Local Agency Program Professional Services Checklist Training - - PowerPoint PPT Presentation

Local Agency Program Professional Services Checklist Training Course # 525-05-0152

Florida Department of

TRANSPORTATION

Lorraine Moyle, State Local Programs Administrator Office of Program Management

Florida Department of Transportation

OVERVIEW

Florida Department of Transportation

We will reference LAPIT often throughout the day.

OVERVIEW

https://www3.dot.state.fl.us/LocalAgencyProgram/Account.aspx/LogOn

Florida Department of Transportation

We will reference 23 CFR 172 throughout the day.

OVERVIEW

Florida Department of Transportation

We will reference Chapter 287.055 F.S. throughout the day.

OVERVIEW

Florida Department of Transportation

We will reference the website Forms page throughout the day.

OVERVIEW

http://www.fdot.gov/programmanagement/LAP/Forms/LapForms.shtm

Florida Department of Transportation

LAP Professional Services Checklist

Florida Department of Transportation

Why do we have a Checklist?

Florida Department of Transportation

Procurement Process

STEP 1 Solicitation and RFP

(Checklist Items 1-7, 13)

STEP 2 Evaluation of Responses

(Checklist Item 8)

STEP 3 Negotiations

(Checklist Items 9-11)

STEP 4 Contract Award

(Checklist Items 12-13)

Florida Department of Transportation

Methods of Procurement

Florida Department of Transportation

Methods of Procurement

Florida Department of Transportation

Situational Example

Question: Apple City has two construction projects estimated at $275,000 and $175,000. Design services are estimated at 40% of the construction for each project. The City bundles the two projects together and proceeds with the small purchase method of procurement to award one contract for both projects. Is this allowed?

Answer: The combined dollar value of construction is $450,000. The combined dollar value of design services is $180,000. By grouping the projects together the contract exceeds the thresholds on the construction side and is now ineligible for Federal-Aid. In addition, F.S. allows the grouping of activities into a “project” but requires the project to adhere to the thresholds. Again, the total construction dollar value now exceeds the construction threshold of $325,000 and must be publicly announced per 287.055 F.S.

Florida Department of Transportation

Types of Contracts

Contracts that may be procured under these methods include:

1) Project-specific contracts for the performance of services as detailed in the scope of work related to a specific project or projects. 2) Multi-phase contracts for project specific services where the detailed scope

• f work is divided into phases, which may be negotiated and authorized

individually as the project progresses (example: Design and Post Design phases of work). 3) On-call or indefinite delivery/indefinite quantity (IDIQ) contracts for continuing services where performance is defined by the scope of services for an undefined number of projects. Task work orders for a detailed project specific scope of services are issued as needed for an established contract period.

Florida Department of Transportation

Competitive Negotiation aka qualifications-based selection is the prescribed method of procurement for all types of Federal-Aid Highway Program professional services contracts.

Procurement Process

Florida Department of Transportation

What is an “RFP”?

Procurement Process

Florida Department of Transportation

What is an “RFP”?

Procurement Process

• Request for Proposals
• Request for Qualifications
• Request for Letters
• Request for Responses
• Request for Professional Services
• Invitation to Bid
• Invitation to Participate
• Add your name here!

Florida Department of Transportation

Does your solicitation include a link or access to the RFP to all interested consultant firms?

Procurement Process

• If yes, you are using a single step, combined, or RFP process

where each proposer receives all of the information required to submit a proposal at the time of advertisement.

• If no, you are using a two-step, longlist or RFQ process where

each firm receives the qualifications information at the time

• f advertisement. The “long list” of initial respondents is

then pared down to a minimum of three most qualified and

• nly the “short list” of consultant firms receives the full RFP.

Florida Department of Transportation

Procurement Process- Solicitation

Florida Department of Transportation

Two-Step Procurement Process

Florida Department of Transportation

One-Step Procurement Process

Solicitation (Item #1)

F.S. CFR

Florida Department of Transportation

Solicitation (Item #1)

Florida Department of Transportation

Solicitation Snapshots

• Do you have local preference disclaimer on

your procurement homepage where everyone registers to be a vendor? http://www.codb.us/index.aspx?nid=841 What are some options to ensure qualified firms know this is not applicable to LAP projects?

Request for Proposal (Item #1)

23 CFR 172.7 (a)(1)(ii)

Request for Proposal (Item #1)

Request for Proposal (Item #1)

What “shall” be included in your expanded scope as required by 23 CFR 172.7(a)(1)(ii)(A)?

Let’s Talk About Scope!

Florida Department of Transportation

Per 23 CFR 172.7(a)(1)(ii)(A):

• Detail the project purpose
• Describe the project
• Identify the services to be performed
• Identify the deliverables to be provided
• Provide an estimated schedule for performance
• f work
• Identify applicable standards, specifications, &

policies

Let’s Talk About Scope!

Project Scope Exercise

SITUATIONAL EXERCISE- Review and discuss project scope handout.

Florida Department of Transportation

Example of Services to be performed under Major Highway Design per F.A.C. 14-75.003:

Project Services

Services Include:

 Production and/or review of highway plans  Related design studies  Creative utilization of roadsides  Accommodation of utilities and utility crossings  Drainage design  New curb and gutter

Scope Includes:

 Urban highways with new curb and gutter  New or major reconstruction  Rural projects adding 2+ lanes  Utility relocation  Drainage

Florida Department of Transportation

What deliverables are expected?

• Phase reviews?
• Permitting?
• Survey?
• Geotech?
• Coordination Meetings?
• Utility coordination?
• Contamination assessments?

Project Deliverables

Florida Department of Transportation

Per 23 CFR 172.7(a)(1)(ii)(A):

• Detail the project purpose
• Describe the project
• Identify the services to be performed
• Identify the deliverables to be provided**
• Provide an estimated schedule for performance
• f work
• Identify applicable standards, specifications, &

policies

Let’s Talk About Scope!

Florida Department of Transportation

Estimated schedule for performance of work

• How long do you think this contract will take?
• How long should the consultant expect to

commit key personnel?

• Do you need services such as post-design that

may result in a time gap for performance?

• Contracts must have an estimated end date!

Project Schedule

Florida Department of Transportation

Project Schedule

Florida Department of Transportation

Per 23 CFR 172.7(a)(1)(ii)(A):

• Detail the project purpose
• Describe the project
• Identify the services to be performed
• Identify the deliverables to be provided**
• Provide an estimated schedule for performance
• f work
• Identify applicable standards, specifications, &

policies

Let’s Talk About Scope!

Florida Department of Transportation

Applicable standards, specifications, & policies!

• Do you allow consultants to work holidays?
• Do you expect consultants to conform to your

adopted City Ordinances?

• Is there a historic preservation plan they need to

follow in your downtown?

• Are you using FDOT specs or agency specs?
• Do you have specialized software requirements

for compatibility with your operating systems?

Scope of Work

Florida Department of Transportation

Scope of Work

23 CFR 172.7(a)(1)(ii)(E) requires special provisions or contract requirements associated with the solicited services be identified in the

• RFP. Best practice is to include the

draft contract in the package.

Florida Department of Transportation

Requirements of consultant qualifications desiring to perform Work Type 3.2 Major Highway Design per F.A.C. 14-75.003: These types of work require at least two professional engineers, registered with the Florida State Board of Professional Engineers, having proficiency in civil engineering and at least two years of post registration experience in the design and preparation of plans for highways, one year of which must be in the category for which qualification is sought.

Qualifications

https://www.flrules.org/gateway/readFile.asp?sid=0&tid=1334446&type=1&file=14-75.003.doc

Qualifications

Florida Department of Transportation

Evaluation Criteria

Evaluation criteria must be accompanied by instructions for how the consultant responds to the stated criteria.

“Criteria must assess the demonstrated competence and qualifications for the type of professional services solicited.” [23 CFR172.7(a)((1)(iii)]

Evaluation Criteria Exercise

SITUATIONAL EXERCISE- Review and discuss evaluation criteria handout.

Florida Department of Transportation

Examples of allowed criteria:

• Technical approach (e.g. project understanding,

innovative concepts, quality control)

• Work experience
• Specialized expertise
• Staff capabilities
• Workload capacity (based on current volume of work)
• Past performance
• Locality criterion of no more than 10% with FHWA

approval

Evaluation Criteria

Florida Department of Transportation

Local Preference vs. Local Presence

• Local preference rewards respondents with

local addresses, offices, tax payer status, etc. – NOT ALLOWED

• Local presence assigns no more than 10% of

points for proximity to project location.

• Consultants satisfy and receive full points if

they establish a project office within proximity

Evaluation Criteria

Florida Department of Transportation

Examples of non-allowed criteria:

• Price or cost elements
• In-state or local business preference
• Purchasing or materials preferences
• DBE, MBE, small or other hiring preference programs

(e.g. homeless, welfare-to-work, veterans)

• Exclusionary business preferences restricting

competition in specific geographic locations

• Equal distribution or rotating of work (based on past or

current volume of work with awarding agency)

Evaluation Criteria

Florida Department of Transportation

Sample Webpage

Florida Department of Transportation

Sample Webpage

Florida Department of Transportation

Provide a description of the procurement process.

• Evaluation process
• Technical review only?
• Presentations required? Final ranking process?
• Tie breaker procedure
• Protest procedure

“Identify the requirements for any discussions that may be conducted…” 23 CFR 172.7 (a)(1)(ii)(A)

Procurement Process

Florida Department of Transportation

Estimated schedule for procurement process includes your agency milestones. Not all dates listed here will be applicable to your agency.

• Publish date
• Optional or Mandatory pre-bid meeting date?
• Response due date
• Selection Committee meeting date?
• Oral interview/presentation date?
• Additional selection committee meeting date?
• Negotiations meeting date(s)?
• Notice of Intent to award date (protest period)
• Board approval date
• Contract award date

*Dates may be subject to change.

Procurement Process

Florida Department of Transportation

Procurement Process

Florida Department of Transportation

Method of Payment

23 CFR 172.7(a)(1)(ii)(D) 23 CFR 172.9(b)

Many contracts utilize both lump sum and specific rates of compensation methods for tasks and services.

Florida Department of Transportation

Method of Payment

What does “method of payment” mean?

Florida Department of Transportation

Method of Payment

• Lump sum- shall be used when it is possible to define the

extent, scope, complexity, character, and duration of the work… can be determined at the time of negotiation.  This is the most common method in LAP and is recommended for studies, PD&E or design.  Subconsultant services are commonly lump sum i.e. surveys

• r various types (environmental, contamination, road)

Florida Department of Transportation

Method of Payment

Most common to LAP:

• Specific Rates of Compensation: provides for reimbursement on

the basis of direct labor hours at specified hourly rates, including direct labor costs, indirect costs, and fee or profit, plus any other direct expenses or costs, subject to an agreement max. amount. Use is limited to contracts where the consultant is not in direct control of the number of hours worked. This is the recommended method for CEI services.

• You may have specific tasks, or subconsultant services that are

compensated as lump sum under this contract type (i.e survey, Geotech, etc.)

Florida Department of Transportation

Method of Payment

How do I specify both methods of payment?

Florida Department of Transportation

Method of Payment- Sample Survey is a specialized service and can be negotiated as a lump sum task order. Surveys are fairly clear cut based on size and scale of the survey to be performed. The survey firm would need to back up their fees with direct and indirect rates. Sample set up the contract based on the task schedule and reasonable estimated costs of the services under each task.

Florida Department of Transportation

Method of Payment- Sample

Task #1: Field Survey-  The survey takes 7 days, and is estimated to take 10 hours per day, which equates to x #

• f hours with three employees in the field at x rates.

 Indirect costs would be supported by the multipliers/audited rates.  County would need to indicate if other estimated costs, such as travel expenses,

• vertime, etc. are compensable.

Task #2: Preparation and delivery of signed and sealed survey-  Preparing the survey documents takes another 7 days and requires and estimated x # of hours.  Agency will pay for 3 copies signed and sealed delivered to the County in paper/digital format(s). Task #1 + Task #2 = Total Lump Sum Cost of Survey. The County pays the lump sum amount regardless of the actual time/cost of the task, but the survey company would need to retain back up documentation such as time sheets in the event they were ever audited.

Method of Payment Exercise

SITUATIONAL EXERCISE- Review and discuss lump sum task break out.

Request for Proposal (Item #1)

Checklist Item #2

Checklist Item #2

This is your LAP Agreement No. ‘G1234’.

Checklist Item #3

Common or High Risk Provisions required by State Rule or Law

Checklist Item #3

Common or High Risk Provisions required by Federal Rule or Law

Checklist Item #3

Why are these provisions required in both the RFP and contract?

Checklist Item #4

287.055(5)(a) F.S. …Any professional service contract under which such a certificate is required must contain a provision that the original contract price and any additions thereto will be adjusted to exclude any significant sums by which the agency determines the contract price was increased due to inaccurate, incomplete, or noncurrent wage rates and

• ther factual unit costs.

Checklist Item #5

Conflict of Interest- F.S.

LAP Agreement Section 14.f.

Conflict of Interest- F.S.

Changes to 337.14 F.S. pursuant to the execution of HB 905 by the governor. https://www.flsenate.gov/Session/Bill/2019/905/BillText/er/PDF

Conflict of Interest- F.S.

Corresponding changes to 337.14 F.S. pursuant to the execution of HB 827 by the

• governor. Effective October 1, 2019.

Checklist Item #6

Checklist Item #6

Checklist Item #7

Florida Department of Transportation

Procurement Process- STEP 2

STEP 1 Solicitation and RFP

(Checklist Items 1-7, 13)

STEP 2 Evaluation of Responses

(Checklist Item 8)

STEP 3 Negotiations

(Checklist Items 9-11)

STEP 4 Contract Award

(Checklist Items 12-13)

Florida Department of Transportation

Evaluations per 23 CFR 172.7(a)(1)(ii)(B-C):

• In your RFP, you identified the requirements for any

discussions that may be conducted.

• In your RFP, you identified evaluation factors

including their relative weight of importance!

• Must conduct discussions with a minimum of three

(3) of the most highly qualified firms

Let’s Talk About Evaluations!

Florida Department of Transportation

Checklist Item #8

*Note: Compliance Documentation Item Number 6 is the list of evaluation criteria not allowed for use in the program covered in the previous slides on the RFP requirements.

Florida Department of Transportation

Checklist Item #8

Local Agency Compliance Documentation cont’d:

Florida Department of Transportation

Selection Committee

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 1: A LPA advertises a design project and receives two

• responses. The advertisement ended in December 2018

and the area had recently been impacted by an emergency

• event. Many LPAs aren’t receiving many responses to their

ads at this time. The LPA goes ahead and scores the two responses and sends the scoring sheets to the Department for concurrence to negotiate.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 2: The agency re-advertises the design project. This time 6+ proposals were received. The City Council (technical selection committee) decides they want to have the consultants give presentations. Presentations were not included in the original RFP procurement process

• description. The presentations are recorded and

broadcast on local TV and YouTube™ as part of the City’s…

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 2: …usual protocol for public meetings. The council members each have a score sheet and scoring guidelines to use as they listen to the presentations. When the presentations conclude, the council tells the audience there will be a 10 minute break while they calculate the final scores. The broadcast does not come back up for approx. 30 minutes. The final rankings and intent to award are announced.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 2: … FDOT receives the score sheets and one council member has not scored at all. Another council member scored one consultant firm with the maximum points and gave the

• ther 5 firms zeroes for all criteria. Removing that

committee members scores would have changed the final

• ranking. FDOT requested an explanation for the missing
• scores. One council member was absent, but a quorum of

6 members was present.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 2: … The member who scored only one firm had no explanation for his actions other than he didn’t feel the

• ther firms responded to the RFP. FDOT attempted to

review the recorded meeting and requested the meeting minutes for the 30 minute time period the meeting was not broadcasted since that was the period the scores were calculated and there was discussion on the scoring during those missing minutes.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 2: Thoughts and recommendations?

• The scoring as conducted could not be accepted because the regulation

requires a minimum of three firms be evaluated by the selection committee members. The scorer who only scored one firm did not meet the requirement.

• The city was provided the option of removing that member’s scores,

BUT the intent to award was announced at the meeting and removal of the noncompliant scoring changed the #1 firm.

• FHWA/FDOT was hoping to find some explanation for the scoring in the

final discussions, but they were not recorded and no meeting minutes were taken.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 3: A LPA advertises the design project for a third time and receives six responses. The selection committee ranked the firms and submitted the documentation to FDOT. FDOT reviews the score sheets and finds that each member has used different score sheets. One member uses notebook paper and makes his own matrix. The evaluation generally appear to be followed despite the discrepancy, until…

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 3: …FDOT staff review the comments. Only one set of scores included a comments matrix. The comments for the availability criterion included proximity of the firms office location for each firm and the firm with an office the greatest distance from the City scored the least points for that criterion even though its staff availability hovered around 75% compared to other firms 50% or less.

Scoring/Ranking Exercise

SITUATIONAL EXERCISE-

Scenario 3: Thoughts and recommendations?

Florida Department of Transportation

Procurement Process- STEP 3

STEP 1 Solicitation and RFP

(Checklist Items 1-7, 13)

STEP 2 Evaluation of Responses

(Checklist Item 8)

STEP 3 Negotiations

(Checklist Items 9-11)

STEP 4 Contract Award

(Checklist Items 12-13)

Florida Department of Transportation

REMEMBER:

• Verify qualifications (including debarment)
• Evaluate a minimum of 3 responses
• FDOT reviews score sheets and provides

concurrence to negotiate

• Come to the table with your Independent Staff

(or Man) Hour Estimate!

Before Negotiations- STEP 3

Florida Department of Transportation

Checklist Item #9

Estimating Exercise

SITUATIONAL EXERCISE-

You have the scope and tasks for the contract we have been reviewing. Using the FDOT’s Road and Bridge estimating tool, put together a man hour estimate for the project.

Florida Department of Transportation

Checklist Item #10 & #11

Florida Department of Transportation

Negotiations

Sample indirect cost rates or multipliers from a FDOT Pre- Qualification letter

Florida Department of Transportation

Indirect Cost Rates or Direct Salary Multipliers

Florida Department of Transportation

Checklist Item #10

Negotiations Requirements Continued

Florida Department of Transportation

Checklist Item #11

Florida Department of Transportation

Negotiations Tools & Resources

https://www.fdot.gov/programmanagement/LAP/ProfessionalServices.shtm

Florida Department of Transportation

Procurement Process- STEP 4

STEP 1 Solicitation and RFP

(Checklist Items 1-7, 13)

STEP 2 Evaluation of Responses

(Checklist Item 8)

STEP 3 Negotiations

(Checklist Items 9-11)

STEP 4 Contract Award

(Checklist Items 12-13)

Florida Department of Transportation

Checklist Item #12

Florida Department of Transportation

Checklist Item #13

Florida Department of Transportation

Checklist Item #13

Critical requirement is the approval of the draft RFP package by both FDOT Central Office and FHWA prior to solicitation for services!

Florida Department of Transportation

Checklist Item #13

Continuing Contracts- Year 4 Lessons Learned:

• Don’t let the contract expire and then issue task work orders.
• Work performed after the expiration date OR beyond five years

will not be Federal-Aid participating. Your local process may allow for this, but we can’t reimburse for the work.

• For contracts where tasks are awarded on a regional basis,

include RFP/contract language allowing assignment of tasks between consultants in case availability of one firm becomes limited.

• Consider how much work you have, if you plan to use the

contract(s) for projects outside of LAP, and how many contracts you want to manage?

Florida Department of Transportation

Send questions to: Xiomara.Nunez@dot.state.fl.us

• r

Lorraine.Moyle@dot.state.fl.us Local Programs Contacts: http://www.fdot.gov/programma nagement/LAP/LAPContacts.shtm

Thank You for Attending Today!

Don’t forget your certificates!