Chapter 10 Consultant Selection

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 10.1.3 A&E Consultant Audit and Review Process .............................................................13 Applicable Standards ..............................................................................................13 Audit Guidance Available ........................................................................................13 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 Financial Review Performed Prior to Contract Execution........................................17

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Chapter 10 Consultant Selection

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........................................................................................19 Contract Audits........................................................................................................20 Incurred Cost Audits................................................................................................20 Audit Findings and Review Deficiencies..................................................................20 10.1.4 Consultant Selection Methods..................................................................................22 One-Step RFP.........................................................................................................22 One-Step RFQ ........................................................................................................23 Two-Step (RFQ Followed by RFP)..........................................................................23 10.1.5 Consultant Selection Using the One-Step RFP Method ...........................................25 Appoint Consultant Selection Committee ................................................................25 Develop Technical Criteria for Evaluation of Proposals...........................................25 Develop Schedule for Consultant Selection ............................................................25 Prepare RFP ...........................................................................................................26 Financial Management and Accounting System Requirements ..............................27 Advertise for Consultants ........................................................................................27 Conduct Proposer's Conference or Answer Written Questions...............................27 Receive and Evaluate Technical Proposals ............................................................28 Develop Final Ranking and Notify Consultants of Results ......................................28 Negotiate Contract with Top-Ranked Consultant ....................................................28 10.1.6 Consultant Selection Using the One-Step RFQ Method ........................................30 Appoint Consultant Selection Committee ................................................................30 Develop Technical Criteria for Evaluation of Qualifications .....................................30 Develop Schedule for Consultant Selection ............................................................31 Prepare RFQ...........................................................................................................31 Financial Management and Accounting System Requirements ..............................32 Advertise for Consultants ........................................................................................32 Issue/Publish RFQ ..................................................................................................32 Receive/Evaluate Statements of Qualifications and Develop Shortlist ....................32 Notify Consultants of Shortlist .................................................................................33 Interview Top-Ranked Consultants .........................................................................33 Develop Final Ranking and Notify Consultants of Results ......................................34 Conduct Scoping Meeting .......................................................................................34 Request Cost Proposal ...........................................................................................34

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Negotiate Contract with Top-Ranked Consultant ....................................................34 10.1.7 Consultant Selection Using the Two-Step RFQ/RFP Method .................................36

Combined RFQ and RFP ........................................................................................36 Categorize work ......................................................................................................37 Establish Minimum Qualifications............................................................................37 Issue RFQ ...............................................................................................................38 Set-Up Evaluation Process .....................................................................................39 Evaluate Qualifications and Add Firm to List...........................................................39 Maintain List ............................................................................................................39 Issue RFP to Pre-Qualified Consultants on List ......................................................40 Conduct Proposer's Conference or Answer Written Questions...............................40 Receive and Evaluate Technical Proposals ............................................................40 Develop Final Ranking and Notify Consultants of Results ......................................41 Request Cost Proposal and Negotiate Contract with Top-Ranked Consultant........41 10.1.8 Completing the Project ............................................................................................42 Develop the Final Contract......................................................................................42 Review and Approval of Contracts ..........................................................................43 Execute Contract and Issue Notice to Proceed to Consultant.................................44 Administer the Contract...........................................................................................44 Substitution of Consultant Personnel and Subconsultants......................................45 Invoicing (or Progress Payments) ...........................................................................45 Contract Amendments.............................................................................................45 Performance Evaluation ..........................................................................................46 Project Records.......................................................................................................47 Retention Clauses...................................................................................................48 Review of Local Public Agency Actions...................................................................48 10.1.9 Miscellaneous Considerations..................................................................................48 Agreements with Other Governmental Agencies ....................................................48 Small Purchase Contracts.......................................................................................48 Noncompetitive Negotiated Contracts (Sole-Source)..............................................49 Retaining a Consultant in a Management Support Role (CMSR)............................49 Construction Engineering Services .........................................................................52 10.1.10 Program Management............................................................................................53 10.1.11 References.............................................................................................................54 10.2 STATE-ONLY FUNDED A&E CONTRACTS .............................................................56 10.2.1 General ....................................................................................................................56 10.2.2 Definition of A&E ......................................................................................................56 10.2.3 Minimum Audit Requirements ..................................................................................57

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A. Written Procedures .............................................................................................57 B. Conflict of Interest ...............................................................................................57 C. Records ..............................................................................................................57 D. Full & Open Competition.....................................................................................57 E. Selection Basis ...................................................................................................57 F. Publication ..........................................................................................................58 G. Solicitation ..........................................................................................................58 H. Cost Analysis ......................................................................................................58 I. Negotiations .........................................................................................................58 J. Audit and Review Process...................................................................................58 K. A&E Consultant Contract Form...........................................................................58 10.3 NON-A&E CONTRACTS ...........................................................................................62 Scope ......................................................................................................................62 Determining Non-A&E .............................................................................................62 Example of Determining Non-A&E ..........................................................................62 Intelligent Transportation System (ITS) Projects .....................................................63 Non-Infrastructure Projects .....................................................................................63 Governing Regulations and Codes for Non-A&E ....................................................64 Procurement of Non-A&E Consultant Contracts .....................................................64 RFP Basic Requirements ........................................................................................64 Additional Requirements and Evaluation Criteria ....................................................65 Consultant's Proposal .............................................................................................65 Cost Proposal Worksheet........................................................................................66 DBE Consideration..................................................................................................66 Administrative Requirements ..................................................................................66 Oral Presentations Optional ....................................................................................67 Cost-Effective / Public Interest Finding....................................................................67 Protest / Appeals / Reinstatement Procedures........................................................67 10.4 A&E OVERSIGHT PROGRAM AND PROCESS REVIEW ........................................68 General ...................................................................................................................68 Type of Reviews......................................................................................................68 A&E Consultant Contract Form Review ..................................................................68 Review Findings and Deficiencies...........................................................................69 10.5 SANCTIONS ..............................................................................................................70

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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 Contracts 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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