恅紫刲坰 > Slide 1
DOING BUSINESS WITH
THE NEW YORK STATE
DEPARTMENT OF TRANSPORTATION
BILL HOWE, DIRECTOR OF CONTRACTS
1
BASIC REQUIREMENTS
2
3
BASIC REQUIREMENTS (cont*d)
4
BASIC REQUIREMENTS (cont*d)
5
BASIC REQUIREMENTS (cont*d)
6
CAUTIONS
7
PROCUREMENT REGULATIONS
8
WHAT*S NEW
WHAT*S NEW (cont*d)
9
WHAT*S NEW (cont*d)
10
QUESTIONS?
11
GETTING STARTED
NYSDOT Website Overview
12
NYSDOT Home Page
每 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
13
Business Center
Links/windows to various
consulting services, including Engineering Services pre-negotiation
project status (Engineering Services) and supporting actions and
activities (Doing Business with NYSDOT)
14
Engineering Services
每 Preliminary Ads
Clicking the left-hand
link to ※Engineering Services§ opens the page portal to view advertisements
posted to the NYS Contract Reporter.
15
Engineering Services
每 Detailed Ads
Preliminary 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
16
Select (click) a project
to view the detailed advertisement and related downloads.
A detailed ad is necessary to prepare a firm*s electronic expression
of interest (e-EOI).
Clicking ※View All§
will also display the complete list of advertisement downloads.
17
※View All§
The ※View All§ page
for detailed advertisements.
18
Engineering Services
每 Shortlists & Designations
19
Access to frequently
used applications, forms, publications, Consultant Instructions, announcements,
etc.
Doing Business with
NYSDOT
http://www.nysdot.gov/doing-business
20
Anticipated Consultant
Projects
Doing Business with NYSDOT : Architectural
Engineering Information : Anticipated Projects
https://www.nysdot.gov/divisions/engineering/design/consultant-management/repository/NYSDOT_Consultant_Plan.html
21
Forms, Publications
and Instructions
https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions
22
Forms, Publications
and Instructions
https://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.
23
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)
24
Process I & Process
II 每 Submittal forms
Process 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.
25
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.
26
Frequently Accessed
Information
Announcements
https://www.nysdot.gov/main/business-center/consultants/announcements
Consultant Instructions
https://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
27
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.
28
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.
29
Click the CSS Web link
to create an account or to log in to your firm*s existing account.
30
Access to Firm Login
Screen (Single Sign-On Login Screen)
31
Single Sign-On Login
Screen
Log 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.)
32
Forgot Password Screen
If 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 css@dot.state.ny.us
33
Part I - Creating
a User Account
Before creating an account, users should read and must accept NYSDOT*s Acceptable Use Policy.
Creating an account as a new firm is a 2-step process 每 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 firm*s existing account.
This is discussed at the end of this presentation.
34
Primary Administrative
Accounts should reflect the firm name rather than an individual*s
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.
35
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.
36
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.
37
Part II 每 Completing
the Registration Process (Initial Account Log In)
User accounts are created as ※ABC_Consulting§ but logging in requires
the full User ID path 每 ※ABC_Consulting@nysdot§
User 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.
38
Part II 每 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.)
39
Initial Firm Registration Screen
40
Complete Items 1
每 6
Use the ※Search§
utility to check firm status (Have we registered already?)
41
Gather Required Information
First
42
ERROR CHECK PRIOR
TO ANY SUBMISSION
Submit your data!
The registration process
is complete.
43
Sample Account 每
Complete Registration
Completing the registration process expands the available ※modules§ or areas firms may use.
When navigating
within the application DO NOT use your browser*s ※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.
44
Inventory Module
The Inventory module is used to collect information about a firm*s 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.
45
Inventory Functionality
General Firm Information
每 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
每 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.
46
47
Inventory Functionality
(cont.)
Adding Firm Titles
Firm 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.
48
Annual Certified
Salary Roster
The 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..§).
49
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%.)
50
An ※Uninitialized§
Max Rates Roster
This Maximum Salary Rates Roster has not been created by the user. Employee names should not appear in Max Rates 每 only the maximum salary rate paid for each unique Type/Grade/Title.
To prepare the roster
for submission click the ※Create§ button.
51
An ※Initialized§
Max Rates Roster
This 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.
52
Inventory Functionality
(cont.)
Construction Inspection & Design
Project Inventories 每 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.
53
CI Project Inventory
Order Column 每 Numbering order selected by firm.
Completed Column 每 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 每
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.
54
Design Project Inventory
Order Column 每 Numbering order selected by firm.
Completed Column 每 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 每
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.
55
SUBMIT UPDATES
ALL 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. DON*T 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.
56
Adding Users to Your
Existing Account
New users may be given permission to access your firm*s information. The user must have created a User ID (account) and an administrator of the firm*s 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.
57
Admin User Directory
Search
Finding the new user
by User Name
58
Select and Add User
59
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.
60
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.
61
QUESTIONS?
62
CONSULTANT SELECTION
Electronic and Non-Electronic Process
63
General Selection Information:
https://www.nysdot.gov/main/business-center/consultants/consultants-repository/ci93-10.pdf
64
Selection Process (overview)
65
66
Selection Processes
每 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 firm*s project inventory. The result
of the electronic scoring determines a shortlist of qualified firms
that will be considered further in the selection process.
67
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 firm*s score, or to address NYSDOT*s
desire to entertain a broader range of offers.
Shortlisted firms
are announced on NYSDOT*s web page:
https://www.nysdot.gov/doing-business/opportunities/eng-shortlistad
68
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.
69
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 firm*s
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 firm*s 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.
70
General
Information:
71
Suggestions & Common Errors:
72
73
74
SELECTION FACTORS
Process II 每 Step 1 Scores the firm, Step 2 Scores the staff
Step 1 Electronic Scoring
1. Prior Experience
1A Firm Experience (Subfactors)
1C Experience
with NYSDOT
2. Organizational Capacity for this type of work
2A Prior NYSDOT performance ratings
2B Workload/Capacity
(1) Project type workload w/NYSDOT vs capacity
(2) Total remaining workload w/ NYSDOT
75
SELECTION FACTORS, cont.
3. Logistics & Familiarity
3A Logistics
(familiarity based upon proximity)
4. Other Factors
4A Standard Factors
4B Special Factors
4C Overall Approach/Understanding
4D General Management/Management Plan
4E Work Plan & Schedule
4F Oral Presentation
4G Size
of Firm
76
SELECTION FACTORS, cont.
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)
6A Performance & Experience
6B
Workload with Division
Generally, for Factors 5, 6A and 6B,
the higher the proposed D/M/WBE participation, the higher the resulting
bonus points.
77
SELECTION FACTORS, cont.
7. Last Designation (penalty) 每 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.
78
Step 2 Committee Scoring
1. Prior Experience
1B
Staff Experience
3. Logistics & Familiarity
3B
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 firm*s project inventory
with those of the subject project. The greater the correlation,
the higher the resulting scores.
79
Step 2 Committee Scoring
Special Factors, 4B, also attempt to
demonstrate experience, but are not related to the firm*s 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.
80
Project Inventory Tips
Detailed 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
firm*s 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.
81
General
Information
82
83
MISREPRESENTATION
NYSDOT*s 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.
84
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:
https://www9.nysdot.gov/CSSWebView/CSS/Common/Welcome.do?action=getWelcome&topMenuContext=&leftMenuContext
85
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.
NYSDOT*s formal procedure regarding claims of misrepresentation is
posted on the Department*s web site.
That policy is available at:
https://www.nysdot.gov/main/businesscenter/consultants/consultants-repository/misrep_protest.pdf.
86
Highlights of that policy are:
87
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 NYSDOT*s
web site.
88
QUESTIONS?
89
CIVIL RIGHTS
D/MWBE
Training
Payment/AAP-7
90
D/MWBE
91
D/MWBE con*t
92
D/MWBE Common Errors
Pre-Designation
93
D/MWBE Common Errors
Pre-Designation con*t
NOTE:
Also report any errors to the certifying agency that is
responsible for the firm.
94
D/MWBE Common Errors
Pre-Designation con*t
95
DBE Search Tips
96
DBE Search Tips con*t
97
MWBE Search Tips
98
D/MWBE Compliance
Contract Management*s Civil Rights Unit reviews:
99
D/MWBE Compliance con*t
CI 07-04 Consultant Compliance with D/MWBE Commitment
100
D/MWBE Compliance con*t
Possible results of non-compliance findings that are not corrected:
101
Training
102
Training Common Errors
103
Training Common Errors con*t
https://www.nysdot.gov/main/business-center/consultants/forms-publications-and-instructions
104
Payment/AAP-7 Common Errors
105
Payment/AAP-7 Updates
106
Department Web Site
107
QUESTIONS?
108
CONTRACT NEGOTIATION
109
Contract Components
110
Contract Type
111
Negotiation Process
112
Bottom Line Process
113
Bottom Line Process
114
Bottom Line Process cont.
115
Maximum/Specific Hourly Rates
116
Maximum/Specific Hourly Rates cont.
117
Cost Shell ISSUES
118
QUESTIONS?
119
Doing Business with DOT
Audits
120
Purpose of Pre-award Evaluations
121
Adequate Accounting System
122
Consultant Responsibility
123
FAR Indirect Cost Audit
124
Overhead Auditor Selection
125
Overhead Auditor Selection
cont*d
126
Report Issued
127
QUESTIONS?
Contact Information:
Linda C. Zinzow, CPA, CGFM
Director, Contract Audit Bureau
lzinzow@dot.state.ny.us
518-457-3180
128
CONSULTANT MANAGEMENT
INFORMATION
Kevin W. Gregory, P.E.
Director of the Consultant Management Bureau
Office of Design 每
New York State Department of Transportation
129
AGENDA
130
BASE SCOPE OF SERVICES
131
BASE SCOPE OF SERVICES
132
BASE SCOPE OF SERVICES
133
DESIGN CONSULTANT
MANUAL
134
QUALITY CONTROL
CHECKLISTS
135
QUALITY CONTROL
CHECKLISTS
Checklists to be posted February, 2010:
136
QUALITY CONTROL
CHECKLISTS
Checklists in progress:
137
MANUAL AND
CHECKLISTS
https://www.nysdot.gov/divisions/engineering/design/
consultant-management
138
DISCUSSION
139
CI Consultant Agreements (Non-Term) QA
Checklist
140
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)?
141
142
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 consultant*s 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?
143
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
144
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?
145
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.
146
3. Is there a copy of
the Consultant Insurance Certificates in the field Office? In
the Regional Office? Maintained by Contract Management.
147
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.
148
4. Is there a copy of the Consultant
Conflict of Interest Statement in the field Office? In the Regional
Office?
149
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.
150
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)?
151
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.
152
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?
153
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
154
7. Is the EIC familiar
with the Consultant Agreement for their project? Do they know the scope,
completion date and Maximum Amount Payable?
155
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.
156
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.)?
157
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.
158
9. Has each consultant
inspector been approved to work on the project by the EIC (or supervisor
or RCE)?
159
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.
160
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).
161
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.
162
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?
163
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.
164
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?
165
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.
166
13. Are consultant inspector
salaries included in the office files and are raises being reviewed
when appropriate?
167
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.
168
14. Is the EIC knowledgeable
of MURK 1D ? Are they even aware of it?
169
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
170
15. What has been the consultant*s
performance thus far? Has poor or exceptional performance been
documented?
171
15. What has been the consultant*s 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.
172
QUESTIONS?
173
Overview of NYSDOT Bridge Inspection
Contracts
By Peter McCowan
NYSDOT
Main Office
Bridge Inspection
Unit
174
NYS Bridge Inspection
9,000 每 10,000 Inspections per year
NYSDOT fields ~ 67 Bridge Inspection
Teams per year
~ 60% are Consultant Teams
175
State is divided up into 11 Regions
176
Bridge Inspection
177
Bridge Inspection
Inspection contracts also in the even
number years (2006, 2008 etc.)
178
Bridge Inspection
179
Bridge Inspection
Underwater Inspections
180
Bridge Inspection
For the General Bridge Inspection contracts
(including the ERB contracts)
For Underwater Bridge Inspection contracts,
all consultant management is handled by the MO BIU
181
Bridge Inspection Standards
http://www.nysdot.gov/portal/page/portal/divisions/engineering/structures/manuals/bridge-inspection
Manual§
(BIRM - 2006)
182
NYS Inspection Standards
Team Leader (PE)
Assistant Team Leader
183
Qualification of Staff
184
Bridge Inspection
185
Bridge Inspection Training:
186
Questions ?
QUESTIONS?
188
189
BILLINGS
BILL HOWE, DIRECTOR OF CONTRACTS
190
BILLINGS
191
BILLINGS (cont*d)
192
BILLINGS (cont*d)
193
BILLINGS (cont*d)
194
BILLINGS (cont*d)
QUESTIONS?
195
Adding Sub Contractors & Consultants
196
SUBCONTRACTORS
197
SUBCONSULTANTS
198
PRIME - SUB CONTRACTS
199
QUESTIONS?
200
PERFORMANCE EVALUATIONS
201
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:
202
203
RATING SCALE - NUMERICAL RATING DEFINITION
204
RATING SCALE - NUMERICAL RATING DEFINITION
(cont.)
205
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
206
Evaluation Format:
2. Design Consultants
a. Adherence to Department Procedures, Standards & Specifications
b. Ability to Adapt Design Features to Project Conditions
c. Accuracy/Clarity of Reports,
PS&E
207
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
208
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.
209
Evaluation Process
210
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.
211
Evaluations in the Selection Process
每 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;
212
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.
213
Related Documents:
214
*Available on NYSDOT*s web site.
Rev. 1/5/10
215
QUESTIONS?
216
CLOSE- OUT
217
CLOSE-OUT
218
CLOSE-OUT cont.
219
CLOSE-OUT cont.
220