Chapter 10 Consultant Selection - California Department of ...

Local Assistance Procedures Manual

Chapter 10 Consultant Selection

Chapter 10 Consultant Selection

Contents

10.1 FEDERALLY-FUNDED A&E CONTRACTS .............................................................. vi 10.1.1 General ......................................................................................................................1

Introduction ...............................................................................................................1 Definition of an Architectural and Engineering Consultant ........................................1 Architectural and Engineering Consultants ...............................................................1 Non-A&E Consultants ...............................................................................................2 Selecting the Project .................................................................................................2 Subcontracted Services ............................................................................................2 Organizational and Consultant Conflicts of Interest ..................................................2 Consultants Performing Work on Multiple Phases of Federal-aid Projects ...............3 10.1.2 Identifying & Defining a Need for Consultants............................................................4 Appointing the Contract Administrator.......................................................................4 Segmenting Consultant Work....................................................................................5 Specify Products to be Delivered ..............................................................................6 Scope of Consultant Work.........................................................................................6 Title VI Assurances ...................................................................................................6 Non-Discrimination Clause........................................................................................7 Disadvantaged Business Enterprise (DBE) Participation ..........................................7 Determine Type of Contract ......................................................................................8 Determining the Project Schedule...........................................................................10 Determine Method of Payment................................................................................11 Cost-Plus-Fixed Fee................................................................................................11 Cost Per Unit of Work..............................................................................................11 Specified Rates of Compensation ...........................................................................12 Lump Sum...............................................................................................................12 Changes to Cost Proposal ......................................................................................12 10.1.3 A&E Consultant Audit and Review Process .............................................................13 Applicable Standards ..............................................................................................13 Audit Guidance Available ........................................................................................14 Allowable Costs.......................................................................................................14 Safe Harbor Rate ....................................................................................................15 Approval or Acceptance of Indirect Cost Rates.......................................................16 Cognizant Letters of Approval .................................................................................16 Caltrans Acceptance of Indirect Cost Rate..............................................................16

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Chapter 10 Consultant Selection

Financial Review Performed Prior to Contract Execution........................................17 Local Public Agencies' Responsibilities...................................................................17 Consultants' Responsibilities (Both prime consultants and subconsultants) ...........18 Independent Office of Audits and Investigations' Responsibilities...........................19 Audits and Reviews to be Performed ......................................................................19 Indirect Cost Rate Audits.........................................................................................19 CPA Workpaper Reviews........................................................................................20 Contract Audits........................................................................................................20 Incurred Cost Audits................................................................................................20 Audit Findings and Review Deficiencies..................................................................20 10.1.4 Consultant Selection Methods..................................................................................23 One-Step RFP.........................................................................................................23 One-Step RFQ ........................................................................................................23 Two-Step (RFQ Followed by RFP)..........................................................................23 10.1.5 Consultant Selection Using the One-Step RFP Method ...........................................24 Appoint Consultant Selection Committee ................................................................24 Develop Technical Criteria for Evaluation of Proposals...........................................24 Develop Schedule for Consultant Selection ............................................................25 Prepare RFP ...........................................................................................................25 Financial Management and Accounting System Requirements ..............................26 Advertise for Consultants ........................................................................................26 Conduct Proposer's Conference or Answer Written Questions...............................26 Receive and Evaluate Technical Proposals ............................................................27 Develop Final Ranking and Notify Consultants of Results ......................................27 Negotiate Contract with Top-Ranked Consultant ....................................................27 10.1.6 Consultant Selection Using the One-Step RFQ Method ........................................29 Appoint Consultant Selection Committee ................................................................29 Develop Technical Criteria for Evaluation of Qualifications .....................................29 Develop Schedule for Consultant Selection ............................................................30 Prepare RFQ...........................................................................................................30 Financial Management and Accounting System Requirements ..............................31 Advertise for Consultants ........................................................................................31 Issue/Publish RFQ ..................................................................................................31 Receive/Evaluate Statements of Qualifications and Develop Shortlist ....................32 Notify Consultants of Shortlist .................................................................................32 Interview Top-Ranked Consultants .........................................................................32 Develop Final Ranking and Notify Consultants of Results ......................................33 Conduct Scoping Meeting .......................................................................................33

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Request Cost Proposal ...........................................................................................33 Negotiate Contract with Top-Ranked Consultant ....................................................34 10.1.7 Consultant Selection Using the Two-Step RFQ/RFP Method .................................35 Combined RFQ and RFP ........................................................................................35 Categorize Work .....................................................................................................36 Establish Minimum Qualifications............................................................................37 Issue RFQ ...............................................................................................................37 Set-Up Evaluation Process .....................................................................................38 Evaluate Qualifications and Add Firm to List...........................................................38 Maintain List ............................................................................................................39 Issue RFP to Prequalified Consultants on List ........................................................39 Conduct Proposer's Conference or Answer Written Questions...............................39 Receive and Evaluate Technical Proposals ............................................................40 Develop Final Ranking and Notify Consultants of Results ......................................40 Request Cost Proposal and Negotiate Contract with Top-Ranked Consultant........40 10.1.8 Completing the Project ............................................................................................42 Develop the Final Contract......................................................................................42 Review and Approval of Contracts ..........................................................................42 Execute Contract and Issue Notice to Proceed to Consultant.................................43 Administer the Contract...........................................................................................43 Substitution of Consultant Personnel and Subconsultants......................................44 Invoicing (or Progress Payments) ...........................................................................44 Contract Amendments.............................................................................................45 Performance Evaluation ..........................................................................................46 Project Records.......................................................................................................46 Retention Clauses ...................................................................................................47 Review of Local Public Agency Actions...................................................................47 10.1.9 Miscellaneous Considerations..................................................................................47 Agreements with Other Governmental Agencies ....................................................47 Small Purchase Contracts.......................................................................................48 Noncompetitive Negotiated Contracts (Sole-Source)..............................................48 Retaining a Consultant in a Management Support Role (CMSR)............................48 Construction Engineering Services .........................................................................51 10.1.10 Program Management............................................................................................52 10.1.11 References.............................................................................................................53 10.2 STATE-ONLY FUNDED A&E CONTRACTS .............................................................55 10.2.1 General ....................................................................................................................55 10.2.2 Definition of A&E ......................................................................................................55

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10.2.3 Minimum Audit Requirements ..................................................................................56 A. Written Procedures .............................................................................................56 B. Conflict of Interest ...............................................................................................56 C. Records ..............................................................................................................56 D. Full & Open Competition.....................................................................................56 E. Selection Basis ...................................................................................................56 F. Publication ..........................................................................................................56 G. Solicitation ..........................................................................................................56 H. Cost Analysis ......................................................................................................57 I. Negotiations .........................................................................................................57 J. Audit and Review Process...................................................................................57 K. A&E Consultant Contract Form...........................................................................57

10.3 NON-A&E CONTRACTS ...........................................................................................61 Scope ......................................................................................................................61 Determining Non-A&E .............................................................................................61 Example of Determining Non-A&E ..........................................................................61 Intelligent Transportation System (ITS) Projects .....................................................62 Non-Infrastructure Projects .....................................................................................62 Governing Regulations and Codes for Non-A&E ....................................................63 Procurement of Non-A&E Consultant Contracts .....................................................63 RFP Basic Requirements ........................................................................................63 Additional Requirements and Evaluation Criteria ....................................................64 Consultant's Proposal .............................................................................................64 Cost Proposal Worksheet........................................................................................65 DBE Consideration..................................................................................................65 Administrative Requirements ..................................................................................65 Oral Presentations Optional ....................................................................................66 Cost-Effective / Public Interest Finding....................................................................66 Protest / Appeals / Reinstatement Procedures........................................................66

10.4 A&E OVERSIGHT PROGRAM AND PROCESS REVIEW ........................................67 General ...................................................................................................................67 Type of Reviews......................................................................................................67 A&E Consultant Contract Form Review ..................................................................67 Review Findings and Deficiencies...........................................................................68

10.5 SANCTIONS ..............................................................................................................69

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Exhibits

Exhibit 10-B: Suggested Consultant Evaluation Sheet Exhibit 10-G: Individual A&E Task Order DBE Tracking Sheet Exhibit 10-I: Notice to Proposers DBE Information Exhibit 10-O1: Consultant Proposal DBE Commitment Exhibit 10-O2: Consultant Contract DBE Commitment Exhibit 10-Q: Disclosure of Lobbying Activities Exhibit 10-R: A&E Boiler Plate Agreement Language Exhibit 10-S: Consultant Performance Evaluation Exhibit 10-T: Conflict of Interest & Confidentiality Statement Exhibit 10-U: Consultant in Management Support Role Conflict of Interest and Confidentiality Statement

All LAPM Exhibits are located at:

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