| (a) Applicability. The standard process, described
under this section, may be used for any architectural, engineering,
or surveying services contract not subject to §9.35 of this subchapter
(relating to Federal Process).
(b) Administrative qualification.
(1) Administrative qualification is a process used
by the department to verify that a provider has an indirect cost rate
that meets department requirements. Except as provided by paragraph
(8) of this subsection, to compete for a contract under this section
a provider either must be administratively qualified or must accept
an indirect cost rate under paragraph (7) of this subsection.
(2) Factors in determining administrative qualification.
(A) A provider may demonstrate administrative qualification
by an audit or by self-certification of its incorporated entity. Indirect
cost rates must be based on the entire incorporated entity and may
not be based on the entity's units or divisions.
(i) An audit may be performed by an independent certified
public accountant (CPA), an agency of the federal government, another
state transportation agency, or a local transit agency. An audit performed
by an independent CPA must be conducted in accordance with the current
versions of 48 C.F.R. Part 31, the Generally Accepted Government Auditing
Standards (GAGAS), and the American Association of State Highway Transportation
Officials (AASHTO) Uniform Audit and Accounting Guide. The provider
must provide the department with unrestricted access to the audit
work papers, records, and other information as requested by the Audit
Office.
(ii) Self-certification may be conducted by the provider
and must include a cost report and an internal controls report. The
self-certified cost report must comply with the current versions of
48 C.F.R. Part 31, the GAGAS, and the AASHTO Uniform Audit and Accounting
Guide. The self-certified internal control report must certify the
provider has internal controls in place within its organization. Both
the cost report and the internal control report must be signed by
a company officer and notarized.
(B) The audit or self-certification shall be based
on the provider's fiscal year. The indirect cost rate, as approved
by the Audit Office, shall become effective six months after the end
of the provider's fiscal year, or immediately if filed more than six
months after the end of the provider's fiscal year. It shall be effective
no more than twelve months and shall expire eighteen months after
the end of the fiscal year upon which it is based.
(C) A provider must submit on an annual basis a compensation
analysis for all executives in accordance with the AASHTO Uniform
Audit and Accounting Guide.
(D) The department may audit the indirect cost rate
of a provider under contract with, or seeking to do business with,
the department. These audits will be conducted in accordance with
the criteria outlined in this subsection.
(E) A provider must submit a signed Certification of
Final Indirect Costs with the audit report or self-certification.
The certification must follow the requirements of the Federal Highway
Administration.
(3) Submittal and review process for administrative
qualification.
(A) A provider must submit its administrative qualification
information to the Audit Office in accordance with the instructions
on the department's website. Administrative qualification submittals
will not be received by the Design Division.
(B) Upon review of an audit report or self-certification
received from a provider, the Audit Office may request additional
information from the provider. If the submittal is not complete and
accurate, the Audit Office will return it to the provider for correction.
Upon request for additional information by the Audit Office, the provider
shall submit the information within 15 days after the day that it
receives the Audit Office's request. If the information is not provided
within the 15-day period, the submittal will be placed on pending
status for an additional 15 days. If the information is not received
within the additional 15-day period, the submittal will not be processed
for administrative qualification.
(4) Administrative qualification is applicable only
to the incorporated business entity upon which the indirect cost rate
is based and does not extend to a subsidiary, affiliate, or parent
of the incorporated entity.
(5) The Audit Office will provide a selected firm's
indirect cost rate information to the managing office on notification
from the Design Division, for use in negotiations under §9.38
of this subchapter (relating to Negotiations).
(6) The Audit Office will not provide a firm's administrative
qualification information to the managing office or the consultant
selection team before the selection of that firm.
(7) Providers not administratively qualified. The department
may contract with a prime provider or allow the use of a subprovider
that is not administratively qualified if:
(A) the provider has been in operation, as currently
organized, for less than one fiscal year and the provider accepts
an indirect cost rate developed by the Audit Office; or
(B) on request by the department during the selection
process, the prime provider provides written certification that the
prime provider or subprovider, as applicable, does not have an indirect
cost rate audit and will accept an indirect cost rate developed by
the Audit Office.
(8) Exemptions to administrative qualification.
(A) A non-engineering firm is exempt from the administrative
qualification requirement of this section.
(B) A provider performing a service under standard
work category 18.2.1, subsurface utilities engineering, or any of
the following work groups, as listed on the department's precertification
website, is exempted from administrative qualification, to the extent
of the service being performed:
(i) Group 6, bridge inspection;
(ii) Group 12, materials inspection and testing;
(iii) Group 14, geotechnical services;
(iv) Group 15, surveying and mapping; and
(v) Group 16, architecture.
(C) The Audit Office and Design Division may exempt
services other than those indicated in subparagraph (B) of this paragraph
on a case-by-case basis. Any request for an exemption must be received
by the Audit Office by the closing date of the solicitation.
(c) Consultant selection team (CST).
(1) The department shall use a CST in selecting providers
under this section.
(2) The CST shall be composed of the department employee
designated as the CST chair, the department employee designated as
the project manager, and at least one other department employee.
(3) At least one CST member must be a professional
engineer, for engineering contracts; a registered architect, for architectural
contracts; and either a professional engineer or registered professional
land surveyor, for surveying contracts.
(4) If a CST member leaves the CST during the selection
process, the process may continue with the remaining members, subject
to paragraph (3) of this subsection.
(d) Notice of intent (NOI). Not fewer than 21 calendar
days before the solicitation closing date, the department will post
on a web-based bulletin board an NOI providing the contract information
and specifying the requirements for preparing and submitting a letter
of interest.
(e) Letter of interest (LOI). To be considered, an
LOI must comply with the requirements specified in the NOI.
(f) Replacements. An individual proposed as a replacement
for the prime provider project manager or a task leader must be designated
in the LOI and must satisfy the applicable precertification and NLC
requirements.
(g) Long list qualification.
(1) The department may disqualify an LOI if the department
has knowledge that a firm on the project team or an employee of a
firm on the project team is the subject of a final administrative
or judicial determination that the firm or employee has violated a
statute or rule of a state licensing entity related to occupational
or professional conduct.
(2) If an LOI is not disqualified under paragraph (1)
of this subsection, the CST will screen the LOI to determine whether
it complies with the requirements specified in the NOI. Each LOI that
meets these requirements will be considered responsive to the NOI,
placed on a long list, and evaluated.
(h) Long list evaluation.
(1) Long list evaluation criteria. The CST will evaluate
the long-listed LOIs to establish a short list according to the long
list evaluation criteria specified in the NOI. These criteria may
include:
(A) project understanding and approach;
(B) project manager's experience with similar projects;
(C) similar project related experience of the task
leaders responsible for the major work categories identified in the
NOI; and
(D) other qualifications-based criteria approved by
the Design Division.
(2) Short list. The short list will consist of the
most qualified providers, as indicated by the long list scores.
(A) For single contract selections, the minimum number
of short-listed prime providers is three, unless fewer than three
prime providers submitted responsive LOIs.
(B) For multiple contract selections, the minimum number
of short-listed prime providers is the number of desired contracts
plus three, unless fewer than the desired number of prime providers
submitted responsive LOIs.
(3) Notification.
(A) The department will notify each prime provider
that submitted an LOI whether it was short-listed.
(B) The department will notify each short-listed prime
provider whether a short list meeting will be held.
(i) Short list evaluation.
(1) Interviews and proposals. The department will evaluate
the short-listed providers through interviews, proposals, or both.
(A) For interviews, the department will issue an Interview
and Contract Guide (ICG) to each short-listed prime provider. The
ICG will provide contract information and specify the requirements
for the interview. Any requirements pertaining to interview attendance
will be specified in the NOI.
(B) For proposals, the department will issue a Request
for Proposal (RFP) to each short-listed prime provider. The RFP will
provide contract information and specify the requirements for the
preparation and submittal of a proposal.
(2) Short list evaluation criteria. The CST will evaluate
the interviews and proposals according to the short list evaluation
criteria specified in the ICG and RFP. These criteria may include:
(A) understanding of the scope of services;
(B) experience of the project manager and project team;
(C) ability to meet the project schedule;
(D) prime provider's quality assurance/quality control
program;
(E) prime provider's past performance scores in the
CCIS database for department contracts reflecting less than satisfactory
performance; and
(F) other qualifications-based criteria approved by
the Design Division.
(j) Selection.
(1) Basis of final selection. The CST will select the
best qualified provider, as indicated by the short list scores.
(2) Tie scores. The managing officer will break a tie
using the following method.
(A) Interviews only.
(i) The first tie breaker will be the scores for the
interview criterion with the highest RIF.
(ii) The remaining interview criteria shall be compared
in the order of decreasing RIF until the tie is broken.
(iii) If the providers have identical scores on all
of the interview criteria, the provider will be chosen by random selection.
(B) Proposals only.
(i) The first tie breaker will be the scores for the
proposal criterion with the highest RIF.
(ii) The remaining proposal criteria shall be compared
in the order of decreasing RIF until the tie is broken.
(iii) If the providers have identical scores on all
of the proposal criteria, the provider will be chosen by random selection.
(C) Interviews and proposals, both.
(i) If the interviews are weighted at 50 percent or
more of the short list score, subparagraph (A)(i) and (ii) of this
paragraph applies. If the providers have identical scores on all of
the interview criteria, subparagraph (B)(i) - (iii) of this paragraph
applies.
(ii) If the proposals are weighted at more than 50
percent of the short list score, subparagraph (B)(i) and (ii) of this
paragraph applies. If the providers have identical scores on all of
the proposal criteria, subparagraph (A)(i) - (iii) of this paragraph
applies.
Cont'd... |
