Request for Qualifications
Introduction
The American Council of Engineering Companies of Pennsylvania is providing this document to
assist municipalities and project sponsors in the procurement of engineering services for
transportation projects for which a municipality receives federal funding (i.e., Safe Routes to
School, Hometown Streets, and Congestion Management and Air Quality). With the securing of
federal funding, the municipality must follow a specific process for selection of consultant
services as required by the Pennsylvania Department of Transportation. This is referred to as the
“Local Project Process”. This document will provide the key points in this process as well as the
links to the reference documentation. Additionally, this document will provide an outline that
can be used to prepare Requests for Statement of Interests and Request for Technical Proposal
for Consultant Services.
Consultant Selection Process
In the Local Project Process, the municipality is responsible for securing a consultant, managing
the design process, and addressing the utilities, right-of-way, and environmental requirements. In
limited circumstances, the Local Project Sponsor may also bid the project with PennDOT
approval. The municipality is bound to comply with all state and federal requirements in order
to be eligible for reimbursements as determined through the various funding opportunities. A
PennDOT Project Manager or Project Coordinator will be assigned to the project to ensure that
all requirements are met for the project. If consultant services are to be reimbursed with state or
federal funding, one of the following procurement processes must be followed:
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Non-Competitive Negotiation – for emergency and sole source selections (see section
3.3.2 and 3.3.3 in Publication 93).
Competitive Negotiation – Following either normal selection procedures, modified
selection procedures, or municipal engineer procedures.
Small Project Procedures – for projects that estimate the engineering at less than
$100,000.
In all cases, the municipality must determine the process to be followed for their respective
project and submit a request to their PennDOT Project Manager or Project Coordinator for
approval prior to advertising. The procedures listed above are outlined in detail in “PennDOT
Publication 93: Policy and Procedures for the Administration of Consultant Agreements, Chapter
7, Administering Third Party Federal- Aid Agreements”
Note: In accordance with PennDOT Publication 93, Chapter #1, pg. 1.10, “A consultant
preparing grant or funding applications would not be eligible to participate on a project
resulting from a successful grant or funding award.”
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Request for Qualifications
The majority of projects will follow the Competitive Negotiation Process. As outlined in
PennDOT Publication 93, this process is a Qualification based Selection Method. Final price
proposals are submitted upon selection of consultant to be used in the negotiation of a contract.
The Normal Selection Process can be used on all projects but is required on projects in which the
engineering services and potential supplements are anticipated to exceed $100,000. The process
is as follows:
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Municipality advertises for Statements of Interest
Municipality short lists three consultants
Three consultants submit Technical Proposals
Municipality selects final consultant
PennDOT approves selection
Consultant submits Price Proposal
Negotiation on Price Proposal*
Legal Agreement with PennDOT prepared
*If the municipality cannot come to terms on the price or schedule, then the next qualified
consultant may be selected.
The Modified Selection Process is applicable to construction inspection services, bridge
inspection services, and non-complex or select moderately complex projects. Definitions of noncomplex and moderately complex projects are contained in PennDOT Publication 10 (Design
Manual 1), Chapter 2. The process is as follows:
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Municipality advertises for Statements of Interest
Municipality selects final consultant
PennDOT approves selection
Consultant submits Technical and Price Proposal
Negotiation on Price Proposal*
Legal Agreement with PennDOT prepared
*If the municipality cannot come to terms on the price or schedule, then the next qualified
consultant may be selected.
In order to utilize a Municipal Engineer for consultant engineering services, the municipal
engineer must have been selected utilizing either the Normal or Modified Selection Processes.
The small project procedure is only applicable to projects were the engineering costs are
expected to be less than $100,000, including potential supplements. The procedure requires the
municipality to solicit qualifications from three (3) qualified consultants. A public advertising
period is not required. The municipality will select a consultant from the qualifications
submitted. The consultant will prepare a technical and price proposal for preparation of a legal
agreement with PennDOT.
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Scope of Work
In order to provide a competitive selection process, a detailed scope of work should be prepared
by the municipality. The scope of work should identify the anticipated infrastructure
improvements as well as the anticipated services to be required of the consultant. For example
the scope of work should include the following information:
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Limits of proposed infrastructure improvements
Anticipated Infrastructure Improvements
o Roadway improvements
o Traffic Signal improvements – identify equipment upgrades
o Streetscape Improvements – identify elements to be included in project (i.e.,
lighting, landscaping, traffic calming, etc)
Adjacent Projects that may affect improvements
Required DBE percentage, if applicable.
Available Existing Data
Required Consultant Services (i.e, topographic survey, right-of-way acquisition, public
meeting attendance, lighting design, etc.)
Services to be provided by municipality
A separate scope of work and contract is typically prepared for construction inspection services,
if required by the agreement with PennDOT.
Advertisement
Upon approval of the selection process and development of a scope of work, the municipality
will publically advertise the solicitation for qualifications. In addition to placing the ads in local
newspapers, the municipality may forward their advertisement information in hard or electronic
form to:
American Council of Engineering Companies of PA
800 North Third Street, Suite 301
Harrisburg, Pennsylvania 17102
http://www.acecpa.org/
Statement of Interest
As per the aforementioned Consultant Selection Process, the first step is for consultants to
submit a Statement of Interest (SOI). A Statement of Interest should be succinct and is typically
limited to 3 to 7 pages excluding the supportive documents. The RFQ for a Statement of Interest
should request the following information from the consultant team:
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Identify related project experience on projects similar in scope and size to the
municipality’s project or specialty experience required for this project.
Identify the project team, including subconsultant and their roles in the project. Address
ability to meet the DBE requirements, if applicable.
Identify the Primary contact and supporting staff on the project.
Identify the consultant’s understanding of the project and how the consultant plans to
address the project needs, including cost effective approaches and ability to meet time
schedule.
Provide supporting documentation, including
o SF 330 Forms, with resumes and references
o PennDOT Business Partner Information
o Organization Chart
o DBE certifications
o Municipality specific requirements (i.e., insurance, etc.)
Technical Proposal
The Technical proposal provides the basis for the final consultant selection in addition to setting
the groundwork for the price proposal. As such, it is important to identify the tasks the will be
required to complete the project within the requirements under the state and/or federal funding as
well as follow PennDOT’s Engineering and Construction Management System. Below is a
breakdown of typical tasks that may be expected for a project.
Phase 1 – Alternatives Analysis
Often the project funding is not sufficient to cover all of the improvements on the municipality’s
wish list. If necessary, the first phase of the project would be an alternatives analysis to
determine the improvements that can be completed within the allotted funding. Below are some
tasks that can be completed during this Phase:
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Topographic Survey, including Right-of-Way determination
Scoping Field View
Traffic Analysis, if necessary
Concept Preparation and Cost Estimate
Consensus Building
Phase 2 – Preliminary Engineering
In accordance with PennDOT procedures, the preliminary engineering phase covers the tasks
necessary to obtain Design Field View Approval from PennDOT. Below are some tasks that can
be completed during this Phase:
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Topographic Survey, if not completed in Phase 1
Traffic Analysis, if not completed in Phase 1
Environmental Clearance (CEE), including public meeting
Safety Review Approval
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Utility Coordination
Preliminary Right-of-Way Plan preparation
Erosion and Sediment Control measures and Stormwater Management
Design Field View Approval
Phase 3 – Final Design
This phase consists of addressing the preliminary engineering comments, obtaining final
approvals, and inputting data in ECMS for bidding. Below are some tasks that can be completed
during this Phase:
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Final Roadway Design
Final Traffic Signal Design
Final Signing & Pavement Marking Plan
Final Traffic Control Design
Final Right-of-Way Plan
Final Erosion and Sedimentation Plan
Final Structure Design
Final Lighting Design
Final Utility Clearance
Plans, Specifications, and Estimate (P, S, & E) Activities
Inputting in ECMS
Phase 4 – Services during Construction
During construction, it is often necessary for the design engineer to provide clarification or
address unforeseen items. Below are some tasks that can be completed during this Phase:
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Plan Interpretation\Resolution
Shop Drawing Review
Attendance at Construction meetings
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Reference Material
PennDOT Publication 93: Policy and Procedures for the Administration of Consultant
Agreements, Chapter 7, Administering Third Party Federal- Aid Agreements
PennDOT Publication 535: Overview of PennDOT Local Project Processes: A Guide to Getting
Started on a Local Project with PennDOT
American Council of Engineering Companies: Qualifications Based Selection Process
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