the prime and sub consultants which demonstrate compliance with the area class requirements. If any consultant desires to respond to a procurement opportunity and does not hold a required area class at the time the procurement is advertised, they will be allowed to proceed in the procurement process so long as they provide evidence (in the Statement of Qualifications response) of submission of the area class application to the Pre-Qualification Committee two (2) weeks prior to the closing date of the procurement. Consultants and/or sub consultants who do not have the area class(es) approved three (3) weeks after the closing date of the procurement, shall be ineligible for award.

Consultants and their sub consultant team members, responding to a procurement without the required area class(es) and no evidence of submission of the application are provided, shall be ineligible to proceed in the process.

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Stage 2-Development

The section will detail the requirements for developing GDOT procurement opportunities for engineering and design related services. The following stage lists the policies and procedures TSP follows when procuring these services.

2.1 Development Activities

During the Development stage, it is the responsibility of the Project Manager (PM) to define the overall services required and the specific tasks associated (commonly referred to collectively as the “scope”). There are several activities involved, which include but are not limited to:

2.1.1 Project Team Initiation Process (PTIP)

PTIP is a process through which GDOT’s PMs and assigned subject matter experts (SMEs) from each SME office meet regarding the services and associated scope required to see a project through construction. During PTIP , the PM and SMEs will review the project and determine in as much detail as necessary what the scope of the project will entail. One of the major decisions which will be made is whether or not the project scope will be completed with GDOT staff or whether it will be outsourced to a consultant firm which is prequalified in one or more area classes. This decision will be based on a variety of factors, including but not limited to whether or not GDOT has the technical expertise to perform the work and whether or not GDOT’s staff has the capacity to perform the work anticipated. During this process, the PM and SMEs will determine the required area class(es)

6/20/16 Page 17 of 100 for the prime and sub consultants, as well as determine the anticipated tasks and necessary level of effort required to complete the work and independent estimate.

2.1.2 Projects/Contracts Not Requiring PTIP

Project specific contracts for non-design work, indefinite delivery/indefinite quantity (On-Call) contracts, and contract modifications may not be discussed in the PTIP process. During the Pre- Solicitation process for these types of procurements, the Contract Specialist (CS) will work with the PM and SMEs to determine the scope and required area class(es) for the prime and sub consultants.

2.1.3 Preparation of Scope

The PM and SMEs will draft the scope of the project with as much detail as possible. The draft should be organized in a linear and progressive manner consistent with the order in which services should be completed. Since this scope may be utilized by GDOT’s staff, (in the event GDOT’s staff perform the services), or in a contract with a consultant, it should be organized utilizing standard outline format as indicated below:

I. Introduction

A. Lead In B. Establish the High Level Service to be provided

II. First Scope Item to be Performed A. Supporting detail #1 B. Supporting detail #2

1. Sub-Point #1

2. Sub-Point #2

a. Item #1

b. Item #2

1) Detail #1

2) Detail #2

III. Second Scope Item to be Performed A. Supporting detail #1 B. Supporting detail #2

1. Sub-Point #1

2. Sub-Point #2

a. Item #1

b. Item #2

The scope for every solicitation and resulting contract will be different; however, following a standard outline format will assist in helping to organize similar items together. This format is one tool that the Office of Procurement utilizes to ensure some standard of organization is consistent across all solicitations and contracts.

2.1.4 Selection of Appropriate Area Classes

During the PTIP process, the PM and SMEs should review the area classes listed in the Pre-qualification Manual and identify the area classes which the prime consultant must hold as well as the area classes which are acceptable for any team member to hold (prime or sub consultant team member). It is extremely important that the PM and SMEs are careful when selecting area classes which only the prime consultant can meet as this may limit competition. As more area classes are required of the prime consultant only, the potential pool of consultants who can qualify is reduced.

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Area classes required of the prime consultant should be limited to those area classes’ needed to complete the work.

Developing the area class list requires close review of the project during the PTIP process to ensure that the area classes associated with all services which may be required are included. This is critical to ensure that there is prequalified team members which can perform any service required in order to complete the project.

2.1.5 Identify Key Team Roles to be considered in Evaluation/Scoring The CS, PM and SMEs will determine which key team roles they deem pertinent to the scope of the project/contract being procured. Generally, this will include the PM as well as others identified based on the scope of the project and should focus on those areas where it is important to determine if an individual is qualified to provide the services desired.

2.2 Procurement Procedures

The recommended procurement procedures set forth in this section are designed to assist GDOT PMs (and LPAs) in acquiring needed professional services to complete project needs. Since QBS selection procedures will constitute the majority of procurements, QBS will be the focus of these procedures. Additional or different procedures will be noted for Simplified Acquisition or Non-Competitive Negotiation.

An experienced CS should manage the overall process to procure contracts for these services. The CS is responsible for procurement schedule coordination, SOQ distribution, evaluation tools and documents, and meeting facilitation (including receipt of SOQs, evaluation meetings, and interviews). In addition, the CS is the sole point of contact for interested consultants and prospective proposers from the advertisement of the procurement opportunity through the announcement of contract award. This role as the single point of contact for all communications during the procurement process is extremely important for several reasons:

1 It helps maintain the integrity of the procurement process.

2 It reduces the risk of undue influence or pressure on GDOT and the Selection Committee.

3 It maintains a consistent and orderly flow of information at the appropriate time and in the appropriate manner.

The following items are essential elements and tasks of the procurement process. They are arranged in the suggested order in which they should be completed. Basic instructions for completing these tasks are included. These are generally intended to be applicable to consultant selection efforts, but some projects may require different tasks and instructions.

2.3 Initiation

To begin the process for procuring consultant services, the requesting office must submit a Procurement Requisition Form (PRF). The form should be filled out and signed by the PM, the requesting office head, and the applicable division director then scanned, and sent via e-mail to the TSP mailbox. Careful attention must be paid to completing the required information on the form including:

a) Complete all contact information

b) The purpose of the requested solicitation

c) Project Identification number (PI# - if applicable)

d) Brief work description mailto:tsp_mailbox@dot.ga.gov

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e) What skills, knowledge, resources, etc, are needed but not available internally which necessitates outsourcing?

f) Can this service be performed in-house by cheaper means?

g) Estimated/allotted costs and time duration

For each new advertisement, TSP will review and obtain approval of the Chief Engineer prior to beginning procurement activities. TSP will assign a CS who will then contact the PM to begin procurement procedures.

2.4 Pre-Solicitation Activities

The CS will meet with the PM to determine needed information to prepare and post an advertisement for the desired services. Major discussion points include:

2.4.1 Determine Procurement Methods and Procedures

The CS will discuss the services to be procured with the PM and determine which procurement method outlined in 23 CFR Part 172.7, entitled Procurement Methods and Procedures (as detailed herein), will be the best method for procuring the desired services. Such determination may be dependent on whether or not the services are related to the construction of a project utilizing FAHP funds, the estimated cost of the services, and whether or not it is feasible to award by competitive negotiations or simplified acquisition. With the exception of the standard process for Competitive Negotiations/QBS, the CS shall document the reasoning for the procurement method decision in the procurement file.

2.4.1.1 Procurement Methods

GDOT will use the following procurement methods:

a) Competitive Negotiations or Qualifications Based Selection (QBS)

QBS is a type of selection for services that intentionally avoids giving any weight to any proposed fee for those services. That is not to say that fees are unimportant. Fees have an important role to play in the contracting process, only not in the “selection” process. Instead, QBS allows consultants to initially compete solely upon their qualifications and demonstrated expertise (and additional QBS and allowable non-QBS criteria outlined in 23 CFR Part 172.7(a)(1)(iii)(A) and 23 CFR Part 172.7(a)(1)(iii)(D) respectively. The contract is awarded to the consultant deemed to be the most qualified, without consideration of cost or fee. Weighted criteria are used to evaluate qualification-related factors in the selection. An actual contract award is subject to successful cost negotiation with the proposer.

b) All GDOT Engineering and Design Related Services procurements will require QBS process with the following exceptions:

1. Small Purchase/Simplified Acquisition

As allowable in 23 CFR Part 172.7(2), a relatively simple and informal procurement method where an adequate number of qualified sources are reviewed may be utilized, where the total contract cost does not exceed the

6/20/16 Page 20 of 100 simplified acquisition threshold (SAT) for federal purchases not to exceed $150,000 (2 CFR part 200) or for state purchases not exceeding $75,000 (O.C.G.A.

§ 50-22-7 (d)). GDOT will always adhere to the more restrictive state limitation of $75,000 for simplified acquisition. *Contract requirements should not be broken down into smaller components to permit the use of small purchase requirements. The full amount of any contract modification or amendment that causes the total contract amount to exceed the established SAT is ineligible for Federal-Aid funding. The FHWA may withdraw all Federal-aid funding if the contract is amended above the applicable established SAT. The procurement method to be utilized would be consistent with QBS criteria allowable under 23 CFR Part 172.7(2) and O.C.G.A. 50-22-4.

2. Non-Competitive Negotiations

Non-competitive negotiations may be used when it is not feasible to award by competitive negotiations or simplified acquisition and are limited to the following:

a) The service is available from only a single source.

b) An emergency that will not permit the time necessary to conduct competitive negotiations.

c) After solicitation of a number of sources, competition is determined to be inadequate.

GDOT must submit justification to FHWA and receive approval before using this method of contracting for any contract utilizing federal funds. The only exception to this would be in the event of an emergency purchase where it is not feasible to obtain approval prior to performing work. In this event, GDOT would proceed with the work and gather the information necessitating the emergency purchase and submit to FHWA as soon as practical.

If a project is to be funded exclusively with state funds and if a consultant has previously worked on the project, GDOT may enter into contract with that consultant without competition if the provisions of O.C.G.A 50-22-7(a) apply. The PM must certify that the consultant has significant previous work on the project that may be reused and that the scope of the project has not significantly changed or expanded.

2.5 Determine Contracting and Payment Method

The CS will discuss various contracting options with the PM to determine which contracting method most appropriate for the services being procured. The two major decisions for contracting methodology are the Contract Type and Payment Method:

2.5.1 Contract Type

Based on the description of each contract type below, the CS shall determine the appropriate contract type to utilize and ensure the RFQ specifies the contract type anticipated to contract for the solicited services in accordance with 23 CFR Part 172.9:

2.5.1.1 Project Specific

A contract between the contracting agency and consultant for the performance of services and defined scope of work related to a specific project or projects. With

6/20/16 Page 21 of 100 this contract type, the entire scope can be determined and negotiated in a single phase/contract.

2.5.1.2 Multi-Phase Project Specific

A Multi-Phase project specific contract is where the defined scope of work is divided into phases which may be negotiated and authorized individually as the project progresses. With this contract type, there are many unknowns and it is not possible to identify all work which must be performed at the time of negotiations and therefore, the work is negotiated and authorized in separate phases(s).

2.5.1.3 Indefinite Delivery Indefinite Quantity (IDIQ) – ON Call

A contract for the performance of services for a number of projects (which are unknown at the time of selection) for performance of smaller projects or for performance of routine or specialized services on a number of projects, under task or work orders issued on an as-needed or on-call basis, for an established contract period (which shall not exceed a maximum of five (5) years).

2.5.2 Payment method

Based on the description of each payment type below, the CS and PM will discuss the request and will determine the appropriate payment method. A single contract may contain different payment methods as appropriate for compensation of different elements of work. Each RFQ shall specify the method(s) of payment anticipated to contract for the solicited services in accordance with 23 CFR part 172.9:

2.5.2.1 Cost Plus Fixed Fee

This payment method shall be utilized when the scope of work is fairly well defined but the total engineering effort required to complete the work cannot be estimated precisely. These contracts pay a pre-determined fee that was agreed upon at the time of contract negotiations.

2.5.2.2 Firm Fixed Price/Lump Sum

This payment method shall only be used when the extent, scope, complexity, character and duration of the work required has been established to a degree that is fair and reasonable and the total cost can be determined at the time of negotiations. **Note: When the method of payment is other than firm fixed price/lump sum, the contract shall specify a maximum amount payable which shall not be exceeded unless adjusted by a contract modification.

2.5.2.3 Cost per Unit of Work

The consultant shall be reimbursed for work and services completed at a pre-negotiated rate based on the Unit of Work cost. The Units of Work could be routinely used, recurring and would not necessitate multiple negotiations. The Negotiations for each unit of work will be conducted in the same manner whereby the level of effort for each unit of work is estimated independently by the PM and consultant.

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2.5.2.4 Specific Rates of Compensation

This provides for reimbursement on the basis of direct labor hours at specified fixed hourly rates plus any direct expenses or costs, subject to an agreement maximum amount. This payment method would only be utilized when it is not possible at the time of procurement to estimate the extent or duration of the work or the estimated cost with any reasonable degree of accuracy. The specific rates of compensation payment method should be limited to contracts or components of contracts for specialized or support type services where the consultant is not in direct control of the number of hours worked, such as construction engineering and inspection. When using this payment method, GDOT shall manage and monitor the consultant’s level of effort and classification of employees used to perform the contracted services. The consultant would only be paid for the actual work completed.

**Note: Cost plus percentage of cost and percentage of construction cost methods of compensation shall not be used.

2.6 Develop Request for Qualifications (RFQ)

The PM must collaborate with the CS to establish the elements required for the RFQ Advertisement. The PM and CS may enlist the help of the Selection Committee, to develop some of the required elements. This is especially appropriate for particularly complicated solicitations where the Selection Committee may be comprised of specialized subject matter experts. Key components of the RFQ are as follows:

a) Identify any special provisions or contract requirements associated with the solicited services;

b) Require that submission of any requested cost proposals or elements of cost be in a concealed format and separate from technical/qualifications proposals, since these shall not be considered in the evaluation, ranking, and selection phase; and

c) Provide an estimated schedule for the procurement process and establish a submittal deadline for responses to the RFQ that provides sufficient time for interested consultants to receive notice, prepare, and submit a proposal, which except in unusual circumstances shall be not less than 14 calendar days from the date of issuance of the RFQ.

2.6.1 Scope

Consulting services for a project can be comprehensive or can be limited to select services. The PM will collaborate with the CS to refine the scope for inclusion in the RFQ document. The scope should follow the format previously discussed in Section 2.1.3. The PM should develop a comprehensive scope prior to requesting the procurement of consulting services. Emphasis should be placed on ensuring the scope and technical requirements are clear, accurate, and detailed to the extent practical. The scope should detail the purpose and describe the project, the services to be performed, deliverables to be provided, estimated scheduled for performance, and applicable standards, specifications and policies. It should be noted that as much attention as possible should be paid to detailing all requirements because scope items not included in the advertisement cannot be added to the contract later per 23 CFR Part 172.

2.6.2 Area Class Requirements

CS will work with PM to finalize area classes for the prime consultant and the Sub consultant Team Members. Engineering and design related services for which GDOT requires pre-qualification will have minimum area class requirements that the prime consultant or sub consultants must hold to

6/20/16 Page 23 of 100 accomplish the desired scope of services. The CS and PM must ensure that each required scope item has corresponding area classes identified as mandatory.

Normally a set of minimum area class requirements will be specified that a prime consultant must meet in order to be further evaluated and ranked. The prime consultant will generally be required to be prequalified in the area classes representing predominate work areas for the solicited project.

Typically, area class requirements for related services may be fulfilled by the prime or sub consultant Team Members.

2.6.3 Pre-Established Evaluation Criteria

The evaluation criteria must be identified in each RFQ and will be used in the evaluation, ranking, and selection of consultants to provide the desired services. For QBS selections, price or cost is specifically prohibited from use as selection criteria since it is not an element of the qualifications of the consultant. Likewise, a requirement that the consultant be in-state or local preference shall not be used as a factor in the evaluation, ranking, or selection phase as these do not demonstrate qualifications of the consultant to do the work and is not allowable. GDOT has reviewed the allowable QBS and Non-QBS criteria and has established usual evaluation criteria to include:

2.6.3.1 Identify Key Team Leaders

CS will work with PM to finalize key team leaders. Each solicitation will require a PM as mandatory and therefore this is not a Key Team Leader and should not be included in this section. Each Key Team Leader identified will result in resumes being submitted in the SOQ package and the evaluation for qualifications and experience will be based on these resumes. The major categories of services should be identified. Each major category identified (i.e. design, bridge, environmental, traffic operations, utilities, etc.) should dictate the required Key Team Leaders.

2.6.3.2 Project Manager, Key Team Leader(s) and Prime’s Experience and Qualifications

Usual criteria related to the PM, Key Team Leaders, and prime’s experience and qualifications are as follows:

a) PM and Key Team Leaders Information is provided pertaining to the PM and key team leaders, including but not limited to:

1. Education.

2. Registration.

3. Relevant engineering experience.

4. Relevant project management experience for projects of similar complexity, size, scope, and function.

5. Relevant experience utilizing GDOT specific processes, manuals, or guidance (Plan

Development Process (PDP, Design Policy, Environmental Procedures Manual, etc.).

Prime Experience

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Information is provided pertaining to the prime’s experience and ability in delivering effective services for projects of similar complexity, size, scope, and function. For each project, the following information should be provided:

1. Client name, project location, and dates during which services were performed.

2. Description of overall project and services performed by your firm.

3. Duration of project services provided by your firm, and overall project budget.

4. Experience utilizing GDOT specific processes, manuals, or guidance (PDP, Design

Policy, Environmental Procedures Manual, etc.).

5. Client(s) current contact information including contact names and telephone numbers.

6. Involvement of Key Team Leaders on the projects.

2.6.3.4 PM, Key Team Leader(s) and Prime’s Resources and Workload Capacity

Usual criteria related to the Project Manager, Key Team Leaders and prime’s Resources and Workload Capacity are as follows:

a) Project Manager workload capacity.

Workload capacity of Key Team Leader(s).

Resources dedicated to delivering project.

Ability to meet project schedule.

2.6.4 Technical Approach

O.C.G.A Section 50-22-4(b) requires that GDOT to enter into discussions with three (3) to five (5) consultant identified as the most highly qualified. The evaluation of respondent’s technical approach may be through written response, by telephone, video conference, or by oral presentation with the most highly qualified consultants following submission and evaluation of qualifications. The evaluation of the technical approach in the delivery of the project and meeting contract requirements is usually represented by the following criteria:

a) Project understanding and innovative technical approaches the firm offers relative to addressing anticipated scope of services.

Use of alternative methods for delivery (if applicable), and/or management of the project.

Identify unique challenges of the project and how the firm intends to mitigate these challenges, including quality control, quality assurance procedures.

Provide specific qualifications, skills, knowledge of the project and project area which may uniquely benefit the firm and project.

Provide ability and willingness to meet project schedule and budget requirements.

2.6.5 Past Performance

Usual criteria pertaining to the past performance evaluation includes, but is not limited to:

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a) References provided for non-GDOT projects which are relevant and performance evaluations were not performed.

References provided for consultants which have not been awarded contracts with GDOT previously.

Documented knowledge any Selection Committee members have of performance on relevant projects.

Performance evaluations on completed GDOT projects/contracts.

2.6.6 Developed Evaluation Criteria

The usual criteria, in Section 2.6.3 – 2.6.6 above, have been established to streamline the RFQ development process. However, these criteria do not preclude GDOT from developing different criteria so long as they are compliant with 23 CFR Part 172. In the event different criteria are desired, the CS will assist the PM in developing the appropriate, project/contract-specific evaluation criteria. When developing the criteria, the CS would ask probing questions to determine what qualifications define the best criteria for this project, and what proposal information is needed to evaluate SOQs accordingly. In developing the criteria, much consideration must be given to the deliverables as they are developed into the solicitation documents, and whether the deliverables should be adjusted in order to provide the Selection Committee with the necessary volume and type of information for proper evaluation. Additionally, the criteria must assess the demonstrated competence and qualifications for the type of professional services being solicited. The criteria are broken down into two categories including QBS Criteria and Non-QBS Criteria.

2.6.6.1 QBS Criteria

The CS will work with the PM to establish the specific, detailed, or “granular” criteria and such granular criteria must be grouped as a component of a major category. Prior to advertisement, the PM should assign appropriate weights to the major criteria categories, which will be communicated to all respondents in the RFQ. Major categories of evaluation criteria should be used to allow for easy understanding by all respondents of what basic attributes are generally considered important, and for better processing by the Selection Committee. Allowable QBS Criteria include but are not limited to:

a) Technical approach (e.g., project understanding, innovative concepts, or alternatives, quality control procedures).

Work experience.

Specialized expertise.

Professional licensure.

Staff capabilities.

Workload capacity.

Past performance.

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2.6.6.2 Non-QBS Criteria

FHWA has allowed the utilization of Non-Qualification Based Criteria in accordance with 23 CFR Part 172.7.(a)(1)(iii)(D). The CS will work with the PM and will advise of these allowable criteria and determine if the project/contract being advertised could benefit from these criteria. However, the combined total of all Non-QBS criteria must not exceed ten (10) % of the overall evaluation. Allowable Non-QBS criteria are as follows:

a) Local Presence This criteria shall not be based on political or jurisdictional boundaries and may be applied on a project-by-project basis for contracts where a need has been established for a consultant to provide a local presence, a local presence will add value to the quality and efficiency of the project, and application of this criteria leaves an appropriate number of qualified consultants, given the nature and size of the project. If a consultant from outside of the locality area indicates as part of a proposal that it will satisfy the criteria in some manner, such as establishing a local project office, that commitment shall be considered to have satisfied the local presence criteria.

DBE Utilization Goal For contracts utilizing federal funds, GDOT specifies a DBE utilization goal in accordance with 49 CFR Part 26. In order to evaluate the ability of a proposing consultant to meet this goal, the Committee will typically evaluate a consultant’s DBE policy and practices. *Note: If you have a DBE goal you cannot have a scored criteria as FHWA interprets this as “or” not “and” Please refer to FHWA Question and Answers for further guidance.

**Note: Local Governments must ensure that when considering DBE utilization that only firms certified by GDOT as DBE firms are allowable.

***Note: When Local Governments are utilizing Federal-Aid Highway Program Funds, any DBE goal must either be consistent with GDOT’s DBE goal, or must be approved in advance by GDOT’s Office of Equal Employment Opportunity (EEO).

2.7 Establish RFQ deliverables

Deliverables of prospective respondents must correlate to the evaluation criteria stated in the RFQ.

Ideally, the deliverables should mirror the evaluation criteria in the RFQ and should reflect any unique directions or selection strategies necessary for the individual project. The CS will work with the PM and will review the evaluation criteria and will ensure that the requested RFQ deliverables correlate closely. Careful attention should be paid to the scope of work for each RFQ which will dictate the evaluation criteria and ultimately the RFQ deliverables. In accordance with GDOT’s Pre- Established Evaluation Criteria, there are pre-established RFQ deliverables which correspond.

These Pre-Established Criteria usually include:

2.7.1 Phase I Evaluation Deliverables

All interested respondents would be required to respond to the criteria identified below:

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a) Administrative Requirements – NOTE: This section is not scored but is used as Pass/Fail to determine whether respondents are deemed as responsive to each solicitation.

1. Basic company information:

A. Company name.

B. Company Headquarter Address.

C. Contact Information - Name and contact information (telephone number(s) and e-mail address) of primary proposing contact, (this will be the individual with whom the

Department will direct all communications).

D. Company website (if available).

E. Georgia Addresses - Identify and provide addresses for the offices located in the State of Georgia.

F. Staff - List the number and disciplines of staff members employed in each office in the

State of Georgia.

G. Ownership - Provide form of ownership, including state of residency or incorporation, and number of years in business. Is the Offeror a sole proprietorship, partnership, corporation, limited liability Corporation, or other structure?

2.