Mn/DOT CS Pre-Qualification

Best Practices Review

August 19, 2002

Slide 2August 19, 2002

Agenda

• Best Practices research plan & subsequent adjustments

• How we determined Best Practices • Results of Best Practices Review

– The States with best practices– Overview of work-paper index

• Best Practice Findings for:– Work-type definitions– Work-type qualification criteria– Process of creating a Pre-qualification List

Slide 3August 19, 2002

The July Plan

• Research 13 states preliminarily identified for best practices in pre-qualification; 8 states identified for best practices in consultant evaluation. Complete the question-set for all.

• Do research primarily on the Web with subsequent follow-up telephone calls as needed.

• Conduct ALL best practice research before defining Mn/DOT’s processes and implementing Wave 1.

Slide 4August 19, 2002

Adjustments to July Plan

• Focused research effort on the Web to obtain – Pre-qualification process documentation;– Work-type definitions– Work-type pre-qualification criteria

• Focused analysis effort on Wave 1 work groups.• Deferred follow-up telephone calls• Deferred research into Best Practices for using a Pre-

Qualified list and doing consultant evaluations.

To meet the 9/3 deadline, the Phase 2 Best Practice research has become a parallel activity with Phase 3. That makes it “messier”, but

doesn’t endanger achievement of the project’s objectives.

Slide 5August 19, 2002

What is “Best Practice”

• Theory: Process Maturity– Five Levels of Process Maturity

• Refer to: Process Maturity Article on L&C Web Page

• Application of theory focused on:• Criterion 1: Documented addresses the extent to which an organization’s

processes are documented. The least mature state of documentation maturity is one in which processes typically are ad hoc, perhaps even chaotic. . . Alternatively, in the most mature state, written documentation is not only consistent throughout the organization, it is an intrinsic element of the process itself.

• Criterion 2: Practiced criterion addresses the consistency of process performance. In the least mature state, processes are practiced in an ad hoc or, at best, intermittent manner. By contrast, the processes of a more mature organization are practiced consistently and throughout the organization

Slide 6August 19, 2002

Best Practice StatesDOT Pre-Qualified System Post Selection

Evaluation

1. A lberta √ √

2. Ar izona √ √

3. Colorado √

4. Florida √

5. Georgi a √

6. Iowa √

7. Kansas √ √

8. Louisiana √

9. Massachusetts √

10. Michigan √

11. Nevada √

12. New Brnswck. √

13. New Mexico √

14. Ohio √

15. Ontario √ √

16. Texas √ √

count 13 8

Slide 7August 19, 2002

Introducing Workpaper Index

• Refer to Attached Document

DOTdatabase.xls

Slide 8August 19, 2002

BP: Work-type Definitions

• Work type definitions are clearly delineated from the qualifications required to perform the work. (i.e., A work type is not defined by the required qualifications) (Georgia, Kansas, Florida, Iowa, Ohio)

• Work types are specifically assigned to a functional entity or individual who is referred to as the “owner”.

(Iowa)• Work types are defined systematically and

comprehensively, often consistent with the DOT’s internal organization. (Kansas, Iowa)

Slide 9August 19, 2002

BP: Work-type Definitions (2)

• Work type definitions are a part of the formal pre-qualification process documentation. (I.e., a section within or an appendix to the formal procedure or rule) (Georgia, Florida, Iowa, Ohio)

• Work types are defined at the departmental activity level, not the task level.(Georgia, Kansas, Florida, Iowa)

• Work types are defined in terms of process outputs. (Georgia, Kansas, Florida, Iowa, Ohio)

Slide 10August 19, 2002

BP: Correlation with Mn/DOT

Phase WG # Work Group # of MatchesI 1 Project Development/ Preliminary Design 6

I 2 Highway Design 16

I 3 Bridge Design 19

I 4 Bridge Inspection 14

I 5 Environmental Sudies 20

II 6 Materials Testing 19

II 7 Transportation Planning 19

II 8 Communications/Market Research 0

II 9 Mechanic Training 0

II 10 Architectural Design 7

II 11 Right of Way Assistance 8

II 12 Landscape Architecture 11

II 13 Land Surveys 23

III 14 Cultural Resources 4

III 15 CEI/Contract Administration 9

III 16 Right of Way Appraisals 9

III 17 Asbestos Abatement 1

III 18 Sewer Video Inspection 0

III 19 Pre-Construction Project Management 0

III 20 Traffic Engineering 19Multi-modal 34

Total matched 238 of 246 possible

Slide 11August 19, 2002

BP: Correlation with Mn/DOT

Sum of count BP State

Mn/DOTWork Group Correlation 1. Georgia 2. Kansas 3. Florida 4. Iowa 5. Ohio Grand Total

Asbestos Abatement 1 1

Cultural Resources 1 1 2 4

Project Development/ Preliminary Design 2 2 1 1 6

Architectural Design 1 1 1 4 7

Right of Way Assistance 8 8

(blank) 2 3 3 8

Right of Way Appraisals 6 1 2 9

CEI/Contract Administration 1 1 3 4 9

Landscape Architecture 5 4 1 1 11

Bridge Inspection 1 4 4 3 2 14

Highway Design 6 2 3 3 2 16

Bridge Design 4 4 4 5 2 19

Materials Testing 4 3 6 4 2 19

Traffic Engineering 3 2 6 4 4 19

Transportation Planning 5 7 5 2 19

Environmental Sudies 2 3 7 8 20

Land Surveys 8 4 4 7 23

Multi-Modal 14 9 11 34

Grand Total 59 49 44 62 32 246

Slide 12August 19, 2002

BP: Qualification Criteria

• Qualification criteria are defined for each work type defined.(Georgia, Kansas, Florida, Iowa, Ohio)

• Qualification criteria are focused on the technical requirements of the work type.(Georgia, Kansas, Florida, Iowa, Ohio)

• Technical requirements are defined to include– Description of the professional staff

(I.e., “a registered engineer… with proficiency”)(Georgia, Kansas, Florida, Iowa, Ohio)

– Capacity (I.e., “at least two engineers…”)(Georgia, Kansas, Florida, Iowa, Ohio)

– Past record and experience of the Firm(Georgia, Kansas, Florida, Iowa, Ohio)

Slide 13August 19, 2002

BP: Qualification Criteria (2)

• The experience of “individuals” (used to satisfy “staff proficiency” requirements) is separated from the past record and experience of the Firm. (Georgia)

• Submittal requirements are defined separately from qualification requirements. (Ohio)

• Quality assurance (QA) and quality control (QC) requirements are uniquely identified. (Ohio)

• Administrative qualifications are uniquely identified. (Georgia, Kansas, Florida, Iowa, Ohio)

Slide 14August 19, 2002

BP: Process to Create the List

• A formal documented process exists to create and update the list. (Georgia, Florida, Iowa, Ohio)

• The process is always open. (Georgia, Florida, Iowa, Ohio)

• The pre-qualification expires. (Georgia-3, Florida-1, Iowa-1, Ohio-2)

• Administrative pre-qualification criteria (separate from technical criteria) are predefined and documented. (Georgia, Florida, Iowa, Ohio)

Slide 15August 19, 2002

BP: Process to Create the List (2)

• Forms are a part of the documented process(Georgia, Florida, Iowa, Ohio)

• Selection Committees are pre-determined (Georgia, Iowa)

• A formal appeals process exists and is documented. (Georgia, Florida, Iowa)

• A proactive DBE policy/process exists and is documented (Iowa)