Requests for Proposals
             Selection and Evaluating Tools




F. Stuart Carson, P.E.
Orange Water & Sewer Authori...
Outline
Objectives
Definitions
Regulations
Qualification Based Selection (QBS)
Outline (continued)
Request for Qualifications (RFQ)
Request for Proposals (RFP)
Resources
Discussion
Objectives
Qualification Based Selection
  Legal Requirements
  Approach
Request for Qualifications/Proposals
  Process
  ...
Definitions
Request for Proposals (RFP)
  Solicitation document requesting proposals in
  response to required scope of se...
Definitions (continued)
Request for Qualifications (RFQ)
  Solicitation document requesting submittal of
  qualifications ...
Definitions (continued)
Qualification Based Selection (QBS)
  Selection of firms based on demonstrated
  competence and qu...
Regulations
Use of Design Professionals
  G.S. 133-1.1(a) – Use of registered engineer required
  for
    Nonstructural wo...
Regulations (continued)
Use of Design Professionals (continued)
  G.S. 143-64.31 – Requires State and all Local public
  e...
Regulations (continued)
Qualification Based Selection
  G.S. 143-64.31 et seq. (North Carolina Mini-Brooks
  Act) – Requir...
Regulations (continued)
Qualification Based Selection (continued)
  NCAC 21-56.0701(f)(3) – Engineers and Land
  Surveyors...
Qualification Based Selection
Legal Requirements
  Federal Brooks Act (U.S. Code 541 et seq.)
    Introduced by Congressma...
Qualification Based Selection
           (continued)
Legal Requirements (continued)
  North Carolina “Mini-Brooks” (G.S. 1...
Qualification Based Selection
           (continued)
North Carolina “Mini-Brooks”
  Requires State and all Local public en...
Qualification Based Selection
           (continued)
North Carolina “Mini-Brooks” (continued)
  Written exemption of parti...
Qualification Based Selection
           (continued)
North Carolina “Mini-Brooks” (continued)
  Exemption of certain proje...
Qualification Based Selection
           (continued)
North Carolina “Mini-Brooks” (continued)
  Exemption of certain proje...
Qualification Based Selection
           (continued)
Approach
  Identify the need
  Define the scope of services generally...
Request for Qualifications
RFQ Further Defined
  Solicitation document requesting submittal of
  qualifications or special...
Request for Qualifications
           (continued)
Professional Services RFQ
  Selection based on the perceived ability of
...
Request for Qualifications
           (continued)
RFQ Process
  Request preparation
    Project description and location
 ...
Request for Qualifications
           (continued)
RFQ Process (continued)
  Request preparation (continued)
    Statement ...
Request for Qualifications
           (continued)
RFQ Process (continued)
  Evaluation and selection
    Include at least ...
Request for Qualifications
           (continued)
RFQ Process (continued)
  Evaluation and selection committee
    Keep sc...
Request for Qualifications
           (continued)
RFQ Critical Steps
  Evaluation process
    Each committee member evalua...
Request for Qualifications
           (continued)
RFQ Critical Steps (continued)
  Qualifications evaluation process (cont...
Request for Qualifications
          (continued)
RFQ Examples
 Geomorphic analysis and identification of potential
 sites ...
Request for Proposals
RFP Further Defined
  Solicitation document requesting proposals in
  response to required scope of ...
Request for Proposals
            (continued)
RFQ/RFP Relationship
  RFQ used to pre-qualify firms
  RFQ or RFP not needed...
Request for Proposals
            (continued)
RFP Process
  Request preparation
    Introduction - summary of the project ...
Request for Proposals
            (continued)
RFP Process (continued)
  Request preparation (continued)
    Proposal requi...
Request for Proposals
            (continued)
RFP Critical Steps
  Selection process
    Proposed project manager’s experi...
Request for Proposals
            (continued)
RFP Critical Steps (continued)
  Selection process (continued)
    Proposed ...
Request for Proposals
            (continued)
RFP Examples
  Optimization of the Process Control Protocol for
  the Orange...
Resources
North Carolina “Mini-Brooks Act”
  G.S. 143-64.33
    DOT or DOA may provide consultant selection advice
Purchas...
Resources (continued)
An Overview of Contract Bidding Requirements
for North Carolina Local Governments (second
addition, ...
Resources (continued)
North Carolina Board of Examiners for
Engineers and Surveyors
  Official NCBES position on the North...
Discussion
  Thank you
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Requests for Proposals Selection and Evaluating Tools

  1. 1. Requests for Proposals Selection and Evaluating Tools F. Stuart Carson, P.E. Orange Water & Sewer Authority Carrboro, North Carolina
  2. 2. Outline Objectives Definitions Regulations Qualification Based Selection (QBS)
  3. 3. Outline (continued) Request for Qualifications (RFQ) Request for Proposals (RFP) Resources Discussion
  4. 4. Objectives Qualification Based Selection Legal Requirements Approach Request for Qualifications/Proposals Process Critical Steps
  5. 5. Definitions Request for Proposals (RFP) Solicitation document requesting proposals in response to required scope of services Does not specify in detail how to accomplish or perform the required services
  6. 6. Definitions (continued) Request for Qualifications (RFQ) Solicitation document requesting submittal of qualifications or specialized expertise in response to required scope of services
  7. 7. Definitions (continued) Qualification Based Selection (QBS) Selection of firms based on demonstrated competence and qualification for the type of professional services required Without regard to fee (other than unit prices) Negotiate a contract at a fair and reasonable fee after selection of the best qualified firm
  8. 8. Regulations Use of Design Professionals G.S. 133-1.1(a) – Use of registered engineer required for Nonstructural work (≥ $300,000) Structural repair or new construction (≥ $135,000) Repair work affecting life safety systems (≥ $100,000)
  9. 9. Regulations (continued) Use of Design Professionals (continued) G.S. 143-64.31 – Requires State and all Local public entities to Use good faith efforts to notify minority engineering firms of bid opportunities Expected good faith efforts or reporting requirements are not specified in the same manner as for construction contracts
  10. 10. Regulations (continued) Qualification Based Selection G.S. 143-64.31 et seq. (North Carolina Mini-Brooks Act) – Requires State and all Local public entities to Select firms based on demonstrated competence and qualification for the type of professional services required without regard to fee (other than unit prices) Negotiate a contract at a fair and reasonable fee after selection of the best qualified firm Exemptions are allowed for particular contracts and certain projects
  11. 11. Regulations (continued) Qualification Based Selection (continued) NCAC 21-56.0701(f)(3) – Engineers and Land Surveyors Board rule requires that A registered engineer comply with the provisions of G.S. 143-64.31 et seq. A registered engineer shall not knowingly cooperate in a violation of any provision of G.S. 143-64.31 et seq.
  12. 12. Qualification Based Selection Legal Requirements Federal Brooks Act (U.S. Code 541 et seq.) Introduced by Congressman Jack Brooks of Texas in 1972 Codifies selection of architects and engineers (and surveyors) based on qualifications rather than solely on price President Nixon signed into law on October 27, 1972 Applies to the Federal Government
  13. 13. Qualification Based Selection (continued) Legal Requirements (continued) North Carolina “Mini-Brooks” (G.S. 143-64.31 et seq.) Became law in 1987 for qualification based selection of architectural, engineering, and land surveying services Construction management at risk services were added in 2001 Applies to State and Local Governments
  14. 14. Qualification Based Selection (continued) North Carolina “Mini-Brooks” Requires State and all Local public entities to Select firms based on demonstrated competence and qualification for the type of professional services required without regard to fee (other than unit prices) Negotiate a contract at a fair and reasonable fee after selection of the best qualified firm Exemptions are allowed for particular contracts and certain projects
  15. 15. Qualification Based Selection (continued) North Carolina “Mini-Brooks” (continued) Written exemption of particular contracts by Local Governments (G.S. 143-64.32) for Proposed projects where the estimated professional fee is less than $30,000 Other particular projects in the sole discretion of the unit of Local Government, stating the reasons therefore and the circumstances attendant thereto
  16. 16. Qualification Based Selection (continued) North Carolina “Mini-Brooks” (continued) Exemption of certain projects (G.S. 143-64.34) including A State Building Commission or a community college capital improvement project with estimated public expenditures < $100,000 A University of North Carolina capital improvement project under G.S. 116-31.11 with estimated public expenditures < $300,000 and that meets other stipulated conditions of G.S. 143-64.34
  17. 17. Qualification Based Selection (continued) North Carolina “Mini-Brooks” (continued) Exemption of certain projects (G.S. 143-64.34) including (continued) A community college capital improvement project with estimated public expenditures < $300,000 and that meets other stipulated conditions of G.S. 143-64.34
  18. 18. Qualification Based Selection (continued) Approach Identify the need Define the scope of services generally required Determine if QBS is necessary or desired Prepare the RFQ Select firms qualified to receive the RFP Prepare the RFP Negotiate a contract with the most qualified firm
  19. 19. Request for Qualifications RFQ Further Defined Solicitation document requesting submittal of qualifications or specialized expertise in response to required scope of services Generally used to pre-qualify a pool of vendors for use on future projects Sometimes used to pre-qualify professional services firms for specific or future projects
  20. 20. Request for Qualifications (continued) Professional Services RFQ Selection based on the perceived ability of submitting firms to achieve the most desired outcome Services not well defined Services to be provided depend on the firm’s ability to identify and appropriately address the issue
  21. 21. Request for Qualifications (continued) RFQ Process Request preparation Project description and location Budgeted construction cost (if known) Specific disciplines sought – special requirements Contact person for technical questions (phone #, email, fax, hours)
  22. 22. Request for Qualifications (continued) RFQ Process (continued) Request preparation (continued) Statement that QBS will be used (if applicable) Submission date Special contract terms Description of qualification package Rating criteria – list
  23. 23. Request for Qualifications (continued) RFQ Process (continued) Evaluation and selection Include at least two people on committee Include user department representatives Agree on evaluation criteria
  24. 24. Request for Qualifications (continued) RFQ Process (continued) Evaluation and selection committee Keep scoring records and notes Notify firms of selection results Make recommendations to management and/or board
  25. 25. Request for Qualifications (continued) RFQ Critical Steps Evaluation process Each committee member evaluates all submissions Committee selects top two to five firms for short list Assign one or two members to check references of short- listed firms using a standard reference checking form
  26. 26. Request for Qualifications (continued) RFQ Critical Steps (continued) Qualifications evaluation process (continued) Conduct in-person interviews Members do not discuss outcome with submitting firms Firms’ debriefings conducted by committee chair
  27. 27. Request for Qualifications (continued) RFQ Examples Geomorphic analysis and identification of potential sites for stormwater BMPs (Town of Carrboro) Project and construction management services on upcoming public works projects (Coast Community College District, Costa Mesa, CA) Feasibility and impact analysis of a termination of the current contract with the City (Public Housing Authority of Abilene, Abilene, TX)
  28. 28. Request for Proposals RFP Further Defined Solicitation document requesting proposals in response to required scope of services Does not specify in detail how to accomplish or perform the required services Use when the services are not well defined Allows for creative responses
  29. 29. Request for Proposals (continued) RFQ/RFP Relationship RFQ used to pre-qualify firms RFQ or RFP not needed if required services are well defined RFQ and RFP may be combined into one document
  30. 30. Request for Proposals (continued) RFP Process Request preparation Introduction - summary of the project request Objective - why project is necessary Project description - how project will be implemented and evaluated Scope of services - general description of project Deliverables - content and format of project results
  31. 31. Request for Proposals (continued) RFP Process (continued) Request preparation (continued) Proposal requirements - when due, format, and content Selection process and criteria - proposal review and evaluation Contacts - owner names, titles, addresses, phone, fax, etc. Attachments - additional clarifying information
  32. 32. Request for Proposals (continued) RFP Critical Steps Selection process Proposed project manager’s experience, qualifications, and availability Key project staff experience and qualifications Firm’s related experience and performance on similar projects
  33. 33. Request for Proposals (continued) RFP Critical Steps (continued) Selection process (continued) Proposed project approach References on past similar projects Ability to meet project schedule Bid (if not a solely QBS)
  34. 34. Request for Proposals (continued) RFP Examples Optimization of the Process Control Protocol for the Orange Water and Sewer Authority’s Mason Farm Wastewater Treatment Plant (OWASA) Mason Farm Wastewater Treatment Plant Upgrade and Improvement Project (OWASA) Clayton Road Pump Station Phase Out (OWASA)
  35. 35. Resources North Carolina “Mini-Brooks Act” G.S. 143-64.33 DOT or DOA may provide consultant selection advice Purchasing Manager City/County Attorney
  36. 36. Resources (continued) An Overview of Contract Bidding Requirements for North Carolina Local Governments (second addition, September 2005) Frayda S. Bluestein UNC School of Government (UNC-CH) www.sog.unc.edu or 919.966.5381
  37. 37. Resources (continued) North Carolina Board of Examiners for Engineers and Surveyors Official NCBES position on the North Carolina Mini-Brooks Act (www.ncbels.org/faq) David S. Tuttle, Board Counsel (919.791.2000 ext. 111 or dstuttle@ncbels.org)
  38. 38. Discussion Thank you

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