Selecting the A/E Design Firm
Selecting the A/E
Design Firm
A Guide for Project Administration
Contents
Introduction to A/E Selection 4
Developing the Request for Professional Design Services 6
Overview 6
Completing the RFP 6
Identifying the Correct Selection Approach 10
Fees $25,000 or More 10
Fees Less Than $25,000 10
Distributing the Request for Professional Design Services 11
Advertising an RFP 11
Advertising a Locally Administered Project 11
Sending an RFP to a Qualified Vendor(s) 13
Using the Long List 14
Developing the Cover Letter 16
Mailing the RFP Packages 16
Distributing and Reviewing Vendor Responses 18
Recording Response Information 20
Routing Proposals for Review 20
About the Selection Committee 20
Developing the Short List 22
Completing the Consultant Selection Rating Form
for ADM-0255 Packages 22
Documenting the Short-List Choices 24
Interviewing Short-Listed Firms 26
Choosing an Interview Method 26
Conducting the Interviews 26
Completing the A/E Selection Rating Form from Interviews 28
Justifying the Selection 30
Preparing the Selection Justification Form 30
Negotiating the Professional Design Services Agreement 33
Requesting the Technical Proposal 35
Reviewing the Technical Proposal and Reaching an Agreement 37
Finalizing the Selection Justification Form 37
Publishing the A/E Short List and Fees 37
Preparing the Professional Design Services Agreement 38
Preparing the Waiver of Competitive Selection 40
Does Your A/E Agreement Need a WCS? 42
Completing the WCS Form 42
Preparing the Contract Approval Package 47
About the A-910 Contract Approval Form 47
Completing the A-910 Form 47
Assembling Contract Documents for Processing 52
Figures
1 Request for Professional Design Services
2 Sample Page from Long List
3 Sample Cover Letter for RFP Package
4 Sample Response-Tracking Tool
5 Consultant Selection Rating Form for ADM-0255 Packages
6 Short-List Memo
7 A/E Selection Rating Form from Interviews
8 Selection Justification Form (fees greater than $25,000)
9 Request for Technical Proposal
10 Waiver of Competitive Selection
11 A-910 Form
Charts
1 Process Flow for A/E Selection, Steps 1–3
2 Process Flow for A/E Selection, Steps 4, 5
3 Process Flow for A/E Selection, Steps 6, 7
4 Process Flow for A/E Selection, Steps 8, 9
5 Process Flow for A/E Selection, Steps 10, 11
Changes to Selecting the A/E Design Firm
Revision 3, December 2002
Changes made as part of this revision appear with a in the margin.
|Page |Description/Reason |
|33 |The Note at the bottom of this page was updated with the approved procedure for issuing a Letter of Intent (in cases |
| |where the University wants the selected A/E firm to begin work before the design services contract has been executed). |
Introduction to A/E Selection
The process of selecting a professional design firm begins once funding approval is received. The activities involved in this process make up the Architect/Engineer (A/E) Selection Phase of project administration. This document presents the University Architect Division’s preferred process for selecting a design firm.
At each step, the specific procedural requirements for the A/E Selection phase vary depending on the following factors:
• The amount budgeted for design fees in the project’s Program Statement, and
• The source of project funds (State, local, or a combination of the two).
The A/E Selection Process includes the following steps:
1. Developing the Request for Professional Design Services (RFP);
2. Identifying the correct selection approach;
3. Distributing the RFP (by the approach identified in step 2—advertising or direct distribution to a selected vendor[s]);
4. Distributing and reviewing vendor responses (on the State of Ohio’s Standard Form ADM-0255);
5. Developing the Short List;
6. Interviewing short-listed firms (and selecting the best-qualified vendor);
7. Justifying the selection, if applicable;
8. Negotiating the Professional Design Services Agreement with the selected firm;
9. Preparing the Professional Design Services Agreement;
10. Completing the Waiver of Competitive Selection (WCS), if applicable; and
11. Preparing the contract approval package (including the A-910 Contract Approval Form) for approval signatures.
Chart 1 on the following page shows the process flow for the first three steps of A/E selection: preparing the Request for Professional Design Services, identifying the correct A/E selection approach, and distributing the RFP.
Developing the Request for Professional Design Services
Outcome The Project Administrator has completed the Request for Professional Design Services (RFP). The RFP is ready for distribution (advertising or direct distribution, depending on the fee amount).
Overview
The RFP establishes the types of services that will be required to design the project. It also defines the criteria that will be used to select a contractor. The RFP must be completed in all cases, regardless of which contractor selection approach (advertising or direct distribution) the project will use.
Because the RFP may be read by design services vendors, it is important that the Project Administrator present the RFP information as completely as possible, so that potential vendors have all the data they need to respond with an appropriate proposal.
Completing the RFP
The RFP form appears on the following page as Figure 1. To complete it, use the numbers shown on the illustration to follow these steps:
1. In the UC PROJECT NO. field, enter the University project number. (You can find this number on the project’s Program Statement.)
2. In the STATE PROJECT NO. field, enter the State project number, if applicable; if not, leave this space blank and go to step 3.
Note: Only those projects being administered by the Office of the State Architect (SAO) will have a State project number.
3. In the DATE field, enter the current date.
4. In the PROJECT field, enter the complete project title.
5. In the SCOPE OF PROJECT field, enter a description of the project scope. Include as much of the following information as is applicable to the project:
• Project location, size, and history
• Survey and/or programming requirements
• Any necessary site planning and/or assessment
• Design requirements
• Requirements for coordinating construction documents
• Construction administration requirements
• Any phase work that is expected
• Any work that will be completed under a separate contract
Note: Much of the above information can be found in the project’s Program Statement, under “Scope of Work”.
6. In the TOTAL ESTIMATED COST OF PROJECT field, enter the total estimated project cost (from the “Project Budget” portion of the Program Statement).
7. In the ESTIMATED COST OF CONSTRUCTION (FLCC) field, enter the estimated Fixed Limit of Construction Cost (FLCC) (from the “Project Budget” portion of the Program Statement).
8. If the project uses State funding, enter the name of the applicable State fund in the SOURCE OF FUNDS: STATE field. (This information appears in the “Project Budget” portion of the Program Statement, under “Funding Sources”.)
If the project uses no State funds, leave the space blank and go to step 9.
9. If the project uses local funding, enter the name of the applicable local fund in the SOURCE OF FUNDS: LOCAL field. (This information appears in the “Project Budget” portion of the Program Statement, under “Funding Sources”.)
If the project budget uses no local funds, leave the space blank and go to step 10.
10. In the PROFESSIONAL DESIGN SERVICES REQUIRED field, list all the types of professional services that will be required to complete this project (for example, architecture, engineering, interior design, etc.).
11. In the CRITERIA FOR SELECTION OF THE ARCHITECT field, enter a summary of the criteria that will be used to select the design services firm. Include any applicable State of Ohio certification requirements for design professionals.
12. In the PROPOSED DESIGN START OF PROJECT field, enter the proposed start date for project design.
13. In the PROPOSED CONSTRUCTION COMPLETION field, enter the date when construction is expected to be complete.
Once the RFP is complete, the Project Administrator either sends it directly to qualified vendors from the University’s Long List or uses it to develop the Request for Advertising, depending on which A/E selection approach the project requires. The next section explains how to identify the correct selection approach for a project.
Identifying the Correct
Selection Approach
Outcome The Project Administrator is ready to proceed with the correct A/E selection method (either advertising or selection from the Long List) for the project.
The dollar amount established for design fees in the project budget (called the “fee amount”) determines the correct approach to selecting a design firm.
Fees $25,000 or More
If the project’s fee amount is $25,000 or more, the contract availability can be either advertised or sent directly to each professional design firm that has a current statement of qualifications on file with the University (i.e., on the University’s Long List). The intent of this approach is to promote fairness by inviting proposals from an unlimited field of potential vendors. (See “Distributing the Request for Professional Design Services” for more information on advertising requirements.)
Fees Less Than $25,000
If the project’s fee amount is less than $25,000, the contract need not be publicly advertised. Instead, the Project Administrator can send a completed Request for Professional Design Services directly to a qualified vendor from the Long List. (See “Using the Long List” for more information.)
Distributing the Request for Professional Design Services
Outcome Depending on the A/E selection approach identified above, the Project Administrator has
• Either completed internal requests necessary to begin publicly advertising the RFP, or distributed the RFP to each qualified firm on the Long List; or
• Identified a qualified firm from the Long List and sent the RFP and a cover letter to that firm.
After the advertising has run or the RFP has been distributed, firms begin to submit their proposals on forms ADM-0254 (“Architect–Engineer and Related Services Questionnaire”) and/or ADM-0255
(“Architect–Engineer and Related Services Questionnaire for Specific Project”).
Advertising an RFP
To advertise an RFP, the Project Administrator prepares the appropriate RX worksheets for advertising in the Cincinnati Enquirer and Cincinnati Herald (Sesh Communications). These RX worksheets are attached to the RFP and forwarded to Capital Finance, where the RXs are entered into the College and University Financial System (CUFS).
After entering the RXs into CUFS, Capital Finance forwards the RXs and RFP to Purchasing. Purchasing works with each individual publication to arrange the placement and timing of the advertisement.
Advertising a Locally Administered Project
The University seeks to administer projects locally whenever possible. UC is automatically authorized to administer projects with total costs under $4 million. For projects that will cost more than $4 million, the University must seek the State’s permission to administer the project locally. (Instructions for developing a Program Statement will be presented in a future communication.)
Any project that will cost more than $4 million and that uses state funding must be advertised in the Ohio Register. Additionally, the project’s RFP must be either advertised in the local media (the Cincinnati Enquirer and Cincinnati Herald) or sent to all vendors on the Long List.
The Project Administrator is responsible for contacting the Ohio Register to arrange the A/E services advertisement. The Register is published monthly, and its advertising deadline is the 20th of each month. The Register prefers to receive advertising via e-mail. Contact information is as follows:
Angela Carder, Editor, Ohio Register
E-mail: angela.carder@das.state.oh.us
4200 Surface Road
Columbus, Ohio 43228-1395
Fax: (614) 644-7982
Developing the Request for Advertising
The Request for Advertising can be developed from the project’s original Request for Professional Design Services, but it must also include the targeted fee percentage for the project, as well as information that tells the vendor how to respond to the ad.
About the Targeted Fee Percentage
The targeted fee percentage gives prospective vendors an idea of the maximum amount the University will pay for design fees on the project. It is an established percentage of the Fixed Limit of Construction Cost (FLCC). Vendors can use the percentage to calculate the maximum allowable fee amount.
The State of Ohio sets guidelines for targeted fee percentages on projects that use state funding. For projects using an outside design firm, the targeted fee percentage will be between 10 and 12 percent. A project’s targeted fee percentage is shown on the “Project Budget” page of its Program Statement, under “Design Fees Subtotal”.
Creating the Request for Advertising
1. Open the project’s Request for Professional Design Services document and save it as a new file.
2. If the date of the Request for Advertising differs from that of the RFP, enter the new date in the DATE field.
3. After the SCOPE OF PROJECT text, enter the heading TARGETED FEE PERCENTAGE:.
4. Enter the targeted fee percentage shown on the “Project Budget” page of the Program Statement (under “Design Fees Subtotal”).
5. At the end of the Request for Advertising, include a statement that tells vendors how to respond to the advertisement. This statement should include, at a minimum, the name of the person to whom proposals should be addressed and the date and time of the deadline. An example appears below:
NOTE: SINCE THIS PROJECT WILL BE LOCALLY ADMINISTERED, PLEASE FORWARD ALL ADM-0255 SUBMITTALS TO UNIVERSITY OF CINCINNATI – DIVISION OF THE UNIVERSITY ARCHITECT, ATTN: GREGORY C. ROBINSON, BY 12:00 NOON, MAY 22, 2001. DO NOT SUBMIT PROPOSALS TO THE OFFICE OF THE STATE ARCHITECT. ARCHITECTS RESPONDING TO THIS AD SHOULD NOT PAIR UP WITH OTHER NATIONAL DESIGN FIRMS OR WITH CONSULTANTS AT THIS TIME. THE LOCAL ASSOCIATE WILL PARTICPATE WITH THE UNIVERSITY TO SELECT VARIOUS DISCIPLINES (CONSULTANTS) REQUIRED FOR THE TEAM AND PROJECT.
6. Save the Request for Advertising file.
Forwarding the Request for Advertising
The completed Request for Advertising should be forwarded to the Capital Finance department. Capital Finance enters the advertising information into the CUFS system. After completing this data entry, Capital Finance then forwards the request to University Purchasing, which contacts the local newspapers to schedule placement of the ad.
Sending an RFP to a Qualified Vendor(s)
After identifying the qualified vendor(s) (one or all, depending on the fee amount), the Project Administrator sends vendor(s) the RFP (along with a cover letter and copy of the Program Statement as supporting information). A vendor will use the RFP information to determine whether to submit a proposal.
Using the Long List
The University’s Long List is a roster of contractors who have submitted information to the University (via Ohio DAS form ADM-0254, “Architect–Engineer and Related Services Questionnaire”). Vendors on the Long List have asked to be considered whenever the University prepares a project. A sample selection of the Long List appears on the following page as Figure 2.
The A/E Long List file is available as an icon on the Windows™ desktops of the user PCs within the University Architect Division. The data is limited to each firm’s tax ID number, name, address, and telephone number.
Getting More Information
A self-directed work team within the Construction Management Department maintains a matrix of additional information from the original forms ADM-0254 submitted by Long List vendors. This expanded information includes each firm’s capabilities, area(s) of expertise, and number of employees.
Developing the Cover Letter
Once the Project Administrator has identified the firms that will be invited to respond to the RFP, he or she should next develop a cover letter for the RFP mailing. This letter introduces the project and provides summary information that firms can consider when deciding whether to submit a proposal.
At a minimum, the cover letter should include:
• A summary of the scope of work that will be required of the selected design firm,
• The deadline for returning responses,
• A list of the document(s) firms must submit in order to be considered (State of Ohio form ADM-0255 at a minimum),
• A summary of the University’s timeline for naming the Short List, and
• The name and address of the University contact person to whom proposals should be addressed.
Each vendor should receive a personally addressed cover letter. A sample cover letter appears on the following page as Figure 3.
Mailing the RFP Packages
After developing the cover letter, send it, a copy of the RFP, and a copy of the project’s Program Statement to each prospective vendor.
Note: Always remove the “Project Budget” page from the Program Statement before sending the package to prospective vendors. Vendors should not see detailed project budget information before submitting a proposal.
Distributing and Reviewing Vendor Responses
Outcome The Project Administrator and other members of the project’s Selection Committee are prepared to discuss proposals and identify a “Short List” of three or more firms that will be interviewed.
Once prospective vendors have read the advertisement for professional design services or received the RFP package, representatives of individual firms may contact the Project Administrator with questions before deciding whether to respond. The Project Administrator should be prepared to answer any questions that will help the vendor determine whether to submit a proposal.
When responses arrive, the Project Administrator should review each proposal (form ADM-0255 and any supporting information) carefully to assess each firm’s qualifications for performing the design work. In addition, the Project Administrator takes the lead in preparing the project’s Selection Committee to evaluate the submitted design services proposals. This effort includes recording response information and routing proposals to Selection Committee members for review.
Note: Firms that have not previously responded to a UC project opening should submit both forms ADM-0254 and ADM-0255.
Chart 2 shows the process flow for the next two steps of A/E selection: distributing and reviewing vendor responses and developing the short list.
Recording Response Information
Recording response information is optional; the Project Administrator may choose to route proposals to the Selection Committee without taking this additional step. However, recording basic information about vendor responsiveness can provide support to the selection decision later, and it can also help the Project Administrator share information with the Selection Committee about response rates. Finally, the information can also be useful in preparing for future projects; a Project Administrator may want to recall which firms have responded to University projects in the past.
A sample tool for recording vendor responses appears on the following page as Figure 4. This particular example depicts responses to a project that used the Long List approach, but it could easily be modified for use with a project that is advertised.
In this example, the first column notes which firms called the University with questions; the second shows which firms returned a proposal; the third shows which firms indicated they would not send a proposal; and the fourth notes which firms did not respond to the request in any way.
Routing Proposals for Review
The Project Administrator is responsible for routing all received proposals to members of the Selection Committee. Committee members must then read and evaluate each proposal to prepare for developing the Short List. The Project Manager schedules a meeting of the Selection Committee for the purpose of establishing the Short List.
When routing proposals to committee members, the Project Administrator should let committee members know the date and time when the committee will meet to discuss the proposals.
About the Selection Committee
Each project has a Selection Committee whose members give input to the choice of a design firm. The Selection Committee is organized by the University Architect Division. Its membership should include one or more representatives of the “Owner Client” (the department or group within the University that has initiated the project), plus representatives of the University Architect Division and other groups or organizations as warranted.
Developing the Short List
Outcome After meeting to review the RFP responses, the Project Administrator and the Selection Committee have identified three or more A/E firms (the “Short List”) to interview for the design services work. The “Consultant Selection Rating Form for Submitted ADM-0255 Qualification Packages” (Figure 5) is used to develop the Short List.
Once the Project Administrator and the Selection Committee members have reviewed all responses to the RFP, the committee meets to establish a list of the firms it will interview. In this meeting, the committee discusses each proposal’s merits and compares each firm’s experience and expertise with the requirements of the project. The Short List can include as many firms as appear qualified to do the work, but it must include at least three.
When evaluating proposals, the committee should consider the following:
• Appropriateness of the staff mix proposed by each firm
• Qualifications and experience of principals listed in the proposal
• Qualifications and experience of any outside consultants the A/E firm proposes to use on the project
• Success and relevance of the firm’s earlier projects, as presented in the proposal
• Merits of the firm’s proposed approach to performing the University project
• Any other criteria the committee considers important to project success
Completing the Consultant Selection
Rating Form for ADM-0255 Packages
The Consultant Selection Rating Form for ADM-0255 Packages
(Figure 5) helps the committee objectively evaluate each proposal against an established set of criteria. One form should be completed for each proposal received. The form works as follows:
1. For each criterion, the committee rates the firm and enters this rating in the SCORE column. The maximum value possible for each criterion appears in the VALUE column.
2. Each firm’s scores are totaled, and the committee decides which firms to interview. The three highest-scoring firms must be interviewed, but the committee can elect to interview more.
Documenting the Short-List Choices
After the Selection Committee has established the Short List, the Project Administrator communicates the list to the University Architect in the form of a memo. A sample Short List memo appears on the following page as Figure 6.
The memo should be forwarded to the University Architect, and copies should be provided to the Selection Committee members. The memo should include the following information:
• Names of the Selection Committee members
• The number of proposals received
• The name of each short-listed firm, and a brief explanation of why it was selected for interview
Interviewing Short-Listed Firms
Outcome The Selection Committee has heard presentations from short-listed firms and has rated each firm on key project criteria. These rankings have revealed the best-qualified design firm for the project. The “Selection Rating Form for Selection of Most Qualified A/E Firms from Interviews” appears as Figure 7.
With the Short List developed, the Project Administrator can begin scheduling interviews with short-listed firms.
Chart 3 shows the process flow for the next two steps of A/E selection: interviewing short-listed firms and justifying the selection (if applicable).
Choosing an Interview Method
If the project’s fee value is $25,000 or less, the Project Administrator has the option of conducting interviews by teleconference in lieu of scheduling in-person presentations by each firm. If the fee value exceeds $25,000, however, in-person interviews are required. The same interview method must be used with all firms being interviewed for the same project.
Regardless of the interviewing method, the Project Administrator and the entire Selection Committee should participate in the interviews.
Conducting the Interviews
When A/E firms will be interviewed in person, the Project Administrator typically schedules interviews over a period of consecutive days, depending on the number of firms being interviewed and the availability of those involved.
Interviews with A/E candidates should be expected to last at least 90 minutes. Generally the A/E firm gives its presentation first, then fields questions from the Selection Committee.
During interviews, A/E candidates are evaluated on a number of criteria. These include:
• Management and Team. Firms are rated on their organization; qualifications of their Project Manager and key staff; their support of minority- and women-owned business enterprises, if applicable; and their quality-control practices. If a firm proposes to use subcontractors on the project, the subcontracting approach and qualifications of the proposed subs are evaluated as well.
• Technical Approach. Firms are rated on their understanding of the project; how well they define project tasks; how innovative their approach is; the timeliness of their proposed schedule for performing the work; and their cost-containment practices.
• Location. Firms located closer to the project site are given a higher rating.
• Past and Current Performance. Firms’ work on previous projects for the University and/or others is rated.
The A/E Selection Rating Form from Interviews, discussed below, is the Selection Committee’s tool for giving each firm a mathematical ranking in each of these areas.
Completing the A/E Selection Rating Form from Interviews
A completed A/E Selection Rating Form from Interviews appears on the following page as Figure 7.
The Project Administrator and Selection Committee complete this form together after each interview. The form works as follows:
1. For each criterion, the committee decides on a rating and enters it in the RATING column. The committee arrives at this number after assessing how well the firm addressed the criterion in the interview.
Note: For some criteria (e.g., Location), the rating is prescribed as shown on the form; for others, the committee can choose a rating between 1 and 5, as shown in the VALUE column for each criterion.
2. The rating is multiplied by the weight shown for that criterion in the WEIGHT column. The result is entered in the SCORE column.
3. The scores are added to arrive at the TOTAL (the maximum total is 100). The firm with the highest total is awarded the A/E contract.
Justifying the Selection
Outcome For projects with design fees exceeding $25,000, the Project Administrator has prepared the Selection Justification Form summarizing the selection process.
Once interviews are complete and an A/E firm has been chosen, the Project Administrator prepares the Selection Justification Form (Figure 8) if the project’s design fees exceed $25,000. This form provides a record of the decision and a brief explanation of how it was reached. Later, when an agreement has been negotiated and is routed for internal approvals, the Selection Justification Form will be included with the routing package as supporting documentation.
Note: If the project’s fee amount is $25,000 or less, selection justification is not required, and the form need not be completed. The Project Administrator can proceed to the next step, Negotiating the Professional Design Services Agreement.
Preparing the Selection Justification Form
Follow these steps to prepare the Selection Justification Form:
1. Enter the complete project name.
2. Enter the project number.
3. In the Project Responsibility field, enter the name of the Project Administrator.
4. Enter the name of the firm selected to perform the A/E design work.
Note: Do not enter fee information at this time. The fee information fields should be completed after the A/E agreement has been negotiated with the selected firm. See “Finalizing the Selection Justification Form”.
5. Under Selection Method Utilized, do one of the following:
• If the project was advertised, enter the name of the publication(s) where ads appeared (i.e., Cincinnati Enquirer, Cincinnati Herald, and/or Ohio Register) in the Advertisement field; or
• If an RFP was sent to candidates selected from the Long List, place a check next to Qualified firms from the University’s Long List.
6. Do one of the following:
• If the project was advertised, enter NA; or,
• If candidates were selected from the Long List, enter the number of firms that received an RFP.
7. Enter the number of firms that submitted a proposal (form ADM-0255).
8. Enter the name of each firm interviewed.
9. In the blank next to each firm name (under Interview Rating), enter the firm’s “rank” among all the interviewed firms (i.e., whether the firm placed first, second, third, etc., in the evaluation).
10. Enter the names of the Selection Committee members in the blanks provided.
Note: The paragraph under Reason for Selection is generic text that describes the standard selection process.
11. Under Specific reasons for selection in addition to the above, describe any other factors or qualifications that support the selection decision.
12. Enter the date.
With the A/E selected and the selection process documented, the next step is to negotiate a contract (Professional Design Services Agreement) with the chosen firm.
Negotiating the Professional Design Services Agreement
Outcome The University and its selected A/E firm have agreed on terms for the Professional Design Services Agreement.
The Project Administrator, with input from the Selection Committee, must negotiate a Professional Design Services Agreement with the selected A/E firm. This contract, once signed by both parties, will legally establish all of the following matters between the University and the A/E firm:
• Each party’s responsibilities under the agreement;
• The scope of basic and additional services the firm will provide;
• Compensation;
• Insurance and indemnification; and
• Other legal matters.
As a first step in the negotiation, the firm must set forth its expected compensation in a Technical Proposal. The Project Administrator sends the firm a Request for Technical Proposal.
Chart 4 shows the process flow for the next two steps of A/E selection: negotiating the Professional Design Services Agreement, and preparing the agreement.
Note: On some projects, schedule considerations require the selected A/E firm to begin some of its work before the formal contract award.
Before contacting the A/E firm, the initiating department of the University Architect Division must first consult with the Director, Department of Construction Management. If the Director agrees, the department must initiate a Letter of Intent to the A/E firm. The UC Office of the General Counsel must sign all Letters of Intent before they are sent.
Letters of Intent should confirm the University’s intent to award the firm a contract; reference the status of the firm’s Technical Proposal (received or due); provide an expected time frame for contract execution; list all work that should be started, and provide a not-to-exceed compensation amount for the listed work; provide the name and phone number of a UC contact person; and be signed by the UC Office of the General Counsel.
Requesting the Technical Proposal
An example Request for Technical Proposal appears on the following page as Figure 9. The firm is asked to submit a Technical Proposal based on the original Request for Professional Design Services and the Program Statement, both of which it has already received.
The request asks the firm to include the following elements in its Technical Proposal:
• Proposed fee amounts (base fee and reimbursable expenses) for the firm’s services, and
• Hourly rates for the disciplines expected to work on the project.
The Request for Technical Proposal should also:
• Restate the project’s Fixed Limit Cost of Construction (FLCC),
• Include the University’s “Agreement for Professional Design Services” template for the firm’s reference (the template can be found on the Web at uc.edu/architect/documents/aeagree.pdf),
• Indicate the date by which the Technical Proposal must be submitted to the University, and
• Provide the name and telephone number of a contact person for questions.
Reviewing the Technical Proposal
and Reaching an Agreement
When the A/E firm has returned its Technical Proposal, the Project Administrator should distribute copies to members of the Selection Committee for their review. If all terms are acceptable, the Project Administrator can begin preparing the necessary documentation for contract signatures and internal approval. If further negotiations are necessary, the Project Administrator oversees these negotiations, with input from the Selection Committee.
Note: In the event an agreement cannot be reached with the selected firm, the Project Administrator should initiate negotiations with the second-highest-scoring firm from the interview process by sending that firm a Request for Technical Proposal.
Finalizing the Selection Justification Form
For projects requiring a Selection Justification Form (i.e., those with design fees greater than $25,000), the Project Administrator must add fee information to the form once fees are agreed upon. Information that can be entered at this point includes base fee, reimbursable expenses, and change order fee allowance, as applicable (see Figure 8).
Later in the process, when the Professional Design Services Agreement (contract) and accompanying documents are routed for approval, the Project Administrator should include the complete Selection Justification Form in the approval package. When University Purchasing receives the contract approval package, they will process a Purchase Order for the work. (See the section “Assembling Contract Documents for Processing”.)
Publishing the A/E Short List and Fees
If the project uses any state funding, the Project Administrator must contact the Ohio Register to publish the following information:
▪ The names of all short-listed firms, and
▪ The selected A/E firm’s negotiated fee amount.
See “Advertising a Locally Administered Project” for Ohio Register contact information.
Preparing the Professional Design Services Agreement
Outcome The contract terms agreed to by the University and its selected A/E firm have been captured in a Professional Design Services Agreement, and the Agreement has been signed by an authorized representative of the A/E firm.
Once the University and the A/E firm agree on contract terms, the Project Administrator prepares the Professional Design Services Agreement. This contract document will be signed by an authorized representative of the A/E firm and then returned to the University for internal approval.
To prepare the Professional Design Services Agreement, the Project Administrator should follow these steps:
1. On a hard copy of the Professional Design Services Agreement template, print the details of the proposed agreement in the blanks provided. (The Staff Assistant can provide a hard copy of the template.) These details include:
• The name of the A/E firm (called the “Associate” on the contract);
• The University project name and number;
• The University Project Administrator’s name and address;
• The contact name, address, and tax identification number of the A/E firm;
• The amount of the construction budget (subparagraph 1.1.2);
• The minimum number of hours each week that the A/E firm must commit to site visits (subparagraph 2.7.4);
• The maximum amount the firm is to be allowed for reimbursable expenses (subparagraph 5.2.2);
• The amount of the basic fee to be paid to the firm for its services (subparagraph 5.3.1);
• Any additional services the firm will provide, and the fee it will be paid for these additional services (subparagraph 5.3.2); and
• The Project Administrator’s name and the A/E firm’s address for the mailing of notices (subparagraph 9.8.1).
Note: The date field on the Professional Design Services Agreement should be left blank.
2. Provide the handwritten contract information to a support staff member, who will key the details into an electronic copy of the contract and save the contract as a separate file.
3. Print four copies of the proposed agreement and send them to the A/E firm. The firm must sign and return four copies. The cover letter should note the date by which the signed copies must be returned to the University.
After the A/E firm returns the signed contract copies, the Project Administrator’s next steps are to:
• Prepare the Waiver of Competitive Selection, if applicable; and
• Prepare the (internal) contract approval package.
Preparing the Waiver of Competitive Selection
Outcome If required, the Waiver of Competitive Selection form has been completed and the information can be entered into the Capital Request (for state-funded projects).
The Waiver of Competitive Selection (WCS) is an internal form that collects information about the selection process and the selected vendor. The Financial Analyst includes information from the WCS in the Capital Request, if applicable (the WCS is required only for certain state-funded projects).
Chart 5 shows the process flow for the next two steps of A/E selection: preparing the WCS and preparing the contract approval package.
Does Your A/E Agreement Need a WCS?
The WCS must be completed if all of the following are true:
• The project uses any state funding,
• The proposed fee amount exceeds $50,000, and
• The DAS was not involved in the selection of the A/E firm.
If a project uses only local funds, or if the design fee amount is less than $50,000, no WCS is required.
Completing the WCS Form
An electronic version of the WCS Form can be obtained from the Financial Analyst. The Project Administrator completes the form and returns it to the Financial Analyst for inclusion in the Capital Request.
The WCS appears on the following two pages as Figure 10. To complete it, follow these steps:
1. Enter the type of service(s) the A/E firm will provide (for example, design services, architectural services, structural engineering, etc.).
2. Under Selection Process:
a. Enter a one-paragraph description of the A/E selection process used. Include the selection approach (advertising or direct distribution of the RFP) and the interview method (telephone or in-person).
b. Do one of the following:
• If the project was advertised, enter the name(s) of the publication(s) where the advertising was published; or
• If an RFP was sent to vendors on the Long List, enter the number of firms selected to receive the RFP.
c. Enter the number of days allowed for responses.
d. Enter the number of proposals received.
e. From the firms’ ADM-0255 forms (proposals), enter the following information about each company that responded:
• Name
• Complete address of the firm’s main office
• Tax ID number
f. Enter the names and job titles of the Project Administrator and the Selection Committee members.
3. Enter the name of the selected firm and a brief explanation of why it was chosen.
4. Enter the address of the selected firm’s main office.
5. If the firm will perform the work at a location other than that identified in question 4, enter that address.
6. Enter the following information about any other contracts the firm has performed for the state of Ohio:
a. Enter the firm’s total number of state contracts.
b. Enter the State agency for which the work was performed, and enter the contract amount.
Note: The contract information needed to answer question 6 can be obtained from either of the following sources:
• Question 9 on the selected firm’s Form ADM-0255 (“All work by firms or joint-venture members currently being performed directly for State Agencies”). Copies of these pages can be attached to the WCS form; or
· The State of Ohio Central Accounting System (CAS). Instructions for querying CAS are included on the WCS Form.
7. In the spaces provided, enter the following information about the selected A/E firm:
• Total number of employees nationwide
• Percentage of this total who are women
• Percentage of this total who are members of minority groups
• Total number of employees in Ohio
• Percentage of this total who are women
• Percentage of this total who are members of minority groups
Note: The Project Administrator may need to contact the selected A/E firm to obtain this employee information.
8. Enter the percentage of work for which the A/E firm expects to use subcontractors. If the figure exceeds 50%, enter nationwide and statewide employee totals and percentages of women and minorities, as in question 7.
Note: The Project Administrator may need to contact the selected A/E firm to obtain employee information for subcontractors. If the Technical Proposal does not specify the percentage of work to be subcontracted, the Project Administrator should contact the selected A/E firm to get the percentage.
9. Under Fee Analysis:
a. Enter the total estimated construction cost for the project.
Note: If the total estimated construction cost entered on the WCS differs significantly from the cost submitted in the original Program Statement (for example, because the project has changed since the Program Statement was developed), the Project Administrator should provide an explanation. The Financial Analyst will need to include this explanation in the Capital Request.
b. Under CONTRACT AMOUNT, enter the agreed-upon fee amounts from the Professional Design Services Agreement. Include the base fee and any additional amounts as specified by the contract.
c. Calculate the percentage of the total construction cost represented by each contract amount, and enter the results in the PERCENT OF TOTAL CONSTRUCTION COST column.
Note: The base fee for professional design services should represent 10–12 percent of the total construction cost.
After completing the WCS, the Project Administrator should forward it to the Financial Analyst. The Financial Analyst will add the information to the Capital Request that will be sent to the State of Ohio Controlling Board to release funds for the project.
Preparing the Contract
Approval Package
Outcome The A/E contract has been routed to the appropriate parties within the University and signed.
The final step in the A/E selection process is to obtain approval of the Professional Design Services Agreement as required by University policy. To do this, the Project Administrator prepares the A-910 Contract Approval Form and assembles contract-related documentation for approval routing.
About the A-910 Contract Approval Form
The first two pages of the A-910 Form provide summary information about the agreement for those who will approve it. The last page includes blanks for approval signatures.
Note: To complete the A-910, the Project Administrator must first receive the RX number for the design services contract from Capital Finance. The RX number is included at the bottom of page 1 on the A-910 form.
Completing the A-910 Form
Figure 11 shows the A-910 Form. Follow these steps to complete it:
1A. In the Date of Initiation field, enter the current date.
1. In the Initiating Department field, enter the Project Administrator’s department within the University Architect Division.
2. Enter the Project Administrator’s name and University telephone number.
3. Under Does this Contract call for UC to pay the other party?, check the box next to yes and enter the account number(s) found on the Purchase Order.
4. Under Is this Contract Sponsored?, check the box next to yes or no, as appropriate.
Note: A sponsored contract is one that will be directly funded by an individual or party other than the University.
5. Under Description of Contract, complete fields A–K as follows:
A. Enter the name of the selected design firm.
B. Enter the project name and number, and the type of contract (i.e., design services).
C. If the any of standard contract terms (as shown in the Professional Design Services Agreement template) have been changed for this contract, enter the page and paragraph number(s) where terms have been changed.
D. Check New Agreement.
E. Enter the base fee, any additional amounts (such as reimbursable expenses and/or a change order allowance, if included in the contract), and the contract total.
F. Enter the beginning and ending month and year of the work to be performed (for example, April 2001 through May 2002).
G. Leave this item blank.
H. Leave this item blank; the Accountant will complete.
I. Leave this item blank; the Accountant will complete.
J. Leave this item blank; the Accountant will complete.
K. Check yes and enter the RX number or Purchase Order number.
6. Under Number of originals to be signed, enter 4. Enter the Project Administrator’s name, phone number, and mail location in the blanks provided.
7. Complete items 7A–E only if you are submitting a sponsored contract.
8. Under Approvals, the Project Administrator must sign and date the first line as Principal Investigator or Individual Responsible for Agreement.
The next section describes how to assemble the completed A-910 Form and other contract documentation for routing and approval steps.
Assembling Contract Documents
for Processing
To prepare the contract for internal routing and approval, assemble the following:
• Four original signed contracts
• The completed A-910 Form (with Project Administrator’s signature under Approvals)
• The Selection Justification Form (if applicable)
• The selected firm’s Technical Proposal
• A copy of the Program Statement for the project
Give these documents to the Assistant to the Director of Construction Management. The Assistant enters information about the contract into a database that identifies the correct signature routing path. The package is then assembled into a folder with a cover sheet attached to the front for routing. It goes first to Capital Projects Reporting for quality-assurance checking, and then to the individuals whose signatures are required.
-----------------------
UNIVERSITY OF CINCINNATI
REQUEST FOR PROFESSIONAL DESIGN SERVICES
U.C. PROJECT NO.
STATE PROJECT NO. 265 - -
DATE:
PROJECT:
SCOPE OF PROJECT:
TOTAL ESTIMATED COST OF PROJECT:
ESTIMATED COST OF CONSTRUCTION (FLCC):
SOURCE OF FUNDS: STATE LOCAL
PROFESSIONAL DESIGN SERVICES REQUIRED:
CRITERIA FOR SELECTION OF THE ARCHITECT:
PROPOSED DESIGN START OF PROJECT:
PROPOSED CONSTRUCTION COMPLETION:
S:\Shareall\forms\cm\rfpdesig.doc
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Figure 7: A/E Selection Rating Form from Interviews
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Chart 3: Process Flow for A/E Selection, Steps 6, 7
Figure 4: Sample Response-Tracking Tool
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Figure 6: Short-List Memo
Figure 2: Sample Page from Long List
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Figure 8: Selection Justification Form (fees greater than $25,000)
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Chart 4: Process Flow for A/E Selection, Steps 8, 9
Figure 9: Request for Technical Proposal
Chart 5: Process Flow for A/E Selection, Steps 10, 11
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Figure 10: Waiver of Competitive Selection (page 1)
Chart 2: Process Flow for A/E Selection, Steps 4, 5
Figure 3: Sample Cover Letter for RFP Package
Figure 1: Request for Professional Design Services
Chart 1: Process Flow for A/E Selection, Steps 1–3
s:shareall/forms/cm/A-910.xls
s:\shareall\\forms\cm\Associate_Waiver of Competitive Selection.doc Revised 9/26/01
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s:\shareall\\forms\cm\Associate_Waiver of Competitive Selection.doc Revised 9/26/01
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Figure 10: Waiver of Competitive Selection (page 2)
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Figure 11: A-910 Form (page 1)
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Figure 11: A-910 Form (page 2)
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Figure 11: A-910 Form (page 3)
s:\shareall\forms\cm\aeselect.xls
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s:\shareall\forms\cm\rfpds_letter.doc
S:\shareall\forms\cm\ae_response matrix.doc
Figure 5: Consultant Selection Rating Form for ADM-0255 Packages
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