survey: use of consultants state survey...

Survey: Use of Consultants State Survey Questions

Author: MVitale Filter: Responses Received: 45

Contact Information

Your Name: Title:Telephone Number:

E-mail Address:

Craig GreenAdministrator, Highway Design

603-271-2171

[email protected]

Thomas Lauer State Roadway Engineer503-986-3712

[email protected]

J. Michael Bennett Deputy Chief Engineer401-222-2023

[email protected]

515-239-

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Deanna Maifield Consultant Coordinator 1571 [email protected]

Mark A. Marek Engineer512-416-2653

[email protected]

chuck martin consultant coordinator501-569-2029

[email protected]

Paul P. BercichState Highway Development Engineer

307-777-4134

[email protected]

brian blanchardstate roadway design engineer

850-894-9477

brian.blanchard@dot .state.fl.us

Thomas A. HarleyManager of Consultant Design Division

860-594-3189

[email protected]

Ken SperryActing Director, Division of Highway Des

502-564-3280

[email protected]

Robert I. PrattDirector of Preconstruction

803-737-1350

[email protected]

Mark Rollo Program Manager609-530-2510

[email protected]

Scott D. Blevins, PE

State Engineering Coordinator

919-250-4128

[email protected]

Tim McDonaldDeputy Director, Production Management

614-466-8981

[email protected]

Ranjit Tharmalingam

Director, Professional Services

780-422-7672

[email protected]

Marie WaltonConsultant Services Manager

801-965-4427

[email protected]

Mike RiceDirector, Consultant Services

360-705-7102

[email protected]

Tom MartinConsultant Design Engineer

406-444-9252

[email protected]

Richard G. Adams Road Design Engineer785-296-3901

[email protected]

Chris DrdaChief, Consultant Agreements

717-783-9309

[email protected]

Keith PurvisAssistant Roadway Design Division Engr

601-359-7250

[email protected]

Nigel BlampiedChief, Project Management Improvement

916-654-5395

[email protected]

John EspieStatewide Consultant Engineer

608-267-9390

[email protected]

Dawn Y. Allyn Agreements Engineer402-479-4778

[email protected]

Ralph Rankin Project Manager573-526-0992

[email protected]

Nestor FernandezConsultant Administration Engineer

208-334-8495

[email protected]

Chief of Preliminary 217-782-



Your Name:

Cheryl Cathey Engineering 7557 [email protected]

Terry Jorgensen & Joel Gengler

Local Gov. Ass't. / Chief Rd Design Engr

605-773-5108

[email protected]

Mark A. Van Port Fleet

Engineer of Design517-373-0030

[email protected]

Tim GatzProject Management Division Manager

405-522-7600

[email protected]

Jeff ClantonConsultant Services Manager, Design

317-232-4198

[email protected]

Jim Lassiter (info for L & D Div only)

Architect/Engineer II804-786-6839

[email protected]

Jeff BrunnerDirector - Consultant Services Section

651-296-0245

[email protected]

Rand PollardAsst. Chief Road Design Engineer

775-888-7590

[email protected]

Mark S. Gaydos Design Engineer701-328-4417

[email protected]

Thomas A. DiPaolo Assistant Chief Engineer617-973-7516

[email protected]

Mitch Kumar PE III303-757-9364

[email protected]

Randy EpperlyDeputy State Highway Engineer-Developmen

304-558-6266

[email protected]

N. Kent IsraelRoad Design Engieer Administrator

225-379-1303

[email protected]

Philip Clark Director, Design Division518-457-6452

[email protected]

Don T Arkle Design Bureau Chief334-242-6164

[email protected]

Babs AbubakariState Consultant Design Enginner

404-463-6133

[email protected]

Ellen LaFayettePublic Roads/Development Engineer

703-605-4509

[email protected]

Kevin S. Marshia, P.E.

Roadway Program Manager

802-828-2664

[email protected]

Joe J.SanchezContext Sensitive Solutions Manager

505-827-5249

[email protected]

Your Name:

Craig Green

Thomas Lauer



J. Michael Bennett

Deanna Maifield

Mark A. Marek

chuck martin

Paul P. Bercich

brian blanchard

Thomas A. Harley

Ken Sperry

Robert I. Pratt

Mark Rollo

Scott D. Blevins, PE

Tim McDonald

Ranjit Tharmalingam

Marie Walton

Mike Rice

Tom Martin

Richard G. Adams

Chris Drda

Keith Purvis

Nigel Blampied

John Espie

Dawn Y. Allyn

Ralph Rankin

Nestor Fernandez

Cheryl Cathey

Terry Jorgensen & Joel Gengler

Mark A. Van Port Fleet

Tim Gatz

Jeff Clanton

Jim Lassiter (info for L & D Div only)

Jeff Brunner

Rand Pollard

Mark S. Gaydos

Thomas A. DiPaolo

Mitch Kumar

Randy Epperly

N. Kent Israel

Philip Clark

Don T Arkle

Babs Abubakari



Title:

Ellen LaFayette

Kevin S. Marshia, P.E.

Joe J.Sanchez

Title:

Administrator, Highway Design

State Roadway Engineer

Deputy Chief Engineer

Consultant Coordinator

Engineer

consultant coordinator

State Highway Development Engineer

state roadway design engineer

Manager of Consultant Design Division

Acting Director, Division of Highway Des

Director of Preconstruction

Program Manager

State Engineering Coordinator

Deputy Director, Production Management

Director, Professional Services

Consultant Services Manager

Director, Consultant Services

Consultant Design Engineer

Road Design Engineer

Chief, Consultant Agreements

Assistant Roadway Design Division Engr

Chief, Project Management Improvement

Statewide Consultant Engineer

Agreements Engineer

Project Manager

Consultant Administration Engineer

Chief of Preliminary Engineering

Local Gov. Ass't. / Chief Rd Design Engr

Engineer of Design

Project Management Division Manager

Consultant Services Manager, Design

Architect/Engineer II



Telephone Number:

Director - Consultant Services Section

Asst. Chief Road Design Engineer

Design Engineer

Assistant Chief Engineer

PE III

Deputy State Highway Engineer-Developmen

Road Design Engieer Administrator

Director, Design Division

Design Bureau Chief

State Consultant Design Enginner

Public Roads/Development Engineer

Roadway Program Manager

Context Sensitive Solutions Manager

Telephone Number:

603-271-2171

503-986-3712

401-222-2023

515-239-1571

512-416-2653

501-569-2029

307-777-4134

850-894-9477

860-594-3189

502-564-3280

803-737-1350

609-530-2510

919-250-4128

614-466-8981

780-422-7672

801-965-4427

360-705-7102

406-444-9252

785-296-3901

717-783-9309

601-359-7250

916-654-5395



E-mail Address:

608-267-9390

402-479-4778

573-526-0992

208-334-8495

217-782-7557

605-773-5108

517-373-0030

405-522-7600

317-232-4198

804-786-6839

651-296-0245

775-888-7590

701-328-4417

617-973-7516

303-757-9364

304-558-6266

225-379-1303

518-457-6452

334-242-6164

404-463-6133

703-605-4509

802-828-2664

505-827-5249

E-mail Address:

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

brian.blanchard@dot .state.fl.us

[email protected]

[email protected]

[email protected]

[email protected]



[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

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[email protected]

[email protected]

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[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]

[email protected]



If you selected "Other" to the preceding question, please explain in the text area below.

Services supporting A&E projects - i.e., Public Involvement; Training (e.g., Negotiations; Micro Station); Mediation

Archetectural studies and design of rail and transit facilities.

Structural design, sanitary sewer design, etc associated with our rest areas.

There is very little in the way of engineering activities for which the Department does not engage consultant services.

Public Involvement and Outreach

Value engineering, project support (maintenance of databases, scheduling systems, Procedures manual, etc.)

We currently have 26 Work Disciplines which include areas such as Training, Public Involvement, Bridge Management, Structures (Major and Minor), Visualization, Research Studies, Intelligent Transportation Services, Information Technology Services, Operations Training.

Electrical design (Signals, lighting, ramp meters, etc.)

Hazardous Materials, Historical, Infrared Deck Survey, In-Plant Inspection, Intelligent Transportation Systems, Intelligent Transportation Systems, Training, Value Engineering

Intelligent Transportation Sysytems Building Design Building Inspection



Constructability, Railroad Design, Utility Design, Quality Control/Quality Assurance, Hydrology/Hydraulics

Construction Inspection for bridge painting contracts only.

Construction claim review.

Planning Studies, Public Involvment

other-Louisiana has used consultants to do IT work for the Department.

Hazardous Material Investigation Architectural ITS Electrical

1) SUE-Subsurface Utility Engineering 2) Drainage Engineering Support Services 3) Hazardous Materials Investigations a)ISA-Initial Site Assessment b)PSI-Detailed Site Assessment c)DSI-Detailed Site Assessment 4) Engineering Technical Support Services During Construction ( RFI's, Design Clarifications, Review of COntractor proposed Cost Savings, Review of Contractor Traffic COntrol Plans, Specialized Inspection Services for Special/Complex Designs to COnstruction like Post Tensioning Inspection



Based on your answer to the preceding question, please explain in the text area below.

Due to budget problems we are not able to hire new employees

a limit on the size of the State workforce

We cover everything we could with internal staff and use consultants to cover peak workloads or specialty work.

In-house staff capped.

Would staff up to the extent allowed & make up the difference with consultants.

no other choice since we cannot hire more in-house staff

The Department is committed to employing a staff with actual design experince so if the opportunity presents itself, the Department will expand in-house capabilities as well as hire consultants.

We have difficulty hiring in house staff so we would utilize more consultants if we receive more dollars.

Statutory limits on permanent in-house positions

Political and budget realities may constrict the amount of additional in-house design staff which could be added. It may be possible to divert staff from other duties, however.



We are having difficultly filling vacancies in -house.

ODOT staff limited to 6031 by agreement with legislature

ALL of our engieering services are provided through consultants and increase in budget will be delivered in a similar fashion.

FHWA Oversight Responsibilities do not decrease, therefore we would need to maintain UDOT Staff as well as qualified consultants.

The department maintains a steady level of state employees in the highway construction program. In most cases, we would add consultants to meet the peak workload. If the increase was over a long time period, we may consider adding in-house staff.

We largely use consultants as our overflow valve when developing projects. However, certain types of projects, such as those involving significant public controversy or upper level environmental documents (ie EIS or EA) always go to consultants.

Skilled design staff are needed to manage and guide our consultants and to coordinate with other in-house functional units. Consultants act as an extension of our staff.

PennDOT maintains a certain level of employees with Consultants Assigned to address peak volumes of work

In short-term we would us more consultants, based on time required to develop/train. In long-term, try to hire more in-house.

The Department proposes a mix of in-house and consultant resources for each fiscal year. This is often amended by the legislature during the budget process.

If the increase were minor, WisDOT would likely hire more consultants. If the increase were very large, a combination of Consultants & In-House Staff would likely be hired.

Cannot hire any more in-house staff

The current political environment will not allow increasing MoDOT staffing levels.

We do not have the necessary staff to absorb an increase.

Govenor's directive to keep state head count low.

Inflationary costs and larger projects costing more will absorb most of the construction increases envisioned for the future.

Limit on number of inhouse staffing. Only method to increase production is with consultant services. Prefer to do design with our own staff.

ODOT has a target TO of 2450 FTEs and we are currently at the target.

The answer to the above question is unknown at this time due to a very recent administration change that is interested in considering additional staffing.

Unless management approved and budgeted for the hiring of more in-house staff, we would have to out-source to consultants

Additional construction budgets would probably lead to some in-house staffing increases. However, I suspect the majority would be handled by consultants.

The majority would be consultants since it is our most efficient way to manage/balance peak workload. Also, new in-house positions require Nevada Legislature approval, which is typically difficult and untimely.

In-house staffing levels are determined legislatively.

Hiring additional in-house staff is always desirable for cost and quality reasons, but our operating budget is generally reduced or even-funded each year. We must also deal with FTE caps. We can hire consultants with capital funds. Capital funds are generally more available than operating funds.

Due to staff limitations imposed by management or legislation.



It is difficult to increase staff for a short time period to address peak demand times.

We would have to hire more in-house staff to supervise the consultants that we might hire,

To maintain a 50/50 plus or minus Inhouse - Consultant split

Difficulty of hiring and developing in-house staff in a short time period

We will need more consultants to provide services and In-House to manage these projects

Our annual appropriated road budget has been in downward trend for quite sometime. Unless the increase was permanent it wouldn't make sense to hire more staff. Contract preparation and administration is very difficult now.

Increases in funding would need to balanced with available in-house staff and workload. Our Agency is currently looking to reduce costs with both in-house and consultants, so it would depend on the position of the Govenor's administration.

NMDOT is not fully staffed and would have to hire anyway NMDOT would have to supplement MH capacity through Consultant Services



"Comment" responses:

Unit cost is other.

We use negotiated hours and audited rates

Design-Build

Lump sum fee is expected up to tendering phase. Construction phase is paid by hourly rate depending on the constractor's production.

5% Unit Price Contracts and 1% Hourly Rate Contracts

"hourly rate" = "Specific Rates of Compensation"

cost per unit of work (< 5%)

Hourly Rate contracts are limited to $100,000 in professional services and are paid with state funds. All other contracts are Cost Plus Fixed Fee. We do not use lump sum contracts.

Unit Cost

Direct Labor Multiplier= 2.8 times labor + direct costs

Some hybrid contracts with multiple fee types.

Cost per unit of work

Indefinite Quantity/Indefinite Cost- but negotiated by task assignement on a negotiated FLR and direct expenses




see # 24

In development for A&E Contracts

We have an informal procedure and are working on a formal policy.

see above

Not currently.

850-414-4792, contact ken leuderalbert

see previous question

Construction projects addressed in SCDOTs Standard Specifications for Highway Construction, Edition of 2000. States that all unacceptable work shall be removed and replaced in an acceptable manner. Contractor or contractor's surety bears the cost.

see #24

it is spelled out in the contract

http://www.dot.state.oh.us/CONTRACT/Consult/ContractAdmin/cca11.pdf

Most of our Errors and Omissions are linked to quantity issues. However, we are in the process of creating change order categories to help us track E&O occurrences linked to design work.

When errors or omissions are suspected/identified our consultants are to be notified and are to participate in defining a solution. Consultants are held accountable for any additional cost incurred as a result of the error or omission.



PennDOT construction standards say that a contractor will fix if not built to specifications.

"Article X"

Standard contract language available on request.

comments in the attached word document

Handled on a case by case basis.

Construction Manual - http://www.itd.idaho.gov/manuals/Downloads/CA.htm

Retainer Contract attached to Email message

Currently in process review.

http://www.dot.state.mn.us/consult/files/internal/gterms.doc

Not formal procedures. Our errors and omissions policy is typically just included in our standard agreement language. Also, during the procurement process, a consultant's "past performance" score may be impacted by past errors and omissions.

See 24 above

We hold contractors and consultants responsible for their work.

Our Procedure is in draft form




see above

In development for A&E Contracts

see above

2)We make every effort to work with the consultant to investigate and resolve the issue(s) and we seek reimbursement from the consultant, when justified.

see #24

http://www.dot.state.oh.us/CONTRACT/Consult/ContractAdmin/cca11.pdf

Same as question #25?

"Article X"

same questions as 25

Handled on a case by case basis.

Same as previous question (No 25)

Retainer Contract attached to Email message

http://www.dot.state.mn.us/consult/files/internal/gterms.doc

Same as above.

See 24 above

We hold contractors and consultants responsible for their work.



?



Please describe your experience, if any, with reimbursement from consultants who have committed errors and/or omissions.

They did help with the input to resolving the error/omission and were willing to pay for the additional costs.

True errors happen very rarely and it becomes a difficult legal issue. Omissions are easier in that we would have had to do the work anyway and as long as the price from the contractor is less than or equal to our Weighted Average Prices used for estimating projects then we don't expect the consultant to pay for the omission.

We have sought reimbursement for hours worked by the consultant, hours worked by DOT staff and increased construction costs. Reimbursements have been from a few hundred dollars to over $100,000

Okay.

No experience in getting reimbursement. Most of errors are handled informally during review.

None

we have collected from consultants or received in kind services. we use a threshold of anything greater than 10K of premium cost (no value added cost)

Mixed results. There is often shared responsibility (state & consultant)for some aspect of the



error/ommission that negates our ability to recoup the cost implications. Furthermore, the liability coverage doesn't adequately cover the costs of the more significant E&Os. Furthermore, agressive pursuit of E&O issues as well as increased coverage limits, increases rates that ultimately come back to the owner in the design fees.

I am not aware of any.

In those few cases where errors/omissions have occurred, the consultant has acknowledged the error/omission and promptly made appropriate reimbursement.

Reimbursement in the form of checks has been received. However, many consultants have stalled, requesting to perform audits of the costs involved, questioning the amounts involved, disputing figures, etc. after initially agreeing to responsibility.

a few cases, mainly related to structure design. the firm reimbursed the department for all or a portion the cost to remedy the error

the department has collected more than $2,000,000 in settlements over the last 6 years

We have recovered cost from approx. 2 engineering assignments in the past year. And also 2 more under review.

To date, we have not collected from Consultants due to the fact that we had an Owner Controlled Insurance Program in place prior to two years ago. We relied on our insurance provider to follow through for the DOT.

We utilized the procedures outlined in the consultant services procedures manual. After both sides presented their side of the story, the committee determined that the consultant had made an error and the department collected the money. There are numerous steps before the final committee and the process has worked well over the years.

We consider ourselves as being very effective in recovering costs associated with major errors or omissions. The press of other work may result in no action to recover. Good or poor overall consultant performance is to be documented as one consideration in the consultant selection process.

Design errors rarely make it to the final stages of discipline. Negotiations usually occur to resolve the issue.

Handled by Legal Division.

Very little experience.

Refer to comments provided to questions 24 & 25 above.

A firm was billed for the reconstruction of an intersection that could not accommodate the design truck turning. Several times firms redesigned a feature at their expense.

We have had some good and some poor experences. Some consultants have admitted that they made a mistake and paid damages. Others have fought the claim that they made a mistake with every legal tactic they could use.

Local Government (LGA) - Construction oversight and 2 design flaws plus 1 or 2 of each on the State highway projects. See Email message.

The Michigan Department of Transportation has recovered over 8 Million dollars for errors or omissions from Design firms. These costs were additional cost MDOT paid as a result of the error or omission.

Errors and/or omissions reimbursements are pursued to an approved settlement and resolution.

We have billed consultants and have been reimbursed several times for additional costs associated design errors.

Total amount of construction work orders, delay of contract claims and overhead claims were determined. Negotiated with professional liability insurance company of consultant for a final settlement which was approximately half of the initial claim



It may be handled different ways: 1) Consultant is directed to leave all hours associated with correcting error/omission off of invoice; or, 2) That portion of consultant's invoice related to error/omission is disputed and not paid; or, 3) The cost of error/omission to the department is deducted from consultant's next invoice (this may also include construction costs associated with error/omission). All of these methods have been used effectively on past projects.

NA

Limited. Generally have them reimburse us with comparable services under another contract or by withholding payments for new services under another contract. Consultants have been agreeable to procedures.

During construction when a consultant error is discovered the consultant had to correct error at their own cost.

Our experience has been very good and the consultanting industry has been very quick to act and have performed in a very professional manner.

I can only think of one project where construction costs were charged to the consultant for a plan error, however there have been several projects where payment has been withheld due to unsatisfactory performance.

Very limited use by the Department. This is due to ack of guidance on the application of the errors and ommision clause and indequate documentation by the Department's staff.

We have successfully pursued E&O payments through negotiaiton. Most firms do not wish to file with the Insurance Carrier and if the preponderance of evidence is strong, they will pay a cash settlement. The NMDOT has recieved cash ( check) reimbursements ranging from $50 k to near $200k




Consultant Selection and Contract Negotiations processes typically facilitated by Procurement Office Specialists

One full time selection coordinator. There are "standing" selection panels called upon to go thru the project specific selection process. The selection and negotiations panel work is a secondary responsiblity for staff.

We have a consultant selection committee comprised of a pool of in house professionals with a governor appointed pool of outside representation (usually a retired in house engineer and it only holds one spot of the committee of five)

The process is coordinated by a permanently assigned centralized staff (of 4 persons) with substantial assistance from centralized staff (secondary responsibility) from the office seeking consultant assistance.

On call consultants are available to in-house design teams to support their efforts.

Consultant Services has oversight of all of these functions. However, we rely on our Region Project Managers and Project Selection Team Members to help with these tasks.

Consultant Selection handled by team selected by C.E. on each project.

Negoitiation is by Permanently Assigned Centralized Staff advised by District Staff for whom this is a secondary responsibility

Advertising is done by Permanently Assigned Centralized Staff. Document preparation is done by permanently assigned district staff. Document processing is done by Permanently Assigned



Centralized Staff.

Local Gov't select the consultant; PE - central office; CE field offices;

For procurement we have a combination of premanent centralized staff and a secondary responsibility of District Staff.

Typically, a team effort by our Agreement Services Section, Consultant Management Section, and Project Management Division (all located at headquarters).

We use a central office selection committee

As part of the Department's reorganization process, the Office of Program Delivery has been established to handle these funtions at a centralized office in the Headquarters

Contract Negotiations- CSS Manager performs or leads this effort. Manage Consultnats is a mix of permanently assigned staff and as a secondary responsiiblity of other staff. This mix is an result of NMDOT Reorganization as previously dedicated staff




On-call Agreements to Agree (ATAs)

On-call contracts are available for Emergency engineering, in-house design support, design of smaller, fast-track projects, concept development/feasibility assessment

Our General Engineering & Local Government Pool is and IDIQ Pool. These projects are for $250k or less cradle to grave. However, we have Consultant Caps/Limits for this two year period of: 1) UDOT Work = $750k and 2) LG Work = $600k.

Limited to $100,000 in professional services per Job Number.

For certain types of work

We are considering on-call contracts.




Pre-qualification program in development for A&E Contracts

Not yet an option.

I'm not certain, I believe we require paper

Multiple hard copies are mandatory.

We do not have this technical capability at this time.

At this point, we have not had any firms wanting to send qualifications electronically. However, we are moving in that direction in the near future.

We are not setup for electronic submittal

Not used at this point in time

Unable to currently accept electronic formats, however, we intend to initiate in the future.

We are investigating the use of this.

Security issues related to providing access to our computer system seems to be the issue.

signatures required

I think we must due to e gov

Just recently implented electronic submittal



Describe how Disadvantaged Business Enterprise (DBE) requirements are utilized as evaluation criteria to either pre-qualify a prime consultant or to rank competing proposals prior to selection.

We check to see if a consultsnt has included provisions for hiring DBE's in their proposal.

Proposing Consultants are required to include commitment to designated DBE milestones / percentages in proposals; this includes citing DBE sub-contractors they intend to utilize

RIDOT sets DBE goals for each project. A prime consultant must attempt to meet the goals for a project usind certified DBE sub-consultants.

DBE requirements would be considered by the management team who provides the final ranking of the top candidates. If the DBE firm was among the top candidates, they may be moved to the top position.

Have to meet DBE or not considered.

We have statements discussing DBE and if goals are applied we would consider them as applicable.

A DBE firm, which we have few of, is ranked higher in that category making it overall easier for them to be selected.

we only have a voluntary goal of 8%. It must be addressed in the proposal, but it isn't part of the



grade

No DBE requirements for prequalification. Proposed DBE subconsultants would be considered as part of the selection of the prime.

We will typically require a percentage DBE on federal projects. The consultant is responsible for utilizing a DBE firm for that percentage of work. They have to submit who they are going to use with the proposal

Past performance in utilizing DBEs and DBE utilization in the current proposal are two of the evaluation criteria used to rank consultant proposals.

Prospective designers are advised of the DBE goal for the project prior to their expressing interest. The selected designer is required to adhere to this goal as well as possible. Otherwise it is not considered in the selection process.

the firms get additional consideration during selection if they are DBE or they use a DBE sub

DBE firms are awarded additional points in the selection rating criteria

N/A

In Consultant Services we have our Title VI Plan that we are using as a tool to be more proactive in helping Consultants choose subs that are of DBE status. However, our selection process does not require nor reflect an advantage if a DBE is part of the team. We currently only have 3 firms qualified as DBEs.

We do not utilize DBE evaluation criteria during the proposal process. The DBE goal is determined during the contract phase.

All DBE requirements are fulfilled in the contruction portion of our programs.

all agreements have a 15-16% DBE mandatory goal

The legal notice will give the minimum % of DBE that must be utilized.

Consultants must meet DBE goals or make a good-faith effort to do so. If no Federal funds, there is only a DVBE (disabled veteran) goal.

A firm? s status as a disadvantaged business enterprise or the % of a contract assigned to a DBE firm via a sub-contract is not a component of WisDOT? s selection criteria.

Not used. It is met in Construction contracts

A DBE goal is established before a consultant is selected. The consultant must hire firms sub-consultants to meet the DBE goal.

DBE participation is set on a project by project basis. It is a requirement and not a selection criteria.

State has a Unified DBE process. We verify the firm is registered as a DBE.

not an issue

Not needed for prequalification Not part of the selectio although are established

In most instances a contract specific criteria is not utilized in either the prequalification or ranking process. We have recently begun to formally monitor our DBE participation programmatically and the results will determine if further steps need to be taken to provide contract specific consideration.

For contracts with a specific DBE goal we review the DBE plan to verify that good faith efforts have been made to meet the goal. If good faith efforts are demonstrated the proposal is considered in the pool for selection consideration. If good faith efforts are not shown the proposal is disqualified. This is a pass-fail test and a part of ranking firms.

DBE participation is always encouraged and is a scoring criteria if the project uses State funds only. With Federal funds it may or may not be a scoring criteria as we're still fine-tuning our DBE program with the Feds



Describe the techniques or approaches your Department uses to encourage and achieve DBE participation across the entire program and on individual contracts.

DBE requirements are not used for pre -qualifications. Pre-qualification is dependent on the consultant meeting minimal qualifications for the work type applied for.

DBE requirements are stated in each RFP announcement. The prime's proposal must include his approach to meet the DBE goal established for the project. During negotiations, if the prime selected for the project does not demonstrate that he can meet the DBE goal, the department may choose to select the next firm on the list.

Currently, developing DBE procedures.

Not a factor for ranking. Firms competing in RFQ/P selections can be disqualified for not meeting requirements. Not a factor on direct-selects.

Requirement is 10%.

Consultants must identify any DBE firms and the work they will perform as part of thier letters of interest. This is considered in the selection process.

Prime consultants receive bonus points to include DBE subconsultants on the team. Current statewide goals for D/W/MBE is 18%

We meet DBE $ goals on construction projects so they DBE status rarely enters into the consultant selection process

Typically most projects that are federally funded has a 12% DBE goal that a firm must demosntrate how the plan to acheive this goal in the statement of qualifications

We meet federal minimums

We no longer use DBE requirements to pre-qualify or select a consultant

Per FHWA, for Fed Funds- Race Neutral and does not play a scored role in selection

we encourage consultants and contractors to meet Department goals.

No formal program beyond what is described in response to question #41

RIDOT has an active DBE outreach program.

On some individual contracts, we set goals and the consultant is responsible for meeting the goal. If they do not and cannot demonstrate good faith effort, their payment can be reduced. On the entire program, we produce reports each year calculating the percentage of DBE use.

See 41.

We have standard language in advertisements and scopes

Across the entire program--very limited number of DBE firms.

The Dept has DBE Cmte that establishes a program wide goal based on work force statistics. The Cmte is also responsible to establish goals for all individual contracts.

We have an Office of Business Development (used to be Office of Minority affairs)that determines whether a firm is a DBE. We then require certain percentages on contracts (both design & construction) to utilize DBE firms.

Each advertisement for consultant services includes language "strongly encouraging" DBE utilization; and past and present DBE usage are two of the criteria used to rank proposals.

We use a blanket goal of 12% on Federal for Emerging Small Business Enterprises. No State goals are used at this time.

we recently created a minority affairs person and the Secretary created a new committee to



monitor the department

Additional selection factor points are awarded for DBE participation

N/A

Consultant Services is proactive about working with Community Services, Small Businesses, Municipalities educating them on how to get business with UDOT. We offer 1 hour meetings with those firms and individuals to assist them in the paperwork process of submitting an Statement Of Qualifications. We also help link them to the Prime Consultants so that they can market their qualifications to them also.

We utilize DBE media, have contacted the Office of Equal Opportunity to work with them in getting the ad to DBE firms. The actual DBE goal is determined on a race-conscious basis on specific projects after the consultant has been selected and the scope of work has been determined. This is accordance with our DBE plan. On the on-call agreements, all DBE participation is on a race-neutral basis.

N/A

Manditory DBE goals on every project

Civil Rights Division handles this.

Each contract has a DBE or DVBE goal, expressed as a percentage of dollar cost. The Department provides outreach assistance to help firms locate qualified DBEs and DVBEs.

Currently, any federally funded contract for engineering or design related services with an estimated contract value > $400,000 requires 20% participation by a DBE firm. If the prime consultant is unable to fulfill that requirement WisDOT will proceed to negotiate a contract with the 2nd ranked firm.

USDOT just approved the Missouri Unified Certification Process, which will increase our DBE Database. Hold various conference and workshops throughout the year for technical support for DBEs. Developed Step-by-Step process for "Doing Business with MoDOT." Where feasible, unbundling large contracts to make them accessible to small businesses. Encourage prime contractors to subcontract portions of work normally done by their own forces, when subcontractors submit a lower quote. Selecting solicitations, times for the presentation of bids, quantities and specifications, and delivery schedules to facilitate DBE and other small business participation. Provide technical assistance and other services to increase the number of DBEs competing in the highway industry. Provide assistance in overcoming limitations that prohibit participation in the industry, such as inability to obtain bonding, financing, etc. DBE newsletter that discloses upcoming DBE contracting opportunities, training classes in business management, etc. Implement a DBE supportive services program to develop and improve immediate and long-term business management skills, record keeping, and financial and accounting capabilities for DBE? s and other small businesses. Print and distribute DBE directory.

We establish DBE particiaption on each RFP based on size and work required.

Break larger projects into smaller projects. Set a DBE goal on projects.

DBE attainment is accomplished across the entire progam. Either a race neutral(R/N) or race conscious (R/C) goal is set on each contract.

program goals

We specifically cite and provide information related to the DBE program and our identified DBE firms in all of our solicitations. In addition, we make every attempt to grow our pool of qualified DBE professional service providers through the outreach efforts of our Regulatory Services Division.

We set goals for major projects, we make efforts to select qualified DBE firms as prime consultants and we require demonstration of good faith efforts to utilize DBE firms for all work that is sub-contracted.

We state in our RFP's (RFQ's)that a certain % of DBE participation is desired and is a scoring



Please describe any methods your Department utilizes to expedite the Notice to Proceed issued to consultants.

criteria OR that we feel the project supports it but is not a scoring criteria. In either case we always get the % stated

Current techniques include: setting DBE goals on individual projects, sponsoring training classes, sponsoring mixers/events to introduce DBE's to primes, and summarizing DBE services on website.

See #41

Use a mandatory percentage of work (for DBE subconsultant) as part of a contract awarded through an RFQ/P process. On direct-selects, we select DBE firms as prime consultants.

For each individual project EEO sets goal.

DBE participation is one of the itmes that are considered in selection.

18% goal applies to each project. It works very well. Our participation across the program routinely meets or exceeds the goal without additional encouragement.

We require a 12 % goalin most of Request for Qualifications and we review the fee proposal to ensure a DBE firms(s) and dollars for each firm is included in the design team.

We have database of firms and sontact them

Encourage the use of DBE's in RFPs. Provide training to DBE's on selection and contracting process.

I do not think we actively encourage- it is voluntary so long as we meet the annula program goal- if we do not meet the annual program goal, our Offcie of OEOPB can stipulate a set aside contract for DBE firms only

none

Procurement Office notifies Contract Administrators via email as soon as Contracts are signed / executed, advising Contract Administrator that Notice to Proceed (NTP) can be issued

After fee negotiations are complete, the section supervisor sends a "notice to proceed" letter.

None.

only informal methods

Use a verbal notice to proceed especially on change orders with an amended fee proposal in a fixed time period.

As a rule, there is no short cutting the selection, fee negotiations and agreement/contract procedures. Methods to expedite involve prioritizing work loads. Early NTP is at the consultant's risk because ther is no contract.

On a case-by-case basis, we may issue a limited notice to proceed (letter) with a not-to-exceed funding cap in order to expedite surveys, mapping, or other specific tasks while the contract is being finalized. Invoicing/payment would not occur until after the contract was executed or negotiations terminated.

This is usually made verbally by the Project Manager once an agreement is executed, followed by a written notice.

interim agreements are used prior to negotiation of fee

Verbal notice of award. The next step is to sign the agreement.

We use email as our first notice. We follow that up with a Letter and the Executed Contract. We



do not do verbal NTP's anymore.

The on-call agreements have allowed the department to access the consultants in a very short time frame. We notify the regions and the consultants when they are ok to perform work under these types of contracts.

Verbal or e -mail documented conversation followed later by a written notice to proceed are used often on the extension of or change of an existing contract. This practice is not used on new agreements. These are provided in written documents.

Have an electronic system called ECMS to speed up delivery

We draw up the contract and get all necessary signatures, process all paperwork in a timely manner in order to expedite the notice to proceed letter

Work cannot begin until the contract is fully executed.

WisDOT has recently changed from a monthly solicitation schedule to a quarterly solicitation schedule. In addition, a proposed department-wide reorganization will centralize consultant contract negotiation and administration in regions. These changes are expected to improve the coordination of selections on a statewide basis, enhance efficiency, and provide more consistency statewide.

E-mail approvals and notifications. Provide NTP before agreement has been officially signed

E-mailing, faxing or giving verbal NTP's. In a few instances we have issued pre-NTP's.

Start-up agreement--a contract signed immediately after negotiations for 20% of the negotiated $ up to $249,000. THe firm can then begin work while the prime agreement is being processed. Not done on Federally funded projects.

Electronic data transfer followed by paper with signature.

Audit at prequalification Use of Indefinate Service Contracts

Preliminary detailed contract development and preparation is conducted prior to the approval and execution. Early communication of the contract specifics with stakeholders assists in expediting the signature and NTP process.

We have occassionaly used cost-plus zero fee start-up contracts to cover services that need to be initiated immediately. In these situations we work concurrently to negotiate the scope and fees of a prime contract that replaces the start-up contract and provides for negotiated profit for the start-up activities. We do not, however, compensate for the cost of development of the scope and fee development.

We still issue a written NTP but notify the consultant by phone, fax or e-mail as soon as the contract is executed

None.

Currently investigating methods to streamline the entire procurement process to give our consultants an NTP ASAP. Please let me know if you would like me to e-mail you this extensive list of focus areas.

NA

Standard workhour estimate template expedites fee negotiation process. Full time staff dedicated to preparing contract documents and processing through programming/approval process. Direct-select process saves many months normally needed to advertise, receive and evaluate RFQ/Ps.

Notice to Proceed is e-mailed to the Consultant and followed up with an original by certified mail.

The Department can utilize a letter of intent to expedite the NTP.

They are advertised on our website

We use verbal, email and followed by formal letter.

All selection committee meetings are signed by the Secretary of Transportation; if a NTP is needed prior to contract execution, the minutes will include the request for the early NTP.



We typically monitor where a contract is at in the internal review process and will gently remind staff to continue processing a contract.



Generated: 3/2/2005 8:55:54 AM



survey: use of consultants state survey...

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