DOING BUSINESS WITH THE NEW YORK STATE DEPARTMENT OF TRANSPORTATION BILL HOWE, DIRECTOR OF CONTRACTS 1

DOING BUSINESS WITHTHE NEW YORK STATE DEPARTMENT OF TRANSPORTATION

BILL HOWE, DIRECTOR OF CONTRACTS*

BASIC REQUIREMENTSProfessional licenses (engineering & survey)Provide corporate & individual proof of authority. Primes provide for subs, or certify they will not perform services requiring license.In general, NYS requires all officers/directors/ partners/shareholders to be a P.E. or L.S.Exception for corporations grandfathered since 1935. CEO must still be a licensed P.E. or L.S.For details, see Consultant Instruction 93-10 and the NYS Education Department website.*

*BASIC REQUIREMENTS (contd)Authority to do business in NYS from the NYS Department of StateMust file an initial Certificate of Incorporation Must maintain active corporation status by the payment of annual franchise taxesAdequate accounting and internal controls system To support billingsTo establish indirect cost rate (i.e. overhead)

*BASIC REQUIREMENTS (contd)Internet accessSoftwareBentley Microstation and InRoads for CADDTrns.port Estimator for cost estimatesPrimavera or Microsoft Project for Critical Path Method schedulingProjectWise for storing & sharing contract documents

*BASIC REQUIREMENTS (contd)InsuranceProfessional liability - $1 millionProtective liability - $300K per occurrence, $600K aggregateWorkers Compensation Disability Insurance

*CAUTIONSLong timeframe from advertisement to executed contractLots of paperworkLots of oversightRisk of payment delays especially for work that needs a supplemental agreementRisk of owing money after final audit

*PROCUREMENT REGULATIONSEngineering contracts are governed by:Title 23 Code of Federal Regulations Part 172NYS Finance Law Part 136aQualifications Based SelectionNegotiation of fair and reasonable cost

*WHATS NEWProcurement Lobbying Law, effective 1/1/06Restricts contacts between ad and executionPre-designation Contracts staff onlyPost-designation Contracts staff and Consultant Job Manager2 forms required in Expressions of InterestVendor Responsibility, effective 1/1/2005Annual questionnaire on ownership and potential concernsCurrently a form on NYSDOTs websiteConsidering use of Comptrollers VendRep system

WHATS NEW (contd)Consultant Disclosure Law, effective 6/19/06Requires 2 reportsForm A with initial contract signature to DOTForm B annually to DOT/OSC/Civil ServiceSummarizes staff working on each DOT contractJob category, # of staff, hours, amount paid

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WHATS NEW (contd)Federal Stimulus aka ARRA enacted 2/17/09Applies on some construction inspection projectsRequires monthly reports to DOT on total staff, hours & payroll for each applicable projectNew job opportunities resulting from ARRA funds must be posted on NYS Dept of Labor websiteFor project-specific ARRA CI agreements, these requirements will be in the initial contractFor term CI agreements, they must be added by supplemental if work on ARRA project is assigned

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QUESTIONS?*

GETTING STARTEDNYSDOT Website Overview*

Comptrollers Fall Conference 2004Comptrollers Fall Conference 2004Bureau of Contracts

NYSDOT Home Page http://www.nysdot.gov Resources including 1) general public information about NYSDOT activities; 2) the Travel Center, including 511NY and; 3) the BUSINESS CENTER for all CONSULTANT/CONTRACTOR INFORMATION AND APPLICATIONS

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Business CenterLinks/windows to various consulting services, including Engineering Services pre-negotiation project status (Engineering Services) and supporting actions and activities (Doing Business with NYSDOT)*

Engineering Services Preliminary AdsClicking the left-hand link to Engineering Services opens the page portal to view advertisements posted to the NYS Contract Reporter. *

Engineering Services Detailed AdsPreliminary advertisements normally advance to detailed advertisements. Based upon these detailed ads, firms submit electronic Expressions of Interest (e-EOIs) using the Consultant Selection System web application (CSSWeb). IF ANY LISTS EXTEND PAST THE VIEWING WINDOW, CLICK VIEW ALL TO OPEN THE COMPLETE PAGE*

Select (click) a project to view the detailed advertisement and related downloads. A detailed ad is necessary to prepare a firms electronic expression of interest (e-EOI).Clicking View All will also display the complete list of advertisement downloads.*

View AllThe View All page for detailed advertisements.*

Engineering Services Shortlists & Designations*

Access to frequently used applications, forms, publications, Consultant Instructions, announcements, etc.

Doing Business with NYSDOT

http://www.nysdot.gov/doing-business *

Anticipated Consultant ProjectsDoing Business with NYSDOT : Architectural Engineering Information : Anticipated Projects https://www.nysdot.gov/divisions/engineering/design/consultant-management/repository/NYSDOT_Consultant_Plan.html *

Forms, Publications and Instructions

https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions*

Forms, Publications and Instructionshttps://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions Supporting documentation for both Process I (non-electronic) and Process II (electronic) consultant selections is found on this page under the subtopic How To Do Business With DOT. Process II has the additional side-column shortcut noted.Additional documentation covering the consultant contracting process is found within various subtopics of the Forms page, including but not limited to: audit and civil rights requirements; insurance requirements and forms; vendor responsibility forms and negotiation-stage proposal submission document shells. *

Consultant Selection Process I (Non-Electronic) and Process II (Electronic) - Information Links https://www.nysdot.gov/main/business-center/consultants/general-info/non-electronic-consultant-selection-(process-1) and https://www.nysdot.gov/main/business-center/consultants/general-info/electronic-consultant-selection-(process-2)

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Process I & Process II Submittal formsProcess I (Non-Electronic) firm submissions include NYSDOT 255C forms in the initial EOI submission, as these project types are not scored electronically.Process II (Electronic) opportunities do not require the NYSDOT 255 forms until shortlist stage.Both process types require the initial submission of Proofs of Authority, Affirmation of Understanding Forms (PLL) and CONR386-Workload Disclosure Forms.*

The Construction Inspection and Design Scoring Methodologies are found on the Process II information pages.Information on the scoring process and the table values associated with that process are found within the scoring methodologies.

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Frequently Accessed InformationAnnouncements https://www.nysdot.gov/main/business-center/consultants/announcementsConsultant InstructionsSalary & Non-SalaryTechnical RequirementsSelection ProcessBusiness PracticesOverheadhttps://www.nysdot.gov/main/business-center/consultants/architectural-engineering/consultant-instructions Overhead Rates for Current Consultant Engineering Contract Negotiations https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions

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Consultant Selection System Web Application (CSSWeb) Firms that wish to do business with NYSDOT register using the CSSWeb application. A firm may have many account users but the business entity may only register one time. FEINs are used to insure that duplicate firm registrations do not occur.*

CSSWeb View Once registered, firms appear in the CSSWeb View (Inventory of Consultant Firm Information and Experience ); a useful tool when developing teams for electronic Expression of Interest (e-EOI) submissions.*

Click the CSS Web link to create an account or to log in to your firms existing account.*

Access to Firm Login Screen (Single Sign-On Login Screen) *

Single Sign-On Login ScreenLog in to an existing account; create a new account; use account utilities for recovering/changing passwords. (Passwords must be changed from this utility, they cannot be changed during logged in activity.) *

Forgot Password ScreenIf the User ID, Security Validation Question and/or Security Validation Answer are not known, information may be emailed to the administrative email account of record.If the administrative email account is not known, no longer valid or active, or inaccessible, NYSDOT Office of Contracts staff can provide further assistance Monday through Friday from 8:00 AM to 4:00 PM. Call 518-457-2600 or email [email protected] *

Part I - Creating a User AccountBefore creating an account, users should read and must accept NYSDOTs Acceptable Use Policy.Creating an account as a new firm is a 2-step process Part I - Creating a User Account and Part II - Logging in to the application using the new account User ID and password to complete the registration process.Adding new users to an existing account is accomplished through both a new User ID creation and the Administrative module of the firms existing account. This is discussed at the end of this presentation.*

Primary Administrative Accounts should reflect the firm name rather than an individuals name.

The person associated with this account does not need to be a principal of the firm and should be reasonably available during normal business hours.*

Register the firm name exactly as it is registered with the New York State Department of State and/or New York State Department of Education

When you have completed this form (Part I of the registration process), click the Submit button at the bottom of the page.*

SAVE YOUR REGISTRATION INFORMATION!Registration information retrieval by NYSDOT is only available Monday through Friday from 8:00 AM to 4:00 PM. Email or phone messages left at other times will be queued until the next business day.*

Part II Completing the Registration Process (Initial Account Log In)User accounts are created as ABC_Consulting but logging in requires the full User ID path ABC_Consulting@nysdotUser IDs and passwords are case sensitive. Passwords must be a minimum of eight (8) characters long and should contain at least one (1) number in the sequence. DO NOT use non-standard characters, i.e., *, /, &, #, etc. in password fields.*

Part II Completing the Registration Process After creating the primary user account, log in and complete the registration process. (If the account was created to add a user to an existing account, this step is not used.)*

Initial Firm Registration Screen*

Complete Items 1 6Use the Search utility to check firm status (Have we registered already?)*

Gather Required Information First*

ERROR CHECK PRIOR TO ANY SUBMISSIONSubmit your data!The registration process is complete.

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Sample Account Complete RegistrationCompleting the registration process expands the available modules or areas firms may use. When navigating within the application DO NOT use your browsers forward and back buttons, instead click the available links in headings, side columns and bottom of page commands.

Need more information? Review or print the Help document.The instructions link opens the relevant topics in the Help document.

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Inventory ModuleThe Inventory module is used to collect information about a firms brick and mortar offices, the staff in those offices (including principals), staff titles and salary rates and project inventories.Each category or module of information may be used by various NYSDOT processes, including but not limited to: e-EOI processing and firm selection, maintaining salary rates on new and existing contracts and identifying appropriate firm contacts. Maintaining current data benefit both the firm and NYSDOT.*

Inventory Functionality

General Firm Information Basic Information, Inventory Managers, Principals, Offices and Staff Counts are real time activities. When changes are made and saved in this group updates are processed in real time and firms do not need to use the Submit Updates link to send changes to NYSDOT. There are no time restraints on the submittals a firm may make under the General Firm Information category.

Salary Roster Information Annual Certified Salary Roster (Salary Roster, Annual Roster), Maximum Salary Rate Roster (Max Rates) and Inventory Salary Roster. The Annual Certified Salary Roster is the parent table used to create both the Maximum Salary Rate Roster and the Inventory Salary Roster. Creating the Salary Roster requires having employee information on hand including hire dates and current pay rates. Additionally, firm titles must be created in the Admin module of the application BEFORE a Salary Roster can be created. The Salary Roster must be created BEFORE a Max Rates or Inventory Salary Roster can be compiled.

All Salary Roster, Max Rates and Inventory Roster information must be submitted to NYSDOT using the Submit Updates link.

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*Inventory Functionality (cont.)

The Annual Certified Salary Roster is submitted once each 12 calendar months based upon the firms fiscal finance year.

The Max Rates Roster is submitted annually if the firm has active projects with NYSDOT. Max Rate Rosters must be compiled by the firm. The Max Rates Roster module must be opened and the roster is either created or re-initialized depending upon the type of maximum rates required.

The Inventory Salary Roster is used for scoring purposes and may be submitted in 90-day intervals. Inventory Salary Rosters are compiled by the system and require no user interaction other than submission from the Submit Updates page. An up-to-date Annual Certified Salary Roster (new employees added and saved to the Annual Roster) is necessary when providing an Inventory Salary Roster for scoring.

Adding Firm TitlesFirm titles are a required field in the Salary Roster and are created using the Admin link. Titles are case sensitive, please check your titles for consistency.After creating titles, the Salary Roster can be created.*

Annual Certified Salary RosterThe main page of the Salary Roster module allows the user to add employees, find existing employees by searching (Find by:) or create a user-specified list of existing employees (List..).*

When providing title information it is necessary to scroll right to complete the required information for each title. The Function Code column is a pre-populated, drop-down box. Full Time Equivalent percentages (%FTE) must be provided for each title but may not necessarily add to 100%. (Part-time employees will be less than 100%.)*

An Uninitialized Max Rates RosterThis Maximum Salary Rates Roster has not been created by the user. Employee names should not appear in Max Rates only the maximum salary rate paid for each unique Type/Grade/Title.To prepare the roster for submission click the Create button.*

An Initialized Max Rates RosterThis Max Rates Roster has been created and may be submitted using the Submit Updates link or it may be re-compiled using the Re-Initialize button.*

Inventory Functionality (cont.)

Construction Inspection & Design Project Inventories Process II (electronic) selections use firm project inventories when calculating team and individual firm scores. Download or review both the Construction Inspection and Design scoring methodologies from the Electronic Consultant Selection (Process II) link located on the General Information page: https://www.nysdot.gov/main/business-center/consultants/general-info

Updates to project inventories may be submitted from the Submit Updates page at any time, BUT new inventories are ACTIVATED every 90 days. The last inventory submitted to NYSDOT in any 90-day period is the inventory activated after the 90-day clock expires.

Construction Inspection Project Inventories may contain a maximum of 30 projects.

Design Project Inventories are composed of three sub-sets of design work: Design Inventory, Term Agreement for Survey Services (TASS) Inventory and Environmental Inventory. Each category allows a maximum of 30 projects. A project may contain elements which may be reported in more than one inventory category.

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CI Project InventoryOrder Column Numbering order selected by firm.Completed Column Review Help document instructions; For construction inspection, you may only include projects that have been completed within the past 12 years or ongoing projects for which either your construction inspection assignment has been completed or the contractor has completed work valued for at least 90% of the current contract value.Selected Projects Column Check box if project is to be included in submission. Note that the selected project count at top of page is less than the total number of projects in the inventory.*

Design Project InventoryOrder Column Numbering order selected by firm.Completed Column Review Help document instructions; Firms may include projects completed within the past 12 years or ongoing projects, but for ongoing projects firms may only take credit for work tasks that have been completed and accepted by the client. Firms should only claim credit for work that they directly performed.Selected Projects Column Check box if project is to be included in submission. At least one category must be selected to include a project in a submission. Note that the selected project count at the top of the page is divided into the three design sub-sets. Projects may be identified in more than one sub-set.*

SUBMIT UPDATESALL firm CSSWeb Inventory activities in the categories Salary Roster, Maximum Salary Rate Roster, Construction Inspection Inventory and Design Inventory MUST be submitted using the Submit Updates link.ALWAYS run an Error Check before submitting your information. FIX any errors before re-running the Error Check. DONT attempt to submit an inventory item before running the Error Check or fixing errors identified by the Error Check. Review the Last Submit Date column to verify that your submission has taken place.These 4 items must be submitted to NYSDOT using the Submit Updates link.*

Adding Users to Your Existing AccountNew users may be given permission to access your firms information. The user must have created a User ID (account) and an administrator of the firms account must add the user via the User Admin section of the Admin module.The administrator will search for the new user using the User Directory Find By function.*

Admin User Directory SearchFinding the new user by User Name*

Select and Add User*

Until permissions are granted to the user, the only category visible to ABC_Consulting upon log in will be the Registration link. To establish permissions, check the appropriate box(es) and click the Submit button. No further action is required by the firm. To remove a user or change permissions, click Edit on the User Name row and uncheck or modify permissions. Click the Submit button to confirm and activate your selection. *In the left-hand view the new user, ABC_Consulting@nysdot, has been added to the User Permissions group. The right-hand view shows the edit options for ABC_Consulting@nysdot.

Once Inventory items have been completed and, where required, submitted via Submit Updates, e-EOI submissions are possible.

Review the Help document for information on e-EOI requirements, document storage and report functions.

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QUESTIONS?

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CONSULTANT SELECTIONElectronic and Non-Electronic Process*


General Selection Information:The selection process for obtaining a consultant to provide professional Architectural, Engineering, Land Surveying and Landscape Architectural services must be a qualifications based selection (QBS) process per NYS and Federal law;

To be considered for selection, firms must be appropriately authorized to perform the services required, and also be authorized to conduct business in NYS when appropriate;https://www.nysdot.gov/main/business-center/consultants/consultants-repository/ci93-10.pdf

NYSDOT does not prequalify firms for participation in A&E consultant agreements. However, primes and their subconsultants that plan on submitting an expression of interest (EOI) in response to an opportunity must all be registered in CSSWeb prior to the primes preparation of the EOI.

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Prime must have an activated project inventory on file in order to submit an EOI.Selection Process (overview)Region identifies the need for consultant services and prepares a request for those consultant services;Main Office Program Area (Design, Construction, Planning, etc.) verifies the need for the services. Preliminary availability of consultant funding for the project is verified. Contract Management notified of the need for the consultant services;Selection factors and weights to be used in the selection process are determined for each specific project based upon on input from the Region, the respective Main Office Program Area and Contract Management;

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The consultant opportunity is first announced in the NYS Contract Reporter. A detailed advertisement is subsequently posted on NYSDOTs web page, https://www.nysdot.gov/doing-business/opportunities/eng-detailad . Project description, directions for submitting EOIs, Selection Process to be used and the criteria used for consultant selection (Factors and Weights) are provided in the detailed advertisement;The detailed ad may follow the announcement by several days;EOIs and any requested additional information are scored and a best qualified firm is recommended to the Chief Engineer. There are two selection processes used to identify the best qualified firm: Process I and Process II;Chief Engineer can approve the recommendation, reject the recommendation, or request additional review by the Selection Committee;When the Chief Engineer approves the recommendation, a consultant team is designated and announced on NYSDOTs web page, (https://www.nysdot.gov/doing-business/opportunities/eng-designation).*

Selection Processes Non-Electronic (Process I) and Electronic (Process II)

Process II:This is a two-step process consisting of an electronic scoring step and then a selection committee scoring step. In Step 1, EOIs are electronically scored based upon the advertised factors and weights, project characteristics, firm information and each firms project inventory. The result of the electronic scoring determines a shortlist of qualified firms that will be considered further in the selection process.

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NYSDOT normally shortlists four (4) firms for continued consideration for selection. NYSDOT may extend the shortlist due to scoring considerations (small variance in first step scores), tentative designations that are not yet known to firms but may impact one or more firms score, or to address NYSDOTs desire to entertain a broader range of offers.

Shortlisted firms are announced on NYSDOTs web page:

https://www.nysdot.gov/doing-business/opportunities/eng-shortlistad *

Step 2 scoring for Process II consists of the following:

1. The selection committee scores the factors that were not previously scored in step 1;

2. Factors that were scored in step 1 are not rescored in step 2, the scores are carried forward. However, those factors are usually given a different relative weight for step 2 scoring;

3. Additional scoring adjustments may be made, if any are applicable (i.e. workload, last designation special factor verification, etc.), consistent with the project advertisement.

A Final step 2 score is calculated and the firm with the highest total step 2 score is recommended as the most qualified firm to the Chief Engineer.*

Process I:

Process I is utilized when the project is sufficiently unique, such that a scoring of submitted project inventories would have little value in demonstrating a firms qualifications with respect to that project.

There is no electronic inventory scoring component for Process I, therefore, there is no shortlisting of offering firms. An electronic EOI is required to gather DMWBE credits, workload and last designation information.

Individual and Firm experience scoring is performed by a selection committee that evaluates each offering firms EOI and additional information with respect to the advertised selection criteria, factors and weights. Additional scoring adjustments may be made, if any are applicable (i.e. workload, last designation, special factor verification, etc.), consistent with the project advertisement.

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General Information:

Selection Committee members do not rank firms, they are charged with evaluating proposals with respect to the advertised selection criteria;

Debriefings can be requested following the announcement of the designated firm on NYSDOTs web page;

Firms can request a copy of the designated firms 255 package after the contract has been executed by the Office of the State Comptroller. A freedom of information request is not required. NYSDOT will redact information that has been identified as proprietary.

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Suggestions & Common Errors:Read and follow the directions provided in the detailed advertisement;Monitor NYSDOTs web page for revisions to previously advertised opportunities;Review submitted inventories of proposed team members to ensure they are current and accurate;DMWBEs must be proposed for work activities they are certified to perform as a DMWBE in order for their participation to count towards the goal;Electronic submissions must be timely. Our automated system shuts out offers submitted after the stated deadline. Dont wait until the last moment to submit. Unfair to other firms if one firm is given more time;

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No staffing assigned to the claimed functional office;

Failure to submit offers because of perception predetermined selections;

Reported workload information is not consistent between the EOI and the CONR-386;

Team members and their respective proposed participation can not change from one step to the next for Process II selections;

Reported distances, in kilometers, to the project site and Regional Office should be verified prior to submission.

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Joint Ventures in spirit are not recognized for contacting purposes. If an EOI is submitted as a joint venture and that entity is designated, the legal entity, if not already established, must be formed and a Federal ID number established before funding for a project can be obtained. If a formal joint venture is not established as required, NYSDOT may de-designate the selected team and enter into negotiations with the next most qualified offeror.

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SELECTION FACTORS

Provides the basis for the QBS selection processAre established on a project specific basisProcess II Step 1 Scores the firm, Step 2 Scores the staffStep 1 Electronic Scoring1.Prior Experience1AFirm Experience (Subfactors)1CExperience with NYSDOT

2.Organizational Capacity for this type of work2APrior NYSDOT performance ratings2BWorkload/Capacity(1) Project type workload w/NYSDOT vs capacity(2) Total remaining workload w/ NYSDOT*

SELECTION FACTORS, cont.

3.Logistics & Familiarity3ALogistics (familiarity based upon proximity)

4.Other Factors4AStandard Factors4BSpecial Factors4COverall Approach/Understanding4DGeneral Management/Management Plan4EWork Plan & Schedule4FOral Presentation4GSize of Firm

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Factors 5, 6A, 6B and 7 are bonuses or penalties that are applied to the overall team score calculated by scoring and weighting Factors 1A through 4.5.D/M/WBE Participation (bonus)

6.D/M/WBE Subconsultants (bonus)6APerformance & Experience6B Workload with Division

Generally, for Factors 5, 6A and 6B, the higher the proposed D/M/WBE participation, the higher the resulting bonus points.

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7.Last Designation (penalty) Calculated for each team member and then totaled for a team score.Value is dependent upon:- Time since the last designation: penalty diminishes with time, 0 after 6 months;- Prorated value of last NYSDOT designation: greater impact for projects of greater value;- Project type and types of functions performed under last designation: greater impact for same/similar project type or function;- Remaining workload with NYSDOT: greater impact for greater pending workload.*

Step 2 Committee Scoring1.Prior Experience1B Staff Experience

3.Logistics & Familiarity3B Familiarity (of project staff)

The Sub-factors, 1A, and the Standard Factors, 4A, attempt to relate the work tasks and project characteristics of the projects in the firms project inventory with those of the subject project. The greater the correlation, the higher the resulting scores.*

Step 2 Committee Scoring

Special Factors, 4B, also attempt to demonstrate experience, but are not related to the firms project inventory. Instead, firms self-score their experiences, firm and/or individual, against the criteria set forth in the advertisement. Firms provide backup information to support the claimed scores. Claimed 4B scores may be adjusted based upon a review of the submitted backup information only; no requests for additional information are made.

Process I has the same selection factors available for use, however, most of the factors are scored by Selection Committee members. In Process I, EOIs are used to gather information regarding DMWBE credits, workload, and last designation.

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Project Inventory TipsDetailed instruction for entering project inventories is available in Consultant Selection System Instructions Document. That document is available when logged onto CSSWeb by selecting HELP on the menu bar, or by using the link below. While the document is somewhat dated, it does provide valuable direction in correctly submitting project inventories.https://www9.nysdot.gov/CSSWeb/help/Master%20Consultant%20Selection%20System.pdf The most valuable tip that can be offered is to follow the directions in the instruction document. Each firms project inventory is available for public viewing through the CSSWeb View application. Consequently, errors in project inventories are frequently referenced by other firms in claims of misrepresentation.

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General Information

An initial submission can be made anytime;Updates can be submitted any time, but these new submissions will not be used for scoring purposes unless it has been at least 90 days since activation of the previous submission for that section;Make sure to SUBMIT any updates to inventories. Otherwise, the updates will not be made;Only claim credit for work class or tasks that the firm actually performed. Dont claim credit for work performed by other members of your consultant team;Individual experience can only be claimed for persons that are currently employed by the firm as a principal or group director. The individual must also have worked on the claimed project in a management capacity (i.e. principal, group director, or project manager with responsibility for multiple projects simultaneously);

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Do not claim experience gained under a construction contract as consultant construction inspection experience;The claimed percent of work should reflect the percentage of the total project the firm was responsible for (subconsultants should not enter 100%);For CI Inventory, include only projects completed in the last 10 years, or that are ongoing projects where the firms CI assignment has been completed, or the construction contractor has completed work valued at least 90% of the current contract value.For Design Inventory, include only projects completed in the last 10 years, or for ongoing projects, only take credit for work tasks that have been completed and accepted by the client.*

MISREPRESENTATION

NYSDOTs A&E consultant selection process is dependent upon participating firms presenting current and accurate information that will be used in that process. Such information includes; project inventories descriptions and details, existence of real functional offices with associated staff, project experience and staffing submitted by shortlisted firms and reported workload. These categories also represent the areas that are frequently called out as the basis for claims of misrepresentation.

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NYSDOT assumes that information submitted by firms is current and accurate; however, we do employ mechanisms designed to help assure the accuracy of this information:

NYSDOT does perform some level of review of information that is submitted in response to advertised opportunities and requests for additional information by shortlisted firms;

NYSDOT requires an officer of the firm to certify the accuracy of the submitted information;

NYSDOT provides the consultant community the ability to police itself by making certain firm information for all firms registered in CSSWeb available for review by any interested party using the CSSWeb View application. https://www9.nysdot.gov/CSSWebView/CSS/Common/Welcome.do?action=getWelcome&topMenuContext=&leftMenuContext

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When minor inconsistencies are noted by NYSDOT staff, firms are contacted to discuss those inconsistencies for resolution at the lowest possible administrative level.When more substantial inconsistencies are noted by NYSDOT staff or are reported by an interested party, a review of the potential misrepresentation is initiated. NYSDOTs formal procedure regarding claims of misrepresentation is posted on the Departments web site.

That policy is available at: https://www.nysdot.gov/main/businesscenter/consultants/consultants-repository/misrep_protest.pdf.

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Highlights of that policy are:All claims of misrepresentation made to the Office of Contract Management are reviewed and responded to;

There are three potential levels of review of claims of misrepresentation by NYSDOT. Selection Supervisor, Selection Review Unit, Contract Review Unit;

A substantiated finding of significant misrepresentation for any member of a proposed consultant team may result in a determination that the entire proposal is non-responsive and the offerors proposal could be dropped from further consideration.Additionally, it may also be grounds for a non-responsibility determination for the firm that was found to be misrepresenting themselves.A determination of non-responsibility could impact a firm's ability to enter into contracting opportunities with New York State.

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Related Documents:Consultant Instruction 09-06 (9/11/09), Misrepresentations in Expressions-of-Interest or Shortlist Proposals *

https://www.nysdot.gov/main/business-center/consultants/consultants-repository/ci09-06misrep.pdf *Available on NYSDOTs web site.

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QUESTIONS?

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CIVIL RIGHTS D/MWBETrainingPayment/AAP-7*


D/MWBED/MWBE Participation goal is 18% of the Direct Technical Labor (DTL)Effective for the life of the agreement which includes all assignments and supplementals (Birth to Death)Assign D/MWBE work early on because of the uncertainty of assignments

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D/MWBE cont Ensure the D/MWBEs are assigned a Commercially Useful Function (CUF)Due to D/MWBEs graduating and to protect the stability of agreement, the Dept. recommends that the Primes have a subcontracts with your subsRefer to CI-08-01 DBE Post Graduate Contract Participation for clarification

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D/MWBE Common ErrorsPre-DesignationProposed team member:Is no longer certifiedHas a name changeIs no longer certified to perform certain work typesNOTE: Always confirm certification status and work types with the certifying agency that is responsible for the firm. Do not rely on copies or faxes of certification letters.*

D/MWBE Common ErrorsPre-Designation contCertifying Agencies DBEMetropolitan Transportation Authority (MTA)Niagara Frontier Transportation Authority (NFTA)Port Authority of New York & New Jersey (Port)NYS Department of Transportation (NYSDOT)Certifying Agency M/WBEEmpire State Development CorporationNOTE: Also report any errors to the certifying agency that is responsible for the firm.*

D/MWBE Common ErrorsPre-Designation contLack of knowledge/utilization of NYSUCP DBE Directory (a/k/a BizNet) for Federal-aid agreementsDBE Directory: http://biznet.nysucp.net/

Lack of knowledge/utilization of ESDC MWBE Directory for State-funded agreementsMWBE Directory (old site): http://205.232.252.35/or (new site): http://www.nylovesmwbe.ny.gov*

DBE Search TipsSearch by Firm NameName Begins With or Name IncludesTIP: Less is More If unsure of name, use only first letter (e.g., search under S)

Search by NYSDOT Work CodeTIP: If unsure of code, use Keywords featureTIP: Less is More Use traffic instead of traffic modeling or traffic counts*

DBE Search Tips contSearch by Business DescriptionTIP: Use more than 1 term and conduct several searches; this yields a comprehensive list, for example:Search #1 community participationSearch #2 outreachSearch #3 marketing*

MWBE Search TipsSearch by VendorMatch Start of Field or Any Part of FieldSearch by Product Codes/Descriptions or SIC Codes/DescriptionsNew site:Use Filter option and enter word(s)Filter options works for both codes simultaneouslyOld site: Search alphabetical listingTIP: Less is More Use engineering instead of civil engineering or engineering services*

D/MWBE ComplianceContract Managements Civil Rights Unit reviews:Draft and final proposal during negotiation stage for base agreements, supplementals and assignments;Level of commitment met vs. proposed at designation;CUF assigned to each D/MWBE on the proposal;GOOD FAITH EFFORTS to meet D/MWBE commitments as outlined in EOI, advertisements, and agreement

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D/MWBE Compliance contCI 07-04 Consultant Compliance with D/MWBE CommitmentDepartments monitoring procedures regarding prime consultants fulfillment of D/MWBE commitments made in EOIs Departments actions when monitoring reveals lack of Good Faith Efforts to meet commitments and untimely payments to firms *

D/MWBE Compliance contPossible results of non-compliance findings that are not corrected:Lowering of performance rating score for the D/WMBE portion of Dept.s Consultant Selection System to zero for the following 12 month period or until it takes appropriate remedial action Determination of non-responsibilityOther administrative actions*

TrainingTrainee(s) indicated at designationBased upon estimated hours of agreementResponsibility of Prime ConsultantMust be a minority, female or economically disadvantaged individualIndicate appropriate trainee titles on salary schedule

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Training Common ErrorsNot paid 75 % of the average hourly rate approved for the job classification intendedNot provided reasonable salary increases commensurate with performance and firms policiesNot brought on during first assignmentNot kept on for duration of agreement or prerequisite number of hours/month*

Training Common Errors contProposal doesnt provide appropriate hours for non productive/productive T timeNot utilizing the proper Training Program Outline provided by NICETRefer to Dept. web site for Consultant Engineers Training Catalog for approved (NICET) training programs:https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions

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Payment/AAP-7 Common ErrorsIn 2006, AAP-7 Summary of Consultant Payments to Subconsultants was revised by CI 06-06) 80% of firms are not following the forms directions or are not utilizing the revised formAAP-7 is an Excel spreadsheet that reports each subconsultants billings and payments separatelyAAP-7 is utilized for each subconsultant participating on the agreement*

Payment/AAP-7 UpdatesOctober 7, 2009 CI 09-05 Submittal of Excel Spreadsheet with Billings (AAP-7) further explains the use of the document due to the need the to improve the electronic tracking of consultant billings and paymentsAre you utilizing the new form?The Department will consider the billing incomplete if this CI is not followed*

Department Web SiteHas everything you need for Civil Rights requirements:FormsTraining CatalogConsultant Instructions (CIs)Links to DBE and MWBE Directories

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QUESTIONS?

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CONTRACT NEGOTIATION*

Contract ComponentsEvery contract is composed of four componentsDirect Technical Labor salariesOverheadDirect Non-Salary Cost out-of-pocket expensesFee profit

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Contract TypeCost Plus scope and size relatively defined

Specific Hourly scope specific, size undefined

Lump Sum scope and size well defined

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Negotiation Process

Consultant Job Manager (CJM) negotiates the titles, scope, hours and non-direct salary cost items with the consultant. Cost should not be a factor in this portion of the negotiation.Contract Management Analyst negotiates the costs relative to the titles, scope, hours and non-direct salary cost items agreed to by the consultant and the CJM.CI 03-03 details the negotiation process. https://www.nysdot.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practices

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Bottom Line ProcessIndustry aggregate salary rates are applied to the titles and hours negotiated by the CJM and the consultant.50th percentile = routine65th percentile = moderately complex75th percentile = complexOverhead applied at the consultants latest established rate.

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Bottom Line ProcessBottom Line < Consultants proposal = changeSalaries, overhead, projection or feeBottom Line > Consultant proposal = acceptedProject salary rates to weighted midpoint.Apply salary projection rate to reflect current trend.Bottom Line (BL) will be based upon salary grade specified in the project advertisement.The consultant may propose higher graded staff but must meet BL based on advertised titles.

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Bottom Line Process cont.BL < Consultants proposal = reductionSalaries - any revision in titles or hours requires CJM approval and recalculation of BL and may not result in being under BL.OverheadProjection FeeFirms that most contribute to > BL should assume the greatest burden of any reduction. *

Maximum/Specific Hourly RatesInitial rates are normally set for no more than 2 or 3 years.Specific hourly (SH) rates are set for a maximum of 12 months when a firms overhead is unusually high or low.Subsequent rates are based upon most current salary and overhead information.Firms are responsible for requesting the establishment of new rates as needed.Rates for SH agreements are set for the team.

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Maximum/Specific Hourly Rates cont.Now available on firms CSS web application effective for salary rates implemented from November 2009 onward.Annual firm salary rosters.Annual firm Max rates rosters.Contract rates for all contracts including specific hourly agreements.Primes can view subs salary rates for their contracts. Subs can view only their own salary rates in a contract.*

Cost Shell ISSUESFormulas drawing calculations from exhibit to exhibit are erased or altered.Formulas are replaced with typed in figures and sometimes locked.Old and outdated shells are submitted. https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructionsIncorrect salary averages are submitted resulting in D/M/WBE/DBE percentage and other inaccuracies that lengthen the negotiation process. *

QUESTIONS?

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Doing Business with DOTAudits

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Adequacy of Systems Accounting Billing

Negotiation

DNSCs

TypesFieldDesk

Purpose of Pre-award Evaluations*

Elements

Chart of accounts

Timesheet

Payroll distribution

Job cost ledger

Internal Controls Adequate Accounting System*

Submission of the following:

CONR 385 PartsI, II, V andIII - Schedule A, B and F.1

FAR Indirect Cost Audit Report

Financial StatementsConsultant Responsibility*

CI07-02

Annually if Gross income over $1 M

Submit CONR 385 and Financial Statements

Performed in accordance with GAGAS.

FAR Indirect Cost Audit*

GAGAS requirements

Peer review

Well versed in:GAGASFAR Part 31Cost Accounting StandardsAASHTO Audit GuideRelated laws and regulationsOverhead Auditor Selection*

Experience applying GAGAS

Working knowledge of the A/E Industry

Job cost accounting practices & systems

Competence supervisory staff

Experience performing FAR audits

Audit program

Overhead Auditor Selectioncontd*

MemorandumContract ManagementReport Issued*

QUESTIONS?Contact Information:Linda C. Zinzow, CPA, CGFMDirector, Contract Audit [email protected]

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CONSULTANT MANAGEMENT INFORMATION

Kevin W. Gregory, P.E.Director of the Consultant Management BureauOffice of Design New York State Department of Transportation

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AGENDA

Base Scope of Services

Design Consultant ManualQC Checklists

Q & A

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BASE SCOPE OF SERVICES

Used to develop a consultant design agreement

Customized to describe the methods and products to be provided

A living document that is continually reviewed and updated

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BASE SCOPE OF SERVICESContains the following eight Sections:Section 1000- Project DevelopmentSection 2000- Design Survey & MappingSection 3000- ROW Survey & MappingSection 4000- Preliminary Highway DesignSection 5000- Environmental StudiesSection 6000- Detailed Design HighwaySection 7000- Bridge DesignSection 8000- Project Management & Miscellaneous

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BASE SCOPE OF SERVICES2009 updates were to Section 7000 Bridge Load Ratings, and Section 5000 stormwater permit process

No updates planned in the near future

Available through the following NYSDOT link: https://www.nysdot.gov/divisions/engineering/design/ consultant-management

Contact Dave Watson of the Consultant Management Bureau at 518-457-2806 or [email protected]

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DESIGN CONSULTANT MANUAL

Provides basic information on the consultant management process

Includes the following 5 chapters:Chapter 1 General InformationChapter 2 - Pre-designationChapter 3 - Selection, Designation & NegotiationsChapter 4 - Consultant at WorkChapter 5 Agreement Closeout

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QUALITY CONTROL CHECKLISTS

Developing Quality Control (QC) Checklists

Part I, Consultant Acquisition

Part II, Consultant At-Work

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QUALITY CONTROL CHECKLISTS Checklists to be posted February, 2010:Procedure for Early StartProject Files and DocumentationConsultant BillingExtra/Additional Work DNSC ChargesConstruction Support Services

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QUALITY CONTROL CHECKLISTSChecklists in progress:Adding New Subconsultants, Subcontractors and Titles to Ongoing Design ContractsTime Extension ProceduresGet Start Meeting Consultant Performance EvaluationsContract Closeout

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MANUAL AND CHECKLISTS

Manual and Checklists update complete in about 15 months

Updates will be posted on the NYSDOT website: https://www.nysdot.gov/divisions/engineering/design/ consultant-management

Contact Dave Watson, Consultant Management Bureau at 518-457-2806 or [email protected]

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DISCUSSION

Questions*

CI Consultant Agreements (Non-Term) QA Checklist*


Construction Inspection Consultant Agreements (Non-Term)Quality Assurance Checklist 11/04/09 (Page 1 of 2) 1 . Is there a copy of the Consultant Agreement in the field Office? In the Regional Office? 2. Is there a copy of the Consultant Health and Safety Plan in the field Office which covers both the Prime and subs? In the Regional Office? 3. Is there a copy of the Consultant Insurance Certificates in the field Office? In the Regional Office? 4. Is there a copy of the Consultant Conflict of Interest Statement in the field Office? In the Regional Office? 5. Are the consultant inspectors aware of their contractual responsibilities with regard to their own safety and safety of others in the work zone (contractor, public)? 6. Is the EIC aware of the Consultant Instructions maintained and issued by Contract Management which pertain to safety, computer use and possession, and technical requirements for Earthwork Inspection? 7. Is the EIC familiar with the Consultant Agreement for their project? Do they know the scope, completion date and Maximum Amount Payable? 8. Does the EIC understand their responsibilities for the agreement and what role the Regional office plays (staffing, economy, State staff availability, slowdowns, time extensions, supplemental etc.)? 9. Has each consultant inspector been approved to work on the project by the EIC (or supervisor or RCE)?

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* Construction Inspection Consultant Agreements (Non-Term)Quality Assurance Checklist 11/04/09 (Page 2 of 2) 10. Is there supporting documentation for inspector qualifications in the field office files? In other words, is there backup to demonstrate that the titles billed by the consultant for their field staff match the actual qualifications of that staff (ie. If NICET III is billed, does the person satisfy NICET III requirements). 11. Do consultant inspectors working in specific technical areas (soils, concrete, WZTC, HMA, painting) have the specific qualifications required by the Agreement to perform the work? 12. How is the field office keeping track of the actual hours worked by consultant inspectors and is this being compared to the consultants bills? 13. Are consultant inspector salaries included in the office files and are raises being reviewed when appropriate? 14. Is the EIC knowledgeable of MURK 1D? Are they even aware of it? 15. What has been the consultants performance thus far? Has poor or exceptional performance been documented? CI Consultant Agreement D#_____________ Construction Contract D# _________________ EIC Name: ____________________ Date:Supervisor: ____________________ Date:

1. Is there a copy of the Consultant Agreement in the field Office? In the Regional Office? *

1. Is there a copy of the Consultant Agreement in the field Office? In the Regional Office? Hard copy or scanned agreement should be available in both places. Contract Management has been issuing and storing all agreements since Jan. 09 at P:\Administrative Services\Contract Management Bureau\Contracts-Electronic Copies\Executed Agreement PDFs

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2. Is there a copy of the Consultant Health and Safety Plan in the field Office which covers both the Prime and subs? In the Regional Office? *

2. Is there a copy of the Consultant Health and Safety Plan in the field Office which covers both the Prime and subs? In the Regional Office? Hard copy or scanned H&SP should be available in both places.

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3. Is there a copy of the Consultant Insurance Certificates in the field Office? In the Regional Office? Maintained by Contract Management. *

3. Is there a copy of the Consultant Insurance Certificates in the field Office? In the Regional Office? Maintained by Contract Management. File time extensions for CI Agreements in a timely manner so that the consultant is not working beyond the limit of the agreement. This reduces the risk of insurance not being in place. Current Certificates should be available in the Regional office or field office since the consultant is not allowed to work without them.

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4. Is there a copy of the Consultant Conflict of Interest Statement in the field Office? In the Regional Office? *

4. Is there a copy of the Consultant Conflict of Interest Statement in the field Office? In the Regional Office? Hard copy or scanned Statement should be available in both places. This differs from the PLL conflict of interest documents and reporting prior to agreement execution.

*

5. Are the consultant inspectors aware of their contractual responsibilities with regard to their own safety and safety of others in the work zone (contractor, public)?*

5. Are the consultant inspectors aware of their contractual responsibilities with regard to their own safety and safety of others in the work zone (contractor, public)? Occasionally consultants claim they do not have responsibility in this area or limit their responsibility only to their employees. The Agreement Schedule A contains language explaining their responsibilities concerning the contractor and public as well as their own employees.

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6. Is the EIC aware of the Consultant Instructions maintained and issued by Contract Management which pertain to safety, computer use and possession, and technical requirements for Earthwork Inspection? *

6. Is the EIC aware of the Consultant Instructions maintained and issued by Contract Management which pertain to safety, computer use and possession, and technical requirements for Earthwork Inspection? They should be aware of the CIs as should the EIC. They are located at the following link. https://www.nysdot.gov/main/business-center/consultants/architectural-engineering/consultant-instructions

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7. Is the EIC familiar with the Consultant Agreement for their project? Do they know the scope, completion date and Maximum Amount Payable?

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7. Is the EIC familiar with the Consultant Agreement for their project? Do they know the scope, completion date and Maximum Amount Payable? Completion date for the Agreement is not the same as the Construction Contract completion date. They are set and extended independently of each other.

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8. Does the EIC understand their responsibilities for the agreement and what role the Regional office plays (staffing, economy, State staff availability, slowdowns, time extensions, supplemental etc.)?*

8. Does the EIC understand their responsibilities for the agreement and what role the Regional office plays (staffing, economy, State staff availability, slowdowns, time extensions, supplemental etc.)? Different Regions manage their agreements differently with some Regional offices playing a more prominent role than others. The point of this question is to help make sure the EIC understands their role from the Regional Office perspective.

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9. Has each consultant inspector been approved to work on the project by the EIC (or supervisor or RCE)? *

9. Has each consultant inspector been approved to work on the project by the EIC (or supervisor or RCE)? Schedule A of the Agreement requires that the Consultant recommend inspectors for approval with resumes certifications and initial salaries. The Department may require an interview and may disapprove any application.

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10. Is there supporting documentation for inspector qualifications in the field office files? In other words, is there backup to demonstrate that the titles billed by the consultant for their field staff match the actual qualifications of that staff (ie. If NICET III is billed, does the person satisfy NICET III requirements). *

10. Is there supporting documentation for inspector qualifications in the field office files? In other words, is there backup to demonstrate that the titles billed by the consultant for their field staff match the actual qualifications of that staff (ie. If NICET III is billed, does the person satisfy NICET III requirements). Consultant Inspectors should have up to date NICET certifications and copies (or scanned documents) should be in the field office and Regional office . Consultants are required to keep their certifications up to date. If NICET certs are not available, the consultant may propose equivalent qualifications based on education and experience. Guidelines for these are found in MURK 1D section 4.3 and NICET and ASCE title descriptions are found in the Appendices.

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11. Do consultant inspectors working in specific technical areas (soils, concrete, WZTC, HMA, painting) have the specific qualifications required by the Agreement to perform the work? *

11. Do consultant inspectors working in specific technical areas (soils, concrete, WZTC, HMA, painting) have the specific qualifications required by the Agreement to perform the work? To enforce this criteria the EIC needs to review the Agreement and identify the specific certifications required as listed in Schedule A in addition to NICET.*

12. How is the field office keeping track of the actual hours worked by consultant inspectors and is this being compared to the consultants bills? *

12. How is the field office keeping track of the actual hours worked by consultant inspectors and is this being compared to the consultants bills? Consultant Time sheets alone are not sufficient unless they are supported by a system independent of the consultants records.

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13. Are consultant inspector salaries included in the office files and are raises being reviewed when appropriate?*

13. Are consultant inspector salaries included in the office files and are raises being reviewed when appropriate? This does not apply to Term agreements or ABC assignments since those rates are fixed by title. However in project specific agreements the Region does approve raises to prevent the consultant from charging the maximum allowed in a title without justification.

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14. Is the EIC knowledgeable of MURK 1D ? Are they even aware of it? *

14. Is the EIC knowledgeable of MURK 1D ? Are they even aware of it? EICs who have not worked before with consultants may not be aware of MURK 1D. Although some information is dated, it contains the answers to many questions regarding consultants. Link to MURK 1D is: https://www.nysdot.gov/main/business-center/contractors/construction-division/forms-manuals-computer-applications-general-information

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15. What has been the consultants performance thus far? Has poor or exceptional performance been documented? *

15. What has been the consultants performance thus far? Has poor or exceptional performance been documented? Interim ratings (good, bad, or ugly) may be filed at any time in the rating period if necessary. It is not necessary to wait until a rating is formally due.

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QUESTIONS?

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Overview of NYSDOT Bridge Inspection ContractsBy Peter McCowanNYSDOTMain OfficeBridge InspectionUnit*


NYS Bridge Inspection9,000 10,000 Inspections per year

NYSDOT fields ~ 67 Bridge Inspection Teams per year

~ 60% are Consultant Teams

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State is divided up into 11 Regions*

Bridge InspectionMost of the Upstate Regions (1 thru 9) have 2 year Bridge Inspection contracts starting in even number years (2008-09, 2006-07, etc.)

The ads are normally posted the previous June +/-

This current cycle, Region 9 was split into 2 contracts (9 East & 9 West)

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Bridge InspectionRegion 11 has 4 East River BridgeInspection contracts also in the evennumber years (2006, 2008 etc.)

The work for these contracts generally runs for just 1 inspection year

The ads for these agreements are also normally out the previous June*

Bridge InspectionA Region 10 Bridge Inspection contract & Region 11 with 4 General Bridge Inspection contracts start in the odd number years (2007-08, 2009-10, etc.)

The 4 R11 contracts are split by county (Bronx, Kings/Richmond, New York & Queens)

The ads for these agreements are also normally out the previous June +/-*

Bridge InspectionUnderwater InspectionsNYSDOT has 3 Underwater Bridge Inspection contracts starting in the odd number years (2007-08, 2009-10, etc.) These contracts are split up South (R10 & R11), West (R3, R4, R5 & R6) and East (R1, R2, R7, R8 & R9)The ads for these agreements are also normally out the previous June +/-*

Bridge InspectionFor the General Bridge Inspection contracts(including the ERB contracts)

Ads, specs, scopes, negotiations - consultant management is handled by the MO BIU

After these contracts are executed, project management is handled by the Region and QA is handled by the MO BIU

For Underwater Bridge Inspection contracts, all consultant management is handled by the MO BIU *

Bridge Inspection Standards NYS Bridge Inspection Manual - 1997http://www.nysdot.gov/portal/page/portal/divisions/engineering/structures/manuals/bridge-inspection

Technical Advisories (thru 2006)

FHWA Bridge Inspectors ReferenceManual (BIRM - 2006)

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NYS Inspection StandardsBridge inspections are conducted by 2 person inspection teams:Team Leader (PE)Assistant Team Leader

Inspectors examine, evaluate and rate all of the elements on a bridge (minimum of 64 items)*

Qualification of StaffTeam Leaders must have 3 years of recent bridge experience and a NYS PE

QC Engineers must have 5 years of recent bridge experience and a NYS PE

Assistant Team Leaders must have EIT, CE Degree, or 3 years of bridge related experience

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Bridge InspectionConsultants often provide Work Zone Traffic Control for the State Teams

Quality Control is done by the Consulting Firm for the Consultant inspection teams

All Quality Assurance is handled by the NYSDOT MO Bridge Inspection Unit*

Bridge Inspection Training: NYSDOT provides a 1 week comprehensive Bridge Inspection Workshop tailored specifically to the NYS Inspection Program

Workshop includes NBIS training by a FHWA representative, safety training by a Safety Officer (OSHA trained) and 2 inspections where the entire class is out in the field

Annual Bridge Inspectors Meeting includes guest speakers, training & covers key issues*

Questions ?

QUESTIONS?

*

*

BILLINGS

BILL HOWE, DIRECTOR OF CONTRACTS

*BILLINGSForms in the billing packageFIN 421: Consultant Payment RequestFIN 421 Reverse: Breakdown by PINFIN 422a: Breakdown by category (for each PIN)FIN 423: Payroll Abstract (for each PIN)Backup (timesheets, DNSC breakdown, etc.)Billings for each sub with same forms as aboveCONR 324: Cost Control Report (for each PIN)AAP7: Payments to Subconsultants (for each sub)Can submit monthlyExcel spreadsheet in addition to hard copy

*BILLINGS (contd)Billing errors and omissionsMinor, easily fixed errors that do not increase total bill can be corrected by DOT. Consultant will be sent a copy of the corrections.Errors not easily fixed or that increase the total bill must be corrected by the consultantIf these are minor, DOT may process bill as is and ask consultant to correct in next billingOtherwise consultant must make corrections and submit a revised billing

*BILLINGS (contd)Merchandise/Invoice Received (MIR) dateNYS Finance Law requires payment within 30 days of receipt of an acceptable billIf payment not made in 30 days, interest is dueMIR date is entered on the FIN 421 form by DOTIf initial bill is OK, MIR date will be date receivedIf corrections by consultant are needed, MIR date will be date corrected bill is received

*BILLINGS (contd)Prompt payment to subsNYS and Federal law require the prime consultant to make prompt payment to subsPrimes billing must include all billings from subs received at least 10 days previouslyPrime must submit billing for subs work even if the prime has no work of their own in the bill Prime must pay subs within 10 days of the date the prime receives payment for the subs workPrime should provide explanation to NYSDOT if sub submitted bill that needed correction or if subs work was not acceptable

*BILLINGS (contd)E-paymentsThe NYS Comptroller can make electronic payments directly to the primes bank accountThis allows quicker payment by eliminating time for check processing and mailingConsultant will receive an email when electronic payments have been madeVisit http://osc.state.ny.us/epay/index.htm to enroll in e-payments

QUESTIONS?

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Adding Sub Contractors & Consultants*

SUBCONTRACTORSNon-engineering service.May be added as a Direct Non-Salary Cost $15,000 3 bids> $100,000 requires a cost competitive solicitationMay be conducted by the consultantGuidance must be provided by the Office of Contract Mgt.Must be advertised in the Contract Reporter*

SUBCONSULTANTSEngineering firms may be added to a consultant contract only with the CJMs approval. The new consultant firm must be registered in the Consultant Selection System (CSS)It must have a salary roster on file.It must have an appropriate accounting system and be prepared to submit its financial information in a CONR-385.In rare cases other arrangements may be made with guidance from the Office of Contract Mgt.DMWBE/DBE commitments must be met. *

PRIME - SUB CONTRACTSThere should be one Require the sub to adhere to the terms of the primes DOT contractPayment time framesBroader based work tasksContract duration Graduation from D/M/WBE/DBE statusTermination and withdrawal Early close-outMust meet D/M/WBE /DBE commitment even if there is not enough task hours in the proposed subs scope.

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QUESTIONS?

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PERFORMANCE EVALUATIONS

*

Firms are evaluated based upon the categories of work or work types performed under a particular contract. There can be multiple work types under the same contract. Currently being used for AE contracts and will be extended in the near future for Non-AE contacts.

Performance Evaluations are to be performed as follows:

Annual On the anniversary of the Office of the State Comptrollers signature on the contract;

Interim Whenever there is a change in the quality of work performed, Upon completion of a major phase in the project;

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Pending Final Design Projects, Phases V & VI only, when Final Design Plans are completed by consultant;

Final for Design Projects only After an adequate amount of time has expired during the Construction Phase in order to evaluate the Design Plans;

Final For all other project types, at the completion of the project.

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RATING SCALE - NUMERICAL RATING DEFINITION10 Outstanding. Performance stands above most other firms.9 - Between Very Good and Outstanding. Provided more than acceptable services for the work required and Performance was above other firms in some areas.8 - Very Good. Provided more than acceptable services for the work required by this scope. Firm was able to respond to any technical issue that might arise. 7 - Between Good and Very Good. Firm was between qualified & highly qualified.6 Good. Firm was qualified.5 - Between Satisfactory and Good. Provided clearly acceptable services for work required by this scope and was qualified.

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RATING SCALE - NUMERICAL RATING DEFINITION (cont.)

4 Satisfactory. Provided clearly acceptable services for work required by this scope.3 - Between Minimally Acceptable & Satisfactory. Provided minimally acceptable services and some clearly acceptable services for work required by this scope.2 - Minimally Acceptable. Provided minimally acceptable services for this scope.1 - Between Unacceptable and Minimally Acceptable. Provided minimally acceptable and some unacceptable services for this scope.0 Unacceptable. Completely unable to provide acceptable services for this scope.

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Evaluation Format:

1. All Consultants

a. Competence of Personnel b. Conduct as a Professional c. Timely Performance of Work d. Project Cost Maintenance e. Follows Instructions

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Evaluation Format:

2. Design Consultants

a. Adherence to Department Procedures, Standards & Specificationsb. Ability to Adapt Design Features to Project Conditionsc. Accuracy/Clarity of Reports, PS&E

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3. CI, BI and OH Sign Structure Inspection

a. Ability to Adjust to Unexpected Circumstances

b. Accuracy & Completeness of Project Records

c. Knowledge of Department Specifications

d. Adequacy of Emphasis on Maintenance & Protection

e. Adequacy of Training & Supervision of Staff

f. Enforcement of Department Specifications

g. Communications & Dealing with Department, Contractor & General Public

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4. Overall Performance

a. Consultants are rated for each work type they performed;b. Raters are also able to provide written comments in addition to numeric scoring of performance.

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Evaluation Process

Evaluation is prepared by the Consultant Job Manager (CJM);

Proposed evaluation is reviewed by CJMs supervisor. If approved, evaluation is forwarded to Contract Management;

Contract Management forwards evaluation to firm electronically for review and potential feedback. Firms have two (2) weeks from the date mailed to respond with their feedback. CI 09-03 is provided for instructions to firm. There is a benefit to the firm to provide their feedback quickly; when a response is received from the firm, the evaluation is made available the next day for use in upcoming selection processes;

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Firms comments are returned electronically to Contract Management via CSSWeb email postbox;

Contract Management adds firms comments to the evaluation. Department staff viewing the evaluations will see the evaluators scores and comments as well as the firms feedback comments.

Evaluations are active for three (3) years from the end of the Service To date on the evaluation.

Bad or Poor evaluations can be overcome by improved performance.*

Evaluations in the Selection Process Refer to the Design and CI Scoring Methodology for a detailed description.

1. Only evaluations related to weighted tasks for an advertised project are considered in the selection scoring for a project. Detailed advertisement may provide additional information for specific circumstance;

2. Only the latest evaluation for a work type for a given project is used in the selection scoring process;

3. If no evaluations are available for a prime or JV, or if not assigned a weighted task, firm is given the mode of all primes or JVs that submit electronic EOIs for the project. Similar approach is use for subconsultants, If a mode cannot be calculated, generally, a default score of 5 is given. Exceptions to this policy may occur on a project specific basis and would be stated in the detailed advertisement for that project;

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4. A blended score is calculated for the consultant team based upon the percentage of work proposed for each team member.

The default weight for Factor 2A, Prior NYSDOT Performance Ratings, is 19% for Design and CI.*

Related Documents:

Consultant Instruction 09-03 (12/23/09), CONR-387 Response Requirements Consultant Performance Evaluation Comments * https://www.nysdot.gov/main/business-center/consultants/consultants-repository/ci09-03conr387_response.pdfCONR-387, Comments on Performance Evaluation * https://www.nysdot.gov/main/business-center/consultants/consultants-repository/CONR387.pdf

Design Scoring Methodology (12/23/08) * https://www.nysdot.gov/main/business-center/consultants/consultants-repository/desscore.pdf

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Construction Inspection Scoring Methodology (12/23/08) * https://www.nysdot.gov/main/business-center/consultants/consultants-repository/ciscore.pdfExcerpts from Consultant Performance Evaluation System Evaluator Documents (10/7/08)*Available on NYSDOTs web site.Rev. 1/5/10

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QUESTIONS?

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CLOSE- OUT*

CLOSE-OUT

The CJM must issue a final acceptance of the work prior to a close-out request.Subconsultants may be closed-out prior to the completion of all work if both the prime and the CJM approve and D/M/WBE/DBE commitments are met.Close out initiation requires original signature of the CJM and his/her supervisor on our close-out request form on our internal web site.Draft final bill or last bill if final not available

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CLOSE-OUT cont.Final bill should include Incentive Payment if eligible.Incentive Payments not included on the final bill will not be authorized for payment. (CI 07-03) https://www.nysdot.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practicesFinal performance evaluation (wont delay audit)Final Audits are appealable instructions are included in audit document and a determination will be issued by the DOTs Administrative Law Judge within 30 days of receipt.

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CLOSE-OUT cont.Failure to file an appeal within the required time period will result in audit determinations becoming final and payable.The Department will automatically make payments due the consultant as a result of a final audit determination.

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************Contract Audit Bureau is requested by Contract Management Bureau to perform a preaward evaluation of the consultants accounting and billing system to determine that it is adequate to support the contract being negotiated and determine an overhead rate for contract negotiation and pricing purposes, as well as what items of direct non-salary cost can be supported and billed. For the most part these evaluations are conducted within our office as desk audits. For new firms or currently utilized firms where there have been changes in organization or systems, we may chose to perform work onsite at the consultants office.

*An adequate accounting system is one that identifies segregates and accumulates both direct and indirect costs into appropriate general ledger accounts.Elements of an adequate accounting system include:A chart of accounts which identifies appropriate direct and indirect cost accounts. Accounts identifying and accumulating unallowable costs should be created, A timesheet (either electronic or manual) that captures all hours of effort expended and identifies whether the cost is direct or indirect and to what job or indirect cost should be charged,A payroll distribution which accumulates labor costs from the timesheets and serves as the basis for posting to the general ledger and subsidiary job cost ledger,A job cost ledger which accumulates costs by job (final cost objective)A documented process and procedures of controls to ensure that transactions are accurately recorded, summarized, and transferred through the systems.

*Much of the information necessary to perform a preaward evaluation is provided by the consultant in the form of: CONR 385, GPFS and FAR Indirect Cost Audit Report.CONR 385: CONTRACT SERVICE FIRM ANNUAL FINANCIAL OWNERSHIP AND ACCOUNTING PRACTICES REPORTAnnually, firms must complete and certify all of parts I, II and V of the CONR 385. Additionally, part III of the CONR 385, schedule A (Compensation of the firm's 10 highest paid Principals/Employees), schedule B (Computation of Direct Payroll Base) and schedule F.1 (Distribution of Field and Office Expenses) must be submitted. The remaining portions of part III and all of part IV are no longer required.

*Firms functioning as either a prime or subconsultant in engineering services agreements for the Department are required to have an overhead audit performed in accordance with Federal Acquisition Regulations (FAR) annually (FY). The criteria for submitting a FAR overhead audit are (CI 07-02):Firms with a gross income of less than one million dollars annually during two of the last three fiscal years do not have to submit a FAR audit every year. Any firm that normally has a FAR overhead audit performed annually is required to submit that FAR audit each year with its annual CONR-385 and financial statement.The FAR overhead audit must be performed in accordance with Generally Accepted Government Auditing Standards. The audit work papers shall be available for NYSDOT inspection upon request. The ASSHTO Consultant Audit Guide may be accessed at http://downloads.transportation.org/Audit-AccountingGuide.pdf*For new engineering firms --considerations when selecting a CPA Firm as Overhead Auditor:There are many factors involved in selecting a CPA to perform an overhead audit. The CPA must followAICPA professional standards and must obtain sufficient, appropriate audit evidence to support the opinion that the overhead schedule was prepared in compliance with the FAR 31.2 Cost Principles. The following list, although not comprehensive, provides some factors for consideration. The CPA should:Meet all GAGAS requirements, including requirements for adequate continuing professional education (CPE) in governmental auditing.Have received favorable peer review reports.Be well versed in GAGAS, the provisions of FAR Part 31 (including the FAR Subpart 31.2 cost principles), Cost Accounting Standards, related laws and regulations (e.g., the Internal Revenue Code, the Federal Travel Regulation, and 23 U.S.C. 112), and the guidelines and recommendations set forth in the AASHTO Audit Guide.Have adequate experience in applying GAGAS.Have a working knowledge of the A/E industry, including common operating practices, trends, and risk factors.Be well versed in job-cost accounting practices and systems used by A/E firms.Assign direct supervisory staff to the engagement with prior experience performing overhead audits in compliance with FAR Part 31.Have experience performing FAR audits and have knowledge of Government procurement with regard to various types of contracts and contract payments terms affecting the development and/or application of an allowable overhead rate.Design and execute an audit program that meets the AICPAs professional standards, as well as the specific testing recommendations described in the sample CPA Workpaper Review Program provided in Appendix A of the AASHTO Audit Guide.*Staff assigned to perform the engagement must collectively possess adequate professional competence for the tasks required. (General Standards 3.4)*A memorandum report is prepared and transmitted to CMB for their use in finalizing contract negotiations.

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