new york state department of transportation electronic inventory and scoring system for engineering...
TRANSCRIPT
NEW YORK STATE DEPARTMENT OF TRANSPORTATION
ELECTRONIC INVENTORY AND SCORING SYSTEM FOR
ENGINEERING CONSULTANTS
1
NYSDOT Website and Electronic Inventory Submittal
2
NYSDOT Home Page – https://www.dot.ny.gov/index
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
3
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)
4
Engineering Services – Detailed AdsPreliminary 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
5
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.
6
“View All”
The “View All” page for detailed
advertisements.
7
Access to frequently used applications, forms,
publications, Consultant Instructions,
announcements, etc.
Doing Business with NYSDOT
https://www.dot.ny.gov/doing-business
8
Forms, Publications and Instructionshttps://www.dot.ny.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. 9
Consultant Selection Process I (Non-Electronic) and Process II (Electronic) - Information Links
https://www.dot.ny.gov/main/business-center/consultants/general-info/non-electronic-consultant-selection-(process-1)
and https://www.dot.ny.gov/main/business-center/consultants/general-info/electronic-
consultant-selection-(process-2)
10
Process I & Process II – Submittal formsProcess 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. 11
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.
12
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.
13
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.
14
Click the CSS Web link to create an account or to log in to your firm’s existing account.
15
Access to Firm Login Screen (Single Sign-On Login Screen)
16
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.)
17
Forgot Password ScreenIf 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
18
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 – 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.19
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.
20
Register the firm name exactly as it is registered in New York State’s Statewide Financial System, with the NYS Department of State and
with the NYS 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.
21
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.
22
Part II – Completing the Registration Process (Initial Account Log In)User accounts are created as “ABC_Consulting” but logging in requires
the full User ID path – “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.
23
Part II – 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.)
24
Initial Firm Registration Screen
25
Complete Items 1 – 6
Use the “Search” utility to check firm status (Have we registered already?)
26
Gather Required Information First
27
ERROR CHECK PRIOR TO ANY SUBMISSION
Submit your data!The registration process is complete.
28
Sample Account – 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.
29
Inventory ModuleThe 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.30
Inventory Functionality
General Firm Information – 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 – 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.
31
32
Inventory Functionality (cont.)
• The Annual Certified Salary Roster is submitted once each calendar year.
• The Max Rates Roster is submitted annually if the firm has active projects with NYSDOT. Max Rate Rosters must be compiled by the firm. The Max Rates Roster module must be opened and the roster is either “created” or “re-initialized” depending upon the type of maximum rates required.
•The Inventory Salary Roster is used for scoring purposes and may be submitted in 90-day intervals. Inventory Salary Rosters are compiled by the system and require no user interaction other than submission from the “Submit Updates” page. An up-to-date Annual Certified Salary Roster (new employees added and saved to the Annual Roster) is necessary when providing and Inventory Salary Roster for scoring.
Inventory Functionality (cont.)
Construction Inspection & Design Project Inventories – 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.dot.ny.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 3 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. All 3 sub-sets will activate concurrently.
33
CI Project Inventory
Order Column – Numbering order selected by firm.Completed Column – 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 – 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.
34
Design Project Inventory
Order Column – Numbering order selected by firm.Completed Column – 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 – 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.
35
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.
36
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.
37
CONSULTANT SELECTIONElectronic and Non-Electronic
Process
38
General Selection Information: • The selection process for obtaining a consultant to
provide professional Architectural, Engineering, Land Surveying and Landscape Architectural services must be a qualifications based selection (QBS) process per NYS and Federal law;
• To be considered for selection, firms must be appropriately authorized to perform the services required, and also be authorized to conduct business in NYS when appropriate;https://www.dot.ny.gov/main/business-center/consultants/consultants-repository/ci93-10.pdf
• NYSDOT does not prequalify firms for participation in A&E consultant agreements. However, primes and their subconsultants that plan on submitting an expression of interest (EOI) in response to an opportunity must all be registered in CSSWeb prior to the prime’s preparation of the EOI.
39
Prime must have an activated project inventory on
file in order to submit an EOI.
Selection Process (overview) Region identifies the need for consultant services and
prepares a request for those consultant services; Main Office Program Area (Design, Construction,
Planning, etc.) verifies the need for the services. Preliminary availability of consultant funding for the project is verified. Contract Management notified of the need for the consultant services;
Selection factors and weights to be used in the selection process are determined for each specific project based upon on input from the Region, the respective Main Office Program Area and Contract Management;
40
• The consultant opportunity is first announced in the NYS
Contract Reporter. A detailed advertisement is subsequently posted on NYSDOT’s web page, https://www.dot.ny.gov/doing-business/opportunities/eng-detailad. Project description, directions for submitting EOIs, Selection Process to be used and the criteria used for consultant selection (Factors and Weights) are provided in the detailed advertisement;
• The detailed ad may follow the announcement by several days;
• EOIs and any requested additional information are scored and a “best qualified” firm is recommended to the Chief Engineer. There are two selection processes used to identify the best qualified firm: Process I and Process II;
• Chief Engineer can approve the recommendation, reject the recommendation, or request additional review by the Selection Committee;
• When the Chief Engineer approves the recommendation, a consultant team is designated and announced on NYSDOT’s web page, (https://www.dot.ny.gov/doing-business/opportunities/eng-designation ).
41
Selection Processes – 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.
42
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.dot.ny.gov/doing-business/opportunities/eng-shortlistad
43
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.
44
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.
45
General Information:
Selection Committee members do not “rank” firms, they are charged with evaluating proposals with respect to the advertised selection criteria;
Debriefings can be requested following the announcement of the designated firm on NYSDOT’s web page;
Firms can request a copy of the designated firm’s 255 package after the contract has been executed by the Office of the State Comptroller. A freedom of information request is not required. NYSDOT will redact information that has been identified as proprietary.
46
Suggestions & Common Errors: • Read and follow the directions provided in the
detailed advertisement;• Monitor NYSDOT’s web page for revisions to
previously advertised opportunities;• Review submitted inventories of proposed team
members to ensure they are current and accurate;• DMWBEs must be proposed for work activities they
are certified to perform as a DMWBE in order for their participation to count towards the goal;
• Electronic submissions must be timely. Our automated system shuts out offers submitted after the stated deadline. Don’t wait until the last moment to submit. Unfair to other firms if one firm is given more time;
47
No staffing assigned to the claimed “functional
office”;
Failure to submit offers because of perception “predetermined selections”;
Reported workload information is not consistent between the EOI and the CONR-386;
Team members and their respective proposed participation can not change from one step to the next for Process II selections;
Reported distances, in miles, to the project site and Regional Office should be verified prior to submission.
48
Joint Ventures “in spirit” are not recognized for contracting purposes. If an EOI is submitted as a joint venture and that entity is designated, the legal entity, if not already established, must be formed and a Federal ID number established before funding for a project can be obtained. If a formal joint venture is not established as required, NYSDOT may de-designate the selected team and enter into negotiations with the next most qualified offerer.
49
SELECTION FACTORS
Provides the basis for the QBS selection process Are established on a project specific basisProcess II – Step 1 Scores the firm, Step 2 Scores the staffStep 1 Electronic Scoring
1. Prior Experience1A Firm Experience (Subfactors)1C Experience with NYSDOT
2. Organizational Capacity for this type of work2A Prior NYSDOT performance ratings2B Workload/Capacity
(1) Project type workload w/NYSDOT vs capacity
(2) Total remaining workload w/ NYSDOT
50
Evaluations in the Selection Process – 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;
51
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.
5. Evaluations are active for six (6) years from the end of the “Service To” date on the evaluation.
52
SELECTION FACTORS, cont.
3. Logistics & Familiarity3A Logistics (familiarity based upon
proximity)
4. Other Factors4A Standard Factors4B Special Factors4C Overall Approach/Understanding4D General Management/Management Plan4E Work Plan & Schedule4F Oral Presentation4G Size of Firm
53
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 & Experience6B Workload with Division
Generally, for Factors 5, 6A and 6B, the higher the proposed D/M/WBE participation, the higher the resulting bonus points.
54
D/MWBE DBE Participation goal is 20% of the Direct
Technical Labor (DTL) MWBE Participation goal is 30% of the Direct
Technical Labor (DTL) CI 07-04 Consultant Compliance with D/MWBE
Commitment regarding prime consultants’ fulfillment of D/MWBE commitments made in EOIs
Possible result of non-compliance findings that are not corrected: lowering of performance rating score for the D/WMBE portion of Dept.’s Consultant Selection System to zero for the following 12 month period or until it takes appropriate remedial action
55
SELECTION FACTORS, cont.
7. Last Designation (penalty) – 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.
56
Step 2 Committee Scoring
1. Prior Experience1B Staff Experience
3. Logistics & Familiarity3B 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.
57
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.
58
Project Inventory TipsDetailed 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.dot.ny.gov/CSSWeb/help/Master Consultant Selection System.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.
59
General Information
• An initial submission can be made anytime;• Updates can be submitted any time, but these new
submissions will not be used for scoring purposes unless it has been at least 90 days since activation of the previous submission for that section;
• Make sure to “SUBMIT” any updates to inventories. Otherwise, the updates will not be made;
• Only claim credit for work class or tasks that the firm actually performed. Don’t claim credit for work performed by other members of your consultant team;
• Individual experience can only be claimed for persons that are currently employed by the firm as a principal or group director. The individual must also have worked on the claimed project in a management capacity (i.e. principal, group director, or project manager with responsibility for multiple projects simultaneously);
60
Do not claim experience gained under a construction
contract as consultant construction inspection experience;
The claimed percent of work should reflect the percentage of the total project the firm was responsible for (subconsultants should not enter 100%);
For CI Inventory, include only projects completed in the last 10 years, or that are ongoing projects where the firm’s CI assignment has been completed, or the construction contractor has completed work valued at least 90% of the current contract value.
For Design Inventory, include only projects completed in the last 10 years, or for ongoing projects, only take credit for work tasks that have been completed and accepted by the client.
61
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.
62
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:
• NYSDOT does perform some level of review of information that is submitted in response to advertised opportunities and requests for additional information by shortlisted firms;
• NYSDOT requires an officer of the firm to certify the accuracy of the submitted information;
• NYSDOT provides the consultant community the ability to police itself by making certain firm information for all firms registered in CSSWeb available for review by any interested party using the CSSWeb View application.
https://www9.dot.ny.gov/CSSWebView/CSS/Common/Welcome.do?action=getWelcome&topMenuContext=&leftMenuContext
63
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.dot.ny.gov/main/businesscenter/consultants/consultants-repository/misrep_protest.pdf.
64
Highlights of that policy are:
• All claims of misrepresentation made to the Office of
Contract Management are reviewed and responded to;
• There are three potential levels of review of claims of misrepresentation by NYSDOT. Selection Supervisor, Selection Review Unit, Contract Review Unit;
• A substantiated finding of significant misrepresentation for any member of a proposed consultant team may result in a determination that the entire proposal is non-responsive and the offerer’s proposal could be dropped from further consideration. Additionally, it may also be grounds for a non-responsibility determination for the firm that was found to be misrepresenting themselves. A determination of non-responsibility could impact a firm's ability to enter into contracting opportunities with New York State.
65
Related Documents:
Consultant Instruction 09-06 (9/11/09), “Misrepresentations in Expressions-of-Interest or Shortlist Proposals” *
https://www.dot.ny.gov/main/business-center/consultants/consultants-repository/ci09-06misrep.pdf
*Available on NYSDOT’s web site.
66