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Consultant

Services ManualM 27-50.02

June 2011

Environmental and Engineering ProgramsDesign Ofce


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Americans with Disabilities Act (ADA) Information

Materials can be provided in alternative formats by calling the ADA Compliance Managerat 360-705-7097. Persons who are deaf or hard of hearing may contact that number via theWashington Relay Service at 7-1-1.

Title VI Notice to the Public

It is Washington State Department of Transportation (WSDOT) policy to ensure no personshall, on the grounds of race, color, national origin, or sex, as provided by Title VI of the CivilRights Act of 1964, be excluded from participation in, be denied the benets of, or be otherwisediscriminated against under any of its federally funded programs and activities. Any person who

believes his/her Title VI protection has been violated may le a complaint with WSDOTs Ofceof Equal Opportunity (OEO). For Title VI complaint forms and advice, please contact OEOsTitle VI Coordinator at 360-705-7098 or 509-324-6018.

To get the latest information on WSDOT administrative and engineering manuals, sign upfor individual manual e-mail updates at: www.wsdot.wa.gov/publications/manuals

Washington State Department of TransportationAdministrative and Engineering PublicationsPO Box 47304Olympia, WA 98504-7304

Phone: 360-705-7430E-mail: [email protected]: www.wsdot.wa.gov/publications/manuals
http://www.wsdot.wa.gov/publications/manualsmailto:[email protected]://www.wsdot.wa.gov/publications/manuals/http://www.wsdot.wa.gov/publications/manuals/mailto:[email protected]://www.wsdot.wa.gov/publications/manuals


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WSDOT Consultant Services Manual M 27-50.01 Page iiiNovember 2010

Foreword

The Consultant Services Manualwas developed by the Washington State Department of

Transportation (WSDOT) to provide guidance in the acquisition of architectural and engineering(A&E) and other professional services in support of project and program delivery when thoseservices are not available from public resources.

The policies and procedures covered herein are applicable to WSDOT project and programmanagers and their support personnel. This manual is also applicable to those subagencies of thestate, such as cities, counties, and ports, that receive federal-aid highway and other United StatesDepartment of Transportation funding from WSDOT.

The procedures in this manual are mandatory for all WSDOT ofces regardless of circumstancesor the critical nature of the services required. The policies and procedures are based on state andfederal regulations, which are covered herein. Adherence to these policies and procedures is

necessary to ensure compliance with state and federal laws and to maintain the public trust.

The manual includes the approved Disadvantaged Business Enterprise (DBE) participationplan and implementation process developed jointly with the Federal Highway Administration(FHWA), the HQ Consultant Services Ofce (CSO), and the WSDOT Ofce of EqualOpportunity. The DBE plan and implementation process ensures an opportunity for minority-

owned, women-owned, and veteran-owned businesses to obtain an equitable share of the workfor which consultants are engaged.

WSDOT adheres to the requirements of 49 CFR 18 known as the Common Grant Rule.This manual serves as the delegation of authority by FHWA to WSDOT under the approved

procedures outlined in 23 CFR 172 for those consultant contracts that include federal funding.All records for federally funded projects are available for FHWA review at any time.

The following types of contracts or agreements are NOT covered by this manual:

Administrative or purchased services Research agreements using public universities

Training instructor agreements Information technology (IT) agreements

Finance and administration services Staff development/training contractscontracts/MIS agreements

Contact the appropriate ofce or department for assistance in those areas. If you are in doubt

as to which ofce may be responsible for the type of services you need, contact the CSO before

talking with any consultant, vendor, or contractor.

Revising and updating the Consultant Services Manual is an ongoing process. Please reporterrors, omissions, or suggestions to the CSO:www.wsdot.wa.gov/business/consulting

/s/ Pasco Bakotich III

Pasco Bakotich III, P.E.

State Design Engineer
http://www.wsdot.wa.gov/business/consulting/http://www.wsdot.wa.gov/business/consulting/


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WSDOT Consultant Services Manual M 27-50.01 Page vNovember 2010

Contents

PART 1 Professional Services ContractingChapter 100 WSDOT Consultant Services Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . 100-1

1 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100-1

100.02 Understanding Consultant Services Agreements . . . . . . . . . . . . 100-2

Chapter 110 WSDOT Policy Regarding Consultant Services . . . . . . . . . . . . . . . . . . . . 110-1110.01 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-1110.02 Open Competition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-1

110.03 Consultant Database . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-2110.04 Fair and Open Competition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-2110.05 Policy and Procedures Manual . . . . . . . . . . . . . . . . . . . . . . . . . . 110-2

110.06 Debrieng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-2110.07 Fair and Impartial Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-3

110.08 Measurable Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-3110.09 Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-3110.10 Nondiscrimination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110-4110.11 Ethical Standards and Behavior . . . . . . . . . . . . . . . . . . . . . . . . . 110-4

Chapter 120 Consultant Services Program Roles and Responsibilities . . . . . . . . . . . 120-11 2 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120-1120.02 CSO Responsibilities and Functions. . . . . . . . . . . . . . . . . . . . . . 120-1120.03 Responsibilities and Functions of Area Consultant Liaisons . . . 120-2

Chapter 130 Glossary of Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130-1

Chapter 140 Denitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140-1

PART 2 Personal Services

Chapter 200 Personal Services Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200-12 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200-1200.02 Legal References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200-2

200.03 Requirements for Internal Review and Approval . . . . . . . . . . . 200-2

200.04 Responsibility for Administering Personal ServicesAgreements at WSDOT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200-3

Chapter 210 Competitive Solicitation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210-12 1 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210-1210.02 Initiation and Request Memo . . . . . . . . . . . . . . . . . . . . . . . . . . . 210-1210.03 Determine Solicitation Method. . . . . . . . . . . . . . . . . . . . . . . . . . 210-22 1 0 . 0 4 A d v e r t i s e m e n t . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210-3

210.05 Preproposal Conference and Dissemination of Information. . . . 210-4210.06 Proposal Receipt and Processing . . . . . . . . . . . . . . . . . . . . . . . . 210-5


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Chapter 220 Scoring, Interviewing, and Selection Process . . . . . . . . . . . . . . . . . . . . . . 220-1220.01 Scoring of Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220-1220.02 Interviewing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220-1

220.03 Final Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220-2

Chapter 230 Negotiation and Execution of Agreement . . . . . . . . . . . . . . . . . . . . . . . . . 230-1

230.01 Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230-1230.02 Final Agreement Execution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230-2

Chapter 240 Sole Source Personal Services Agreements. . . . . . . . . . . . . . . . . . . . . . . . 240-1240.01 Justifying Sole Source Personal Services Agreements . . . . . . . . 240-1240.02 Initiation and Request Memo . . . . . . . . . . . . . . . . . . . . . . . . . . . 240-2

240.03 Posting and Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240-2240.04 OFM Filing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240-3240.05 Justication for Amendments to Sole Source Personal

Services Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240-4

Chapter 250 Supplements to Personal Services Agreements . . . . . . . . . . . . . . . . . . . . . 250-1250.01 Request for Supplement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250-1250.02 Justication for Personal Services Agreement

Supplements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250-1250.03 OFM Filing Requirements for Supplements. . . . . . . . . . . . . . . . 250-2

Chapter 260 On-Call Personal Services Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . 260-1260.01 On-Call Agreements for Personal Services. . . . . . . . . . . . . . . . . 260-1260.02 Initiation and Request Memo . . . . . . . . . . . . . . . . . . . . . . . . . . . 260-1

260.03 Solicitation Method. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260-2260.04 Evaluation and Selection Process . . . . . . . . . . . . . . . . . . . . . . . . 260-3260.05 Negotiation of Master On-Call Agreements . . . . . . . . . . . . . . . . 260-4

260.06 Final Agreement Execution and OFM Filing . . . . . . . . . . . . . . . 260-4260.07 Supplements to Master On-Call Personal Services Agreements 260-5

Chapter 270 Personal Services Task Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270-1270.01 Task Order Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270-1270.02 Consultant Selection From On-Call Roster . . . . . . . . . . . . . . . . 270-2

270.03 Task Order Negotiation and Execution. . . . . . . . . . . . . . . . . . . . 270-2270.04 Task Order Amendment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270-3270.05 Task Order Closeout Process . . . . . . . . . . . . . . . . . . . . . . . . . . . 270-3

Chapter 280 Debrieng and Protest Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280-1

280.01 Debrieng Conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280-1280.02 Complaints Regarding the Solicitation . . . . . . . . . . . . . . . . . . . . 280-1280.03 Protests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280-1280.04 Public Access to Proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280-2


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PART 3 Real Estate Services

Chapter 300 Real Estate Services Consultant Agreements . . . . . . . . . . . . . . . . . . . . . . 300-13 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300-1

300.02 Legal References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300-1300.03 Requirements for Internal Review and Approval . . . . . . . . . . . . 300-2

300.04 Categories of Real Estate Consultant Services . . . . . . . . . . . . . . 300-2

Chapter 310 Acquisition Process for Real Estate Consultant Services . . . . . . . . . . . . . 310-1310.01 Project-Specic Agreements Competitive Solicitation . . . . . . 310-1310.02 Real Estate Sole Source Consultant Agreements . . . . . . . . . . . . 310-4310.03 Supplements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310-4310.04 Master On-Call Real Estate Agreements . . . . . . . . . . . . . . . . . . 310-4

310.05 Task Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310-8

Chapter 320 Relocation Services Policy for Consultant Oversight. . . . . . . . . . . . . . . 320-1

PART 4 Architectural and Engineering Services

Chapter 400 Architectural and Engineering Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . 400-14 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400-1400.02 Legal References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400-3

400.03 Signature Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400-3400.04 Additional Approvals and Concurrence . . . . . . . . . . . . . . . . . . . 400-3

Chapter 410 Acquisition Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410-14 1 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410-1

410.02 Request Memo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 410-2

410.03 Solicitation/Selection Processes . . . . . . . . . . . . . . . . . . . . . . . . . 410-3410.04 Cost Proposal and Statement of Work Negotiations. . . . . . . . . . 410-8410.05 Contract Execution and Notice to Proceed . . . . . . . . . . . . . . . . 410-10410.06 Small Purchase Using Simplied Acquisition . . . . . . . . . . . . . 410-13

Chapter 420 A&E Contract Supplements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420-14 2 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420-1420.02 Supplement Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420-1

Chapter 430 Acquisition of A&E Contracts Through Noncompetitive Negotiation . . . 430-14 3 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430-1430.02 A&E Sole Source Justication and Procedures . . . . . . . . . . . . . 430-1

430.03 Sole Source Contracts for Phased Work Assignments . . . . . . . . 430-2

Chapter 440 Contract Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440-1


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PART 5 Administration of Consultant Contracts

Chapter 500 Contract Administration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500-1500.01 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500-1

500.02 Contract Administration vs. Contract Management . . . . . . . . . . 500-1

Chapter 510 Responsibility for Administering WSDOT A&E Contracts . . . . . . . . . . . 510-1

Chapter 520 Administrative Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520-1

Chapter 530 Contract Closeout Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 530-1

Chapter 540 Consultant Performance Evaluation Reports. . . . . . . . . . . . . . . . . . . . . . . 540-15 4 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540-1540.02 Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540-1

Chapter 550 Recordkeeping and Records Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . 550-15 5 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 550-1

550.02 Records Management and Public Disclosure . . . . . . . . . . . . . . . 550-1Chapter 560 Miscellaneous Administrative Procedures. . . . . . . . . . . . . . . . . . . . . . . . . 560-1

560.01 Contract Claims Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 560-1560.02 Consultant Design Errors and/or Omissions. . . . . . . . . . . . . . . . 560-1

PART 6 Emergency Services

Chapter 600 Emergency Consultant Contracts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600-16 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600-1600.02 Emergency Contract Process . . . . . . . . . . . . . . . . . . . . . . . . . . . 600-2

600.03 Emergency Contract Supplements . . . . . . . . . . . . . . . . . . . . . . . 600-3

PART 7 Participation of Minority-Owned, Women-Owned, andDisadvantaged Businesses

Chapter 700 Disadvantaged Business Enterprise. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700-1

7 0 0 . 0 1 I n t r o d u c t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700-1700.02 Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700-17 0 0 . 0 3 I m p l e m e n t a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 700-3

PART 8 Responsibility for Y Agreements

Chapter 800 Types of Y Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800-1

Chapter 810 Y Agreement Setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 810-1

Chapter 820 Y Agreement Document Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . 820-1

Chapter 830 Y Agreement Management Responsibilities . . . . . . . . . . . . . . . . . . . . . . . 830-1


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PART 9 Appendices

Appendix A 23 CFR 172 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-1

Appendix B A&E Legal Bases for Consultant Contracting. . . . . . . . . . . . . . . . . . . . . . . .B-1

Appendix C The Brooks Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .C-1Appendix D Chapter 39.80 RCW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D-1

Appendix E Consultant Design Errors and Omissions Procedures . . . . . . . . . . . . . . . . . .E-1

Appendix F Consultant Performance Evaluation Procedures . . . . . . . . . . . . . . . . . . . . . .F-1

Appendix G Consultant Contract Claims and Claims Procedures. . . . . . . . . . . . . . . . . . G-1

Appendix H Contract Payment Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . H-1

Appendix I Contract Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1

Appendix J Qualications and Past Performance Database . . . . . . . . . . . . . . . . . . . . . . . J-1

Appendix K Debrieng Procedures and Disclosure of Consultant Information . . . . . . . K-1

Appendix L Determining Cost Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .L-1

Appendix M Ethics in Contracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . M-1

Appendix N Negotiations, Statements of Work, and Managing Project Delivery . . . . . N-1

Appendix O Noncompetitive Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . O-1

Appendix P Organizational Conict of Interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . P-1

Appendix Q OFM Filing Requirements for Personal Services Agreements . . . . . . . . . . Q-1

Appendix R Personal Services Competitive Highlights Chart. . . . . . . . . . . . . . . . . . . . . .R-1

Appendix S Personal Services Consultant Agreement Categories . . . . . . . . . . . . . . . . . .S-1

Appendix T Request Memo Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . T-1

Appendix U Solicitation/Selection Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U-1

Appendix V Contract Supplements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .V-1

Appendix W Task Order Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . W-1

Appendix X Disadvantaged Business Enterprise (DBE) . . . . . . . . . . . . . . . . . . . . . . . . . X-1


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WSDOT Consultant Services Manual M 27-50.01 Page 100-1November 2010

Chapter 100 WSDOT Consultant Services Manual

100.01 Introduction

This Consultant Services Manualestablishes policy for acquiring consultantservices that support all phases of transportation project delivery. The manualis intended to provide direction and guidance to those who seek to acquireconsultant services and those who have a role in managing and administering

consultant services agreements and contracts.

The policies contained herein are governed by the WSDOT Chief Engineer.Any deviations or variances must be approved by the Chief Engineer.

The policies outlined in this manual are mandatory for WSDOT staff andare based on federal and state laws and regulations. The most signicant

components of the legal framework are:

23 CFR,Highways

48 CFR 31, Federal Acquisition Regulations System Contract cost

49 CFR 18, Federal-aid highways Common grant rule

49 CFR 26, Disadvantaged Business Enterprise (DBE)

40 USC 11011104, Brooks Act

Chapter 39.29 RCW, Personal service contracts

Chapter 39.80 RCW, Contracts for architectural and engineering services

The manual contains the policies and procedures for architectural andengineering (A & E) and related consultant services acquisition as prescribedin 23 CFR 172(see Appendix A) and 49 CFR 18.36(g)(3). Approval by theFederal Highway Administration (FHWA) of these procedures is requiredin order to receive, or continue to receive, participating federal-aid highway

funds in design efforts that lead to participating construction projects. Theseare the same procedures followed by WSDOT in acquiring consultant serviceswhen federal-aid funds are not involved.

WSDOT is subject to FHWA approvals for the following procedures:

Competitive negotiation (23 CFR 172.5(a)(1)) Simplied acquisition (23 CFR 172.5(a)(2))

Noncompetitive negotiation (23 CFR 172.5(a)(3))

Disadvantaged Business Enterprise (DBE) (23 CFR 172.5(b))
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WSDOT Consultant Services Manual Chapter 100

Page 100-2 WSDOT Consultant Services Manual M 27-50.01November 2010

Individual project approvals are required from FHWA for the following:

All major projects (as dened in 23 USC 106(h)).

Federally funded projects where consultants are in a management role.

The HQ Consultant Services Ofce (CSO) is responsible for the application

of the policies and procedures contained in this manual. The CSO is alsoresponsible for keeping the manual current with state and federal regulations,providing training to those who use it, and answering questions pertainingto its content.

The federal regulations cited above and throughout the manual are equallyapplicable to WSDOT and its subagencies, including the cities, counties,ports, and other subagencies that are recipients of United States Departmentof Transportation funds through WSDOT. The Highways and Local ProgramsDivision (H&LP) administers, oversees, and provides guidance to those

entities through the H&LP Ofce and theLocal Agency Guidelines manual.

100.02 Understanding Consultant Services Agreements

The CSO administers all agreements classied as Y agreements (seeChapter 800). These agreements are typically related to project deliveryand can be categorized as either personal services (see Chapter 200) or A&E

services (see Chapter 400).

A fundamental difference between the two types of agreements is:

When advertising for and selecting personal services consultants, cost maybe a consideration during the competitive selection process.

For A&E agreements, cost is not considered until the negotiation phasewith the top three most qualied rms. At that point, cost becomes part

of the negotiation process.

The Ofce of Financial Management reviews and approves personal servicesagreements and provides input on the specic types of services that t within

that classication.

Consultant services may be obtained through several different procurementprocesses, including competitive selection for project-specic and sole sourceagreements, as well as statewide on-call agreements that use task orders for

specic scopes of work.

The CSO, located at WSDOTs Headquarters, is the hub for managementand administration of the consultant services agreements process. The ofce

is supported by area consultant liaisons who operate in the regions and HQdivisional programs to provide support throughout the contracting process.
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WSDOT PolicyChapter 110 Regarding Consultant Services

110.01 Introduction

The Washington State Department of Transportation adheres to the statutoryintent established in Chapter 39.29 RCW when acquiring and managingagreements for personal services provided by consultants. The departmentfollows a policy of open competition for all personal services agreements

unless exempted by law. In addition, the department provides all requiredinformation and follows ling and reporting rules established by theOfce of Financial Management in order to ensure there is opportunity forlegislative, executive, and public review of all personal services agreements,and there is appropriate accounting of expenditures.

It is WSDOTs policy to solicit for and secure the services of professionals

under the broad denition of architectural and engineering (A&E) services,whenever needed, to the best and most efcient operation of the state.Consultant services acquisition will be in accordance with state and federal

law and applicable regulations, as follows:

Solicitations for appropriate services will be in compliance with40 USC 11011104, commonly known as the Brooks Act.

WSDOTs policies and procedures will be subject to approval by theFederal Highway Administration in accordance with 23 CFR 172 and49 CFR 18.

110.02 Open Competition

WSDOT will publicly announce, in advance, the departments requirement

for architectural and engineering services. WSDOT will negotiate contractswith consultants for A&E services on the basis of demonstrated competenceand qualications for the type of professional services required at fair andreasonable prices to the state, in accordance with Chapter 39.80 RCW.

It is WSDOTs policy to fully comply with and meet the intent ofChapter 39.80 RCW for open competition in the acquisition of A&E services.The circumstances under which a contract may be awarded by noncompetitive

negotiations are limited to the following: The service is available from a single source only.

There is an emergency that will not permit the time necessary to conductcompetitive negotiations.

After solicitation of a number of sources, it is determined that competitionis inadequate.

For the purposes of this policy statement, the contracting authority referred

to in the RCW is the WSDOT Chief Engineer.
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110.03 Consultant Database

WSDOT will maintain a database of consultants qualications and pastperformance history; encourage rms interested in doing business with

the state to submit and/or annually update their qualications and pastperformance history; and make database information available for use in the

selection process. The database is to be maintained by the HQ ConsultantServices Ofce (CSO).

110.04 Fair and Open Competition

WSDOT will provide for fair and open competition among consultants to thehighest degree possible, on the basis of their qualications and demonstratedpast performance. WSDOT will establish processes that ensure all rms havethe full, unhindered opportunity to compete for and potentially be awarded

contracts in accordance with RCW 39.80.040 and 49 CFR 26.

110.05 Policy and Procedures Manual

WSDOT will establish a policy and procedures manual, owned and

maintained by the CSO, which clearly describes the processes and criteriato acquire consultant services by the department; administer the contractsawarded for consultant services; close out and evaluate the work performedby the consultant; and maintain the required documentation of contracts forconsultant services in accordance with federal and state law and with state and

department guidelines.

110.06 Debrieng

For rms that respond to Requests for Qualications or Requests forProposals related to specic work or specic projects, WSDOT will provide

a debrieng to the extent required by federal and/or state law. Such debriengwill occur for rms that make a formal request. Firms requesting debriengwill be debriefed only after execution of a contract for the work or projectbeing solicited.

To be compliant with this policy, proposing rms are to notify the CSOmanager in writing of their desire for a debrieng. Notice is to be sent to theCSO manager within three business days after the rms are notied of thenal selection and award of a contract for the work or project they responded

to. Debrieng will occur within ve business days after the CSO receiveswritten notication from the rm that seeks to be debriefed.
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110.07 Fair and Impartial Treatment

WSDOT will administer the contracts for services in a professional andefcient manner, providing fair and impartial treatment to all vendors while

maintaining the best interests of the state. Consultants will be paid promptlyin accordance with RCW 39.76.011. Consultants will be fairly evaluated for

the work they perform and provided meaningful feedback and the opportunityto redress any issues. WSDOT will close out contracts in a timely manner,protecting all appropriate records and documentation. WSDOT will seek to

avoid contract claims through strong change management processes and willensure all contractor claims are addressed quickly and fairly.

110.08 Measurable Evaluations

WSDOT will perform measurable evaluations of the work of consultants who

enter into A&E contracts and personal services contracts directly related toprojects with the department. These evaluations will be in accordance with

state and federal regulations.

Evaluations will be performed for each professional services contract enteredinto between a consultant and the state. Evaluations will be performedin a manner that provides meaningful feedback to the consultants, whileproviding WSDOT with documented performance measurements, whichwill aid in future determinations of a rms qualications to perform under

similar circumstances. The CSO will retain all nal performance evaluationsfor each consultant for a minimum of six years after the date of thecompleted evaluation.

110.09 EmergenciesIn the event of an emergency, those within WSDOT with the authority to do

so will act in the best interests of the state. An emergency is dened by statelaw as a set of unforeseen circumstances beyond the control of the agencythat either (1) present a real, immediate threat to the proper performance ofessential functions, or (2) may result in material loss or damage to property,bodily injury, or loss of life if immediate action is not taken. This policy

statement will not relieve anyone acting in accordance with this policy fromcomplying with applicable laws limiting emergency expenditures.
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110.10 Nondiscrimination

WSDOT is very clear regarding its policy on nondiscrimination. WSDOT willnot tolerate discrimination in any form in its hiring and contracting practices.

When contracting for professional services, WSDOT will not exclude anyperson from participation in, deny any person the benets of, or otherwise

discriminate against anyone in connection with the award and performanceof any contract on the basis of race, color, sex, or national origin. Further,in administering its Disadvantaged Business Enterprises program, WSDOT

will not, directly or through contractual or other arrangements, use criteria ormethods of administration that have the effect of defeating or substantiallyimpairing accomplishment of the objectives of the program with respect toindividuals of a particular race, color, sex, or national origin.

In addition, WSDOT will not accept any form of discrimination in the hiringor contracting practices of its contractors. WSDOT has specic languagein its contracts regarding the departments (1) nondiscrimination policy,

(2) expectation that any contractor hired by WSDOT will attest to and afrmhaving a policy of nondiscrimination on the basis of race, color, sex, ornational origin, and (3) ability to verify said policy through random interviewswith individual employees or subcontractors of the contractor.

110.11 Ethical Standards and Behavior

Throughout the process of acquiring and managing consultant services, thoseperforming the services on behalf of WSDOT will adhere to, and comply with,

the ethical standards set forth in state and federal law. It is the departmentsexpectation that both its employees and its contractors will follow a code of

ethical behavior in professional and business activities. In addition, WSDOThas the responsibility to determine whether a potential organizational conictof interest exists in a contracting process and will take necessary action to

avoid, neutralize, or mitigate such conicts.


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Consultant Services Program Chapter 120 Roles and Responsibilities

120.01 Introduction

Several distinct sets of responsibilities are involved in operating a complex,high-risk government contracting program such as the consultant servicesprogram managed by the HQ Consultant Services Ofce (CSO). The primaryfunctional areas of the CSO include:

1. Agreement procurement: The process of acquiring services undercontract, including solicitation, selection, negotiation, and execution ofnew agreements.

2. Agreement administration: The process of ling, tracking, andsupplementing agreements; applying internal controls; managing

documentation; providing technical assistance and support to internal andexternal customers; and ensuring compliance with contractual terms and

conditions for the duration of a project through the contracts closeout ortermination.

3. Agreement management: Managing the contractual agreement andthe relationship with the contractor throughout the duration of a project,

tracking deliverables, processing payments, and solving problems.

120.02 CSO Responsibilities and Functions

In fullling its responsibilities, the CSO performs the following functions:

Policy management.

Training and communications.

Compliance reviews and audit liaison.

Disadvantaged Business Enterprise program management and reporting.

American Council of Engineering Companies/WSDOT committeerepresentation.

Contract solicitation, acquisition, nal assembly, and administration.

Rate-setting and negotiation.

Technical review of engineering-related contract elements.

Debrieng and dispute resolution.

Establishment and monitoring of operational procedures.

Development/management of contract tracking and information systems.

Legislative analysis.


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In the role of chief contracting ofcer, the CSO manager:

Under delegated authority from the Assistant Secretary, Engineering and

Regional Operations, oversees and provides all CSO functions listedabove.

Implements the Consultant Services Manualand all CSO operations.

Signs and executes all agreements acquired and administered by the CSO.

Represents the CSO in consultant selection and approves nalrecommendations from selection teams.

Serves in a decision-making role in resolving disputes, claims, conictsof interest, and protests.

Directs the day-to-day operations of the CSO, ensuring the administrativesupport and guidance in the acquisition and management of consultant

services agreements is of high quality, is timely, and meets customersneeds.

Monitors and promotes adherence to federal and state statutes and rulesthat govern consultant services agreements.

Coordinates and ensures training is provided to the area consultant liaisonsand other internal customer groups regarding agreement processing,including selection, negotiation, agreement management, internal controls,and ethical standards.

Participates in strategic planning for the departments consultant servicesneeds and serves as an active member of WSDOTs Engineering andRegional Operations management team.

Provides program information and reports to the WSDOT Secretaryof Transportation, the Assistant Secretary, Engineering and RegionalOperations, and other WSDOT executive staff; the Ofce of EqualOpportunity; the Federal Highway Administration and other federalagencies; the Washington State legislature; other state agencies; and the

general public regarding WSDOTs use of consultant agreements.

Communicates and collaborates with the consultant community, primarilythrough activities related to the American Council of EngineeringCompanies Washington.

120.03 Responsibilities and Functions of Area Consultant Liaisons

In the regions and programs, the area consultant liaisons (ACLs) carry out

duties related to agreement administration and management. The ACLshave a matrix relationship1 with the CSO. They are the point of contact forthe CSO to ensure agreement processes are followed. They perform criticalfunctions in scoping and estimating agreements, and they facilitate agreement

1ACLs are employees of the region or program, with an indirect reporting relationship with the CSO. (They do not ofcially

report to the CSO, but their duties relate to the CSO on a daily basis.)


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management steps from beginning to end. ACLs serve as key resources in theeld, providing and interpreting policies and procedures and providing directassistance to project managers and end users of agreements in their respective

organizations. In this role, ACLs:

Handle requests for consultant services agreements and supplements.

Provide guidance to project managers regarding potential contracting

options available to them.

Negotiate agreements.

Initiate and process task orders.

Develop and maintain supporting documentation.

Monitor compliance with internal controls.

Facilitate contract management, payment, and closeout.

Route agreement documents to the CSO to obtain necessary approvals,

meet ling requirements, and set up accounting records.

Provide program data and information to the CSO as needed.

Facilitate Disadvantaged Business Enterprise reporting and completion ofconsultant performance evaluations.

Manage certain types of agreements (such as the current on-callagreements and, in the future, indenite-delivery contracts).

ACLs are the point of contact for WSDOT with the consultant community.

In that capacity, they:

Provide information on upcoming projects and consultant needs.

Respond to questions regarding current advertisements (typically

concerning scopes of work).

Provide information on upcoming meetings and negotiation sessions.

Keep consultants updated on the status of their agreements and/or

supplements.

Provide notices to proceed.

Respond to questions regarding agreement terms and conditions.

Clarify scopes of work.

Provide information regarding payment status.

Handle other requests as necessary and refer requests to the CSO asappropriate.


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21/282


Chapter 130 Glossary of Acronyms

Following are the acronyms used throughout the Consultant Services Manual:

ACEC American Council of Engineering CompaniesA&E architectural and engineeringACL area consultant liaison

ADA Americans with Disabilities ActAGO Attorney Generals OfceAIA American Institute of ArchitectsASCO Administrative Services Contracts OfceBLM Bureau of Land Management

CECW Consultant Engineers Council of WashingtonCEVP cost estimate validation processCFR Code of Federal Regulations

CPFF cost-plus-xed-feeCRA cost risk assessment (or analysis)

CSO HQ Consultant Services OfceDBE Disadvantaged Business EnterpriseDRB Disputes Review BoardEA Environmental AnalysisEIS Environmental Impact Statement

FAA Federal Aviation AdministrationFAR Federal Acquisition RegulationFHWA Federal Highway AdministrationFOIA Freedom of Information ActFRA Federal Railroad AdministrationFTA Federal Transit Administration

FTE full-time employeeFY scal yearG&A General and AdministrativeGEC General Engineering ConsultantGS General Schedule

GSP General Special ProvisionHQ WSDOT Headquarters in OlympiaIDC indenite-delivery contractLNTP limited notice to proceedLS lump sum

MPD managing project (or program) deliveryNAICS North American Industry Classication SystemNEPA National Environmental Policy ActNHR negotiated hourly rateNTP notice to proceed

OCOI organizational conict of interest
http://www.acec.org/http://www.atg.wa.gov/http://www.atg.wa.gov/http://www.aia.org/http://wwwi.wsdot.wa.gov/AdminServices/Contracts/http://wwwi.wsdot.wa.gov/AdminServices/Contracts/http://wwwi.wsdot.wa.gov/AdminServices/Contracts/http://www.blm.gov/wo/st/en.htmlhttp://www.gpoaccess.gov/cfr/http://wwwi.wsdot.wa.gov/Consulting/http://wwwi.wsdot.wa.gov/Consulting/http://www.wsdot.wa.gov/Business/Consulting/Agreements/DisputesReview.htmhttp://www.faa.gov/http://www.fhwa.dot.gov/http://www.fra.dot.gov/http://www.fta.dot.gov/http://www.fta.dot.gov/http://www.fra.dot.gov/http://www.fhwa.dot.gov/http://www.faa.gov/http://www.wsdot.wa.gov/Business/Consulting/Agreements/DisputesReview.htmhttp://wwwi.wsdot.wa.gov/Consulting/http://www.gpoaccess.gov/cfr/http://www.blm.gov/wo/st/en.htmlhttp://wwwi.wsdot.wa.gov/AdminServices/Contracts/http://www.aia.org/http://www.atg.wa.gov/http://www.acec.org/


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OEO Ofce of Equal OpportunityOFM Ofce of Financial ManagementOH overhead

OMWBE Ofce of Minority and Womens Business EnterprisesPDF portable document format

PIN personal identication numberPM project managerPS&E plans, specications, and estimates

Q&A question and answerRCW Revised Code of WashingtonRFP Request for ProposalRFQ Request for QualicationsSAAM State Administrative and Accounting Manual

SCE State Construction EngineerSDE State Design EngineerSEPA State Environmental Policy Act

SNAME Society for Naval Architects and Marine EngineersSOQ Statement of Qualications

SOW statement of workTAA task assignment amendmentTAC task assignment contractTOD task order documentTONHR task order negotiated hourly rate

TRAINS Transportation Reporting and Accounting Information SystemUSACE United States Army Corps of EngineersUSC United States CodeUSDA United States Department of Agriculture

USDI United States Department of the InteriorUSDOT United States Department of TransportationWAC Washington Administrative CodeWBS Work Breakdown StructureWEBS Washingtons Electronic Business SolutionWSDOT Washington State Department of Transportation

WSF WSDOT Ferries Division
http://www.wsdot.wa.gov/equalopportunity/http://www.wsdot.wa.gov/equalopportunity/http://www.ofm.wa.gov/http://www.ofm.wa.gov/http://www.omwbe.wa.gov/http://www.omwbe.wa.gov/http://apps.leg.wa.gov/rcw/http://www.ofm.wa.gov/policy/default.asphttp://www.ofm.wa.gov/policy/default.asphttp://www.ofm.wa.gov/policy/default.asphttp://www.wsdot.wa.gov/biz/construction/Staff.cfmhttp://www.ecy.wa.gov/programs/sea/sepa/e-review.htmlhttp://www.sname.org/SNAME/SNAME/Home/http://www.usace.army.mil/Pages/default.aspxhttp://www.gpoaccess.gov/uscode/http://www.usda.gov/wps/portal/usda/usdahomehttp://www.doi.gov/index.cfmhttp://www.dot.gov/http://apps.leg.wa.gov/wac/http://www.ga.wa.gov/webs/http://www.wsdot.wa.gov/http://wsdot.wa.gov/ferries/http://wsdot.wa.gov/ferries/http://www.wsdot.wa.gov/http://www.ga.wa.gov/webs/http://apps.leg.wa.gov/wac/http://www.dot.gov/http://www.doi.gov/index.cfmhttp://www.usda.gov/wps/portal/usda/usdahomehttp://www.gpoaccess.gov/uscode/http://www.usace.army.mil/Pages/default.aspxhttp://www.sname.org/SNAME/SNAME/Home/http://www.ecy.wa.gov/programs/sea/sepa/e-review.htmlhttp://www.wsdot.wa.gov/biz/construction/Staff.cfmhttp://www.ofm.wa.gov/policy/default.asphttp://apps.leg.wa.gov/rcw/http://www.omwbe.wa.gov/http://www.ofm.wa.gov/http://www.wsdot.wa.gov/equalopportunity/


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Chapter 140 Denitions

acquisition The acquiring by contract, with appropriated funds, services

(including construction) by and for the use of the government throughpurchase, whether the services are already in existence or must be created,developed, demonstrated, and evaluated. Acquisition begins at the point whenagency needs are established and includes the description of requirements tosatisfy agency needs; solicitation and selection of sources; award of contracts;

contract nancing; contract performance; contract administration; and thosetechnical and management functions directly related to the process of fulllingagency needs by contract.

acquisition planning The process by which the efforts of all personnelresponsible for an acquisition are coordinated and integrated througha comprehensive plan for fullling the agencys need in a timely manner and

at a reasonable cost. It includes developing the overall strategy for managingthe acquisition.

advance payment Amount paid to WSDOT in advance for work to beperformed under a reimbursable (receivable) agreement.

Agency Head orHead of the Agency The Secretary, Attorney General,Administrator, Governor, Chairperson, or other chief ofcial of an executiveagency, unless otherwise indicated, including any deputy or assistant chiefofcial of an executive agency.

agreement (see contract) A meeting of minds with the understanding andacceptance of reciprocal legal rights and duties regarding particular actionsor obligations the parties intend to exchange; a mutual assent to do or refrainfrom doing something; or under certain circumstances, a contract. The writingor document that records the meeting of the minds of the parties.

An agreement is not always synonymous with a contract because it might lackan essential element of a contract, such as consideration. An on-call agreementis not a contract. An on-call agreement lacks both an offer and consideration

(see FAR 16.7). It is only after a task order document is executed for specicwork and consideration that a binding contract exists. It is the task orderdocument that, as a contract, binds the previous elements, making up the

meeting of the minds.

Where the term contractis meant, contract should be used. Within this manualand in the A&E contracting process, occasionally the terms agreement andcontract will be used interchangeably.

agreement cancellation Any discontinuance of the agreement process priorto it becoming a contract.
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Denitions Chapter 140


agreement (contract) closure The process for closing a contract inTRAINS, WSDOTs nancial system. (See Chapter 530 for furtherinformation.)

agreement (contract) manager The person normally responsible for settingup any needed work orders, monitoring the progress of work and costs, and

closing the contract.

agreement supplement See supplement.

agreement termination Terms that specify how and when an executedagreement will expire and when the parties are no longer obligated under the

agreement. This is usually triggered by an agreed-upon end date, completionof work, expenditure of certain funding limits, or at the discretion of one orboth parties. Note that an on-call agreement can terminate without any workhaving been authorized, thus without the agreement leading to a contract.

agreement writer The person responsible for developing the agreement

language, coordinating required reviews, and providing to the parties a nalagreement that is ready for execution.

amendment A written document used to modify the contents of an existingtask order document previously issued under a master on-call agreement. Anamendment may be used to add new elements, make up for a deciency, orextend or strengthen the task order.

application A completed Statement of Qualications together with a requestto be considered for the award of one or more contracts for professionalservices (RCW 39.80.020).

architect-engineer services For the purposes of federal regulation,architect-engineer services are dened in 48 CFR 36.601-4 as follows:

1. Professional services of an architectural or engineering nature, as denedby applicable state law, which the state law requires to be performed orapproved by a registered architect or engineer.

2. Professional services of an architectural or engineering nature associated

with design or construction of real property.

3. Other professional services of an architectural or engineering nature orservices incidental thereto (including studies; investigations; surveying

and mapping; tests; evaluations; consultations; comprehensive planning;program management; conceptual designs; plans and specications; valueengineering; construction phase services; soils engineering; drawingreviews; preparation of operating and maintenance manuals; and otherrelated services) that logically or justiably require performance by

registered architects or engineers or their employees.
http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.6http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.6http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020


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4. Professional surveying and mapping services of an architectural orengineering nature. Surveying is considered to be an architectural andengineering service and will be procured pursuant to Section 36.601 from

registered surveyors or architects and engineers. Mapping associated withthe research, planning, development, design, construction, or alteration

of real property is considered to be an architectural and engineeringservice and is to be procured pursuant to Section 36.601. However,mapping services that are not connected to traditionally understood or

accepted architectural and engineering activities, are not incidental tosuch architectural and engineering activities, or have not in themselvestraditionally been considered architectural and engineering services will beprocured pursuant to provisions in Parts 13, 14, and 15.

In the Brooks Act, 40 USC 1102, the term architectural and engineeringservices means:

1. Professional services of an architectural or engineering nature, as dened

by state law, if applicable, that are required to be performed or approvedby a person licensed, registered, or certied to provide the servicesdescribed in this paragraph;

2. Professional services of an architectural or engineering nature performed

by contract that are associated with research, planning, development,design, construction, alteration, or repair of real property; and

3. Other professional services of an architectural or engineering nature, or

incidental services that members of the architectural and engineeringprofessions (and individuals in their employ) may logically or justiablyperform, including studies; investigations; surveying and mapping;

tests; evaluations; consultations; comprehensive planning; programmanagement; conceptual designs; plans and specications; value

engineering; construction phase services; soils engineering; drawingreviews; preparation of operating and maintenance manuals; and otherrelated services.

architectural and engineering services orprofessional servicesProfessional services rendered by any person, other than as an employee ofthe agency, contracting to perform activities within the scope of the generaldenition of professional practice in Chapters 18.08, 18.43, or18.96 RCW.

certication A formal release of the states jurisdiction over a state highwaydesignated to become part of a local agency road or street network to a county,city, or town. The certication process for abandoned state highways maybe the result of legislative changes to route designations, or because a sectionof state highway has been replaced or relocated during construction, or

a frontage road or other modication to a local road or street is relinquishedto the local jurisdiction (commonly called a turnback).
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.2http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.2http://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=BROWSE&TITLE=40USCSI&PDFS=YEShttp://apps.leg.wa.gov/RCW/default.aspx?cite=18.08http://apps.leg.wa.gov/RCW/default.aspx?cite=18.43http://apps.leg.wa.gov/RCW/default.aspx?Cite=18.96http://apps.leg.wa.gov/RCW/default.aspx?Cite=18.96http://apps.leg.wa.gov/RCW/default.aspx?cite=18.43http://apps.leg.wa.gov/RCW/default.aspx?cite=18.08http://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=BROWSE&TITLE=40USCSI&PDFS=YEShttp://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.2http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=b1f2a9c3eb06b9ae4225abcfc8e38539&rgn=div5&view=text&node=48:1.0.1.6.35&idno=48#48:1.0.1.6.35.6.1.2


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Code of Federal Regulations (CFR) The CFR is the codication ofthe general and permanent rules published in the Federal Register by theexecutive departments and agencies of the federal government. It is divided

into 50 titles that represent broad areas subject to federal regulation. Eachvolume of the CFR is updated once each calendar year and is issued on

a quarterly basis.Each title is divided into chapters, which usually bear the name of the issuing

agency. Each chapter is further subdivided into parts that cover specicregulatory areas. Large parts may be subdivided into subparts. All parts areorganized in sections, and most citations in the CFR are provided at thesection level.

cognizant agency The agency that, on behalf of all state agencies, isresponsible for establishing nal indirect cost rates and forward pricingrates, if applicable, and administering cost accounting standards for a rmsparticular business unit. This is typically the Department of Transportation

in the state where the rm is domiciled.

commercially useful function A term used to describe whether a contractoror subcontractor, most often a disadvantaged business that is certied inthe Disadvantaged Business Enterprise program, is actually doing the work

identied in a WSDOT contract as work to be performed by that rm.

competitive negotiations Refers to the process of A&E consultantacquisition as specied in federal law 23 CFR 172, which utilizes the

qualications-based procedures delineated in federal law Title 40 USC 1101-1104 and Washington State law RCW 39.80.

compliance When a recipient has correctly implemented the requirementsof a contract or an agreement.

computer database ordatabase A collection of recorded informationin a form capable of, and for the purpose of, being stored in, processed, andoperated on by a computer. The term does not include computer software.

consultant Any person providing professional services who is not anemployee of the agency for which the services are provided (RCW 39.80.020).

Continued Portion of the Contract The portion of a contract that thecontractor must continue to work on following a partial termination.

contract An agreement with specic terms between two or more persons

or entities in which there is a promise to do something in return for a valuablebenet known as consideration. The existence of a contract requires ndingthe following factual elements: an offer; an acceptance of that offer that resultsin a meeting of the minds; a promise to perform; a valuable consideration(which can be a promise or payment in some form); performance; a time

or event when performance must be accomplished (meet commitments);and terms and conditions for performance, including fullling promises.
http://www.access.gpo.gov/nara/cfr/waisidx_04/23cfr172_04.htmlhttp://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc40.wais&start=595366&SIZE=1652&TYPE=TEXThttp://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc40.wais&start=604250&SIZE=2417&TYPE=TEXThttp://apps.leg.wa.gov/RCW/default.aspx?cite=39.80http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80http://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc40.wais&start=604250&SIZE=2417&TYPE=TEXThttp://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc40.wais&start=595366&SIZE=1652&TYPE=TEXThttp://www.access.gpo.gov/nara/cfr/waisidx_04/23cfr172_04.html


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A unilateral contract is one in which there is a promise to pay or giveother consideration in return for actual performance. (For example, I willpay you $500 to x my car by Thursday; the performance is xing the car

by that date.)

A bilateral contract is one in which a promise is exchanged for

a promise. (For example, I promise to x your car by Thursday andyou promise to pay $500 on Thursday.)

contract closure The process for closing a contract in TRAINS, WSDOTsnancial system. (See Chapter 530 for further information.)

contract (agreement) manager The person normally responsible for settingup any needed work orders, monitoring the progress of work and costs, andclosing the contract.

contract supplement A contract that changes the provisions of anothercontract. It adds to, subtracts from, claries the intent of, or modies the

original contract in some manner without stepping outside the scope ofthe original contract.

contractor One who participates, through a contract or subcontract(at any tier), in a DOT-assisted highway, transit, or airport program.

conveyance A legal document, such as a quitclaim deed, supporting

a relinquishment or certication of real property, which WSDOT conveysto a local agency.

cost estimate The estimated cost of work to be performed based on themost current information available at the time the agreement is prepared.

Disadvantaged Business Enterprise (DBE) A for-prot small businessconcern:

That is at least 51% owned by one or more individuals who are bothsocially and economically disadvantaged or, in the case of a corporation,in which 51% of the stock is owned by one or more such individuals; and

Whose management and daily business operations are controlled by one

or more of the socially and economically disadvantaged individuals whoown it.

DOT (USDOT) The United States Department of Transportation.

DOT-assisted contract Any contract between a recipient and a contractor(at any tier) funded in whole or in part with DOT nancial assistance,including letters of credit or loan guarantees, except a contract solely forthe purchase of land.

EBASE (Estimates and Bid Analysis System) WSDOTs system fordeveloping project cost estimates. For additional information, seewww.wsdot.wa.gov/design/projectdev/engineeringapplications
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Force Majeure Language that provides for assignment of liability in theevent that agreement obligations cannot be performed due to causes that areoutside the control of the parties and could not be avoided by the exercise of

due care, such as acts of God, which include adverse weather, earthquakes,res, and oods; or such as acts of war and strikes.

good faith efforts Efforts to achieve a DBE goal or other requirement ofa contract/agreement, which, by their scope, intensity, and appropriateness

to the objective, can be reasonably expected to fulll the program goal orrequirement.

HQ The WSDOT Headquarters in Olympia.

indenite-delivery contract (IDC) A contract form that implements oneof three commitment models for the delivery of category-specic consultantservices, based on the anticipated needs of the state. Acquisition shall bethrough competitive negotiations with one or more contracts being awarded

based on the delivery model that best addresses the needs of WSDOT. (See I.5for delivery model descriptions and implementation processes.)

indirect cost rate The overhead percentage rate applied to the total cost

of work performed by WSDOT for another entity under a reimbursableagreement. (See theAccounting Manualfor more information.)

local agency A county, city, or town within Washington State.

Management Reserve Fund Additional funds set aside in the contract/agreement at the request of management.

master agreement Provides all the necessary general terms and conditions

for a general type of work and an overall beginning and ending date. It willnot contain specics for individual elements of work (tasks). This informationwill be in each individually executed task order (see task order). Between themaster agreement and the task order, the tasks scope of work, beginning and

ending dates, and estimate for the work must be completely dened.

Memorandum of Understanding (MOU) A written document executedbetween two or more parties that establishes each partys intent, objectives,and/or requirements regarding some future action. An MOU is also known as

a Letter of Understanding (LOU). MOUs and LOUs differ from agreements inthat they do not create a legally binding commitment.

noncompliance When a recipient has not correctly implemented the

requirements of a contract/agreement.

Non-Operating Property Waste sites, pit sites, stockpile sites, maintenancesites, and other such lands required or used in support of the construction and/

or operation of a highway.
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nonstandard agreement Any agreement that is not a WSDOT standardform. Any revision to a standard form will constitute a nonstandardagreement.

operation of law A change or transfer that occurs automatically dueto existing laws and not due to an agreement or court order. For example,

WSDOT buys right of way for a project on a managed access state highwaywithin a city. Once construction is complete, the city will automatically own

the purchased right of way in accordance with RCW 47.24.020(15).

organizational conict of interest (OCOI) OCOI means that becauseof other activities or relationships with other persons, a person is unable

or potentially unable to render impartial assistance or advice to thegovernment, or the persons objectivity in performing the contract workis or might be otherwise impaired, or a person has an unfair competitiveadvantage (FAR 2.101).

overtime Time worked by a contractors employee in excess of theemployees normal work week.

overtime premium The difference between the contractors regular rate

of pay to an employee for the shift involved and the higher rate paid forovertime. It does not include shift premium (the difference between thecontractors regular rate of pay to an employee and the higher rate paid forextra-pay shift work).

payable agreement An agreement where WSDOT agrees to pay for goodsand/or services provided by another entity.

payable cost The estimated or lump sum dollar amount WSDOT will payunder the terms of an agreement.

person Any individual, organization, group, association, partnership, rm,joint venture, corporation, or any combination thereof (RCW 39.80.020).

Primary Industry Classication The North American IndustrialClassication System (NAICS) designation, which best describes the primarybusiness of a rm. The NAICS is described in theNorth American Industry

Classication Manual, United States, 1997.

Primary Recipient A recipient who receives DOT nancial assistance and

passes some or all of it on to another recipient.principal place of business The business location where the individualswho manage the rms day-to-day operations spend most working hours andwhere top managements business records are kept. If the management ofcesand the ofces where business records are kept are in different locations, the

recipient will determine the principal place of business for DBE programpurposes.
http://apps.leg.wa.gov/RCW/default.aspx?cite=47.24.020https://www.acquisition.gov/far/current/html/Subpart%202_1.html#wp1145507http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020http://apps.leg.wa.gov/RCW/default.aspx?cite=39.80.020https://www.acquisition.gov/far/current/html/Subpart%202_1.html#wp1145507http://apps.leg.wa.gov/RCW/default.aspx?cite=47.24.020


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private party agreement An agreement between WSDOT and a non-publicentity or individual.

public agencies Any agency, political subdivision, or unit of localgovernment of this state, including, but not limited to, municipal corporations,

quasi-municipal corporations, special-purpose districts, and local service

districts; any agency of the state government; any agency of the United States;any Indian tribe recognized as such by the federal government; and anypolitical subdivision of another state (see RCW 39.34.020).

race-conscious A measure or program that is focused specicallyon assisting only DBEs, including women-owned DBEs.

race-neutral A measure or program that is, or can be, used to assist

all small businesses. For the purposes of this part, race-neutral includesgender neutrality.

recipient Any entity, public or private, to which DOT nancial assistance

is extended, whether directly or through another recipient, through theprograms of the Federal Aviation Administration, the Federal HighwayAdministration, or the Federal Transit Administration, or an entity thathas applied for such assistance.

reciprocal overhead agreement An agreement between a localgovernmental agency (city, town, or county) and WSDOT where each agreenot to charge an indirect cost rate (see indirect cost rate) when performingwork or services for the other party.

reimbursable agreement An agreement under which WSDOT receives

payment from another entity for goods and/or services provided by thedepartment.

reimbursable cost The total estimated or lump sum gross dollar amounta party will pay WSDOT under the terms of an agreement. This amount isentered on the Agreement Edit Information form (WSDOT Form 130-005).

relinquishment The turning back to a county, city, or town that portion ofa facility constructed by WSDOT and designated by agreement to becomethe property of the local agency upon completion of construction (see

certication).

Revised Code of Washington (RCW) The law of the state as enacted bythe Washington State Legislature.

SBA-Certied Firm A rm that has a current, valid certication from oris recognized by the SBA under the 8(a) BD or SDB programs.

simplied acquisition (small purchase) Small purchase procedures arethose relatively simple and informal procurement methods where an adequate

number of qualied sources are reviewed and the total contract costs do notexceed the simplied acquisition threshold xed in 41 USC 403(11).
http://apps.leg.wa.gov/RCW/default.aspx?cite=39.34.020http://wwwi.wsdot.wa.gov/fasc/adminservices/forms/formfiles/WSDOT_Forms/130-005-AgreementEditInformation.fp7http://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc41.wais&start=772113&SIZE=16692&TYPE=TEXThttp://frwebgate.access.gpo.gov/cgi-bin/usc.cgi?ACTION=RETRIEVE&FILE=$$xa$$busc41.wais&start=772113&SIZE=16692&TYPE=TEXThttp://wwwi.wsdot.wa.gov/fasc/adminservices/forms/formfiles/WSDOT_Forms/130-005-AgreementEditInformation.fp7http://apps.leg.wa.gov/RCW/default.aspx?cite=39.34.020


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Small Business Administration (SBA) The United States Small BusinessAdministration.

small business concern With respect to rms seeking to participate asDisadvantaged Business Enterprises in USDOT-assisted contracts, a small

business concern is dened pursuant to Section 3 of the Small Business

Act (Public Law 85536) and Small Business Administration regulationsimplementing it (13 CFR 121) that also does not exceed the cap on averageannual gross receipts specied in 49 CFR 26.65(b).

socially and economically disadvantaged individual Any individual whois a citizen (or lawfully admitted permanent resident) of the United States andwho is:

1. Any individual who a recipient nds to be a socially and economicallydisadvantaged individual on a case-by-case basis.

2. Any individual in the following groups, members of which are rebuttably

presumed to be socially and economically disadvantaged:

a. Black Americans, which includes persons having origins in any ofthe Black racial groups of Africa.

b. Hispanic Americans, which includes persons of Mexican, PuertoRican, Cuban, Dominican, Central or South American, or otherSpanish or Portuguese culture or origin, regardless of race.

c. Native Americans, which includes persons who are AmericanIndians, Eskimos, Aleuts, or Native Hawaiians.

d. Asian-Pacic Americans, which includes persons whose originsare from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam,Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, thePhilippines, Brunei, Samoa, Guam, the U.S. Trust Territories ofthe Pacic Islands (Republic of Palau), the Commonwealth of theNorthern Marianas Islands, Macao, Fiji, Tonga, Kirbati, Juvalu, Nauru,

Federated States of Micronesia, or Hong Kong.

e. Subcontinent Asian Americans, which includes persons whoseorigins are from India, Pakistan, Bangladesh, Bhutan, the Maldives

Islands, Nepal, or Sri Lanka.

f. Women.

g. Any additional groups whose members are designated as socially andeconomically disadvantaged by the SBA, at such time as the SBAdesignation becomes effective.

standard form agreement A preapproved agreement format that containsa form number assigned by WSDOT forms management. Any revision toa standard form agreement will constitute a nonstandard agreement and willrequire further review (see nonstandard agreement).
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state-generated funds Revenues that are collected and dispensed by thestate, such as cash receipts and receivables derived from taxes and othersources.

Statutory Authority The specic law or rule, resolution, or ordinance that

authorizes an entity to enter into an agreement to perform an action, take on

an obligation, and/or make payment for services and/or products received.

task order document A contract that is a derivative document, from

a master agreement, containing all the elements that make it a contract,including a statement of work, beginning and ending dates of the work, anda specic dollar amount for the work to be completed. A task order cannot beused to make changes or additions to the terms of the master agreement. Taskorders are executed and monitored individually (see master agreement).

TRAINS The Transportation Reporting and Accounting InformationSystem, which is the ofcial nancial system of WSDOT.

tribally-owned concern Any concern at least 51% owned by a NativeAmerican tribe as dened in this section.

United States Code (USC) The USC is the codication by subject matter

of the general and permanent laws of the United States based on what isprinted in the Statutes at Large. It is divided by broad subjects into 50 titlesand published by the Ofce of the Law Revision Counsel of the U.S. Houseof Representatives.

Since 1926, the USC has been published every six years. Between editions,annual cumulative supplements are published in order to present the most

current information.uneconomic remainder Due to a WSDOT acquisition, the portion of realproperty, lying outside the right of way, left in such shape or condition as tobe of little value to its owner. WSDOT may acquire an uneconomic remainderif its value does not exceed its potential severance claims or damages.

Washington Administrative Code (WAC) Rules and regulations that applyto individual state agencies that are developed by each agency accordingto the Administrative Procedures Act.

Work Order Authorization (WOA) An accounting system document used

to authorize, set up, and revise a work order. (See theAccounting Manualfordetails.)

work order An account set up as the central collection point for recordingall WSDOT payments or receivables associated with a particular project oractivity. (See theAccounting Manualfor details.)

WSDOT Washington State Department of Transportation.
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Chapter 200 Personal Services Agreements

200.01 Introduction

Personal services are professional and/or technical services acquiredby Washington State agencies. They require expertise provided bya consultant to accomplish a specic study, project, task, or other workstatement (RCW 39.29.006). Personal services agreements may be awarded

to individuals, joint ventures, partnerships, corporations, or nonprotorganizations.

Examples of personal services typically acquired through the WSDOT HQConsultant Services Ofce (CSO) include, but are not limited to:

Financial and economic analyses.

Environmental planningas opposed to environmental engineering (seearchitectural and engineering denitions in Chapter 140).

Legal services.

Management consulting not related to A&E projects.

Media and public involvement; marketing services.

Research.

Scientic studies.

Appraisal services not related to A&E projects.

Acquisition, property management, and relocation services.

Expert witness services for litigation.

In addition to differences in the specic categories of work, personal services

are distinguished from architectural and engineering (A&E) services asfollows:

1. Ofce of Financial Management (OFM) ling and approval is required forpersonal services agreements and supplements.

2. Solicitations for personal services must be advertised through

Washingtons Electronic Business Solution (see 210.04), the states onlinebusiness portal.

3. Cost may be a consideration during the competitive selection process.

The CSO will determine the appropriate classication for the agreement when

the i