Section 625.10  Purpose

 

The purpose of this Part is to provide for the selection of architect-engineer consultant firms on the basis of a comparative evaluation of professional and technical qualifications that are considered essential to satisfactorily performing the services required, including related professional disciplines required to fully evaluate the environmental impact of proposed improvements.  It is also a purpose of this Part to provide for the documentation of actions taken under this Part.  All documents created shall, unless otherwise provided in this Part or unless otherwise provided by law, be maintained in accordance with any applicable records management policy and be available for public inspection.

 

Section 625.20  Applicability

 

a)         General

The requirements of this Part are applicable to all architectural, engineering and land surveying services provided to the Department pursuant to contract unless provided otherwise in this Part.  This Part is intended to cover all services acquired pursuant to the Architectural, Engineering, and Land Surveying Qualifications Based Selection Act (the Act) [30 ILCS 535], unless specifically covered by another applicable law or regulation.

 

b)         Small Contracts

Sections 625.50, 625.80 and 625.100 do not apply to architectural, engineering and land surveying contracts with an estimated basic professional services fee of less than $25,000.  (See Section 45 of the Act.)

 

c)         Emergency Services

Sections 625.50, 625.80 and 625.100 do not apply in the procurement of architectural, engineering and land surveying services by the Department when the Department determines in writing that it is in the best interest of the State to proceed with the immediate selection of a firm, or in emergencies when immediate services are necessary to protect the public health and safety, including, but not limited to, earthquake, tornado, storm, or natural or man-made disaster.  (See Section 50 of the Act.)

 

(Source:  Amended at 33 Ill. Reg. 15878, effective October 30, 2009)

 

Section 625.30  Equal Employment Opportunity; Nondiscrimination; Affirmative Action

 

It is the policy of the Department to execute and administer contracts hereunder in accordance with applicable State and Federal laws and regulations regarding nondiscrimination in the hiring of employees or firms, on the basis of race, color, religion, sex or national origin and regarding affirmative action.  While every attempt is made to apprise potential consultants of the requirements this policy may impose upon them, the lack of such apprisal will not preclude the Department from requiring compliance with such applicable laws and regulations as a condition to continued payment for work completed under a contract with the Department; nor will the lack of such apprisal preclude the Department from requiring the return of such payments which would not have been made if, at the time of payment, the Department had been aware of any noncompliance.

 

Section 625.40  Prequalification

 

All architect-engineer consultant firms desiring to provide services to the Department, whether as prime consultants or subconsultants, must be prequalified before any consideration can be given to their proposals. Prequalification must be obtained no later than the final date established for the receipt of proposals on any particular work.  Provided, however, that a firm which is prequalified for one or more types of work on the final date established for the receipt of proposals may submit supplemental information necessary to establish prequalification for an additional type or types of work; such supplemental information must be received by the Consultant Services Unit no later than three working days prior to the Consultant Selection Committee meeting.  Prequalification procedures are as follows:

 

a)         A properly completed "Statement of Experience and Financial Condition" (SEFC) form with required attachments must be filed with the Division of Highways, Consultant Services Unit.  Because of varying workloads, it is not possible for the Department to guarantee that SEFC's will be processed within a particular time period.  Accordingly, a firm desiring to become prequalified in order to be considered for a particular job should file its SEFC as early as possible.

 

b)         The Consultant Services Unit will consider the SEFC and attachments and will notify a firm of the size and types of service it is qualified to perform.  When this notice is given, a firm is prequalified.

 

c)         The prequalification notice provided in (b) above will, unless otherwise changed by the Department, be effective from the time notice is given until 18 months after the end of the firm's last-reported fiscal year.  At that time, the prequalification automatically expires and a firm's proposals cannot be considered until prequalification is obtained again.  In order to avoid expiration of its prequalification, a firm should submit as early as possible after each fiscal year end a complete and updated SEFC.

 

d)         Each firm has a continuing obligation to notify the Department of any change which would be likely to impair significantly its ability to perform successfully any work for which it might be considered.

 

e)         A firm may be removed from the list of prequalified consultants for a particular type of service if an evaluation of its work for the Department indicates that this service was determined to be poor on a single project or below adequate on two or more projects.  At the conclusion of each contract, the Department shall evaluate the consultant's overall performance, considering the quality and adequacy of final plans and documents, the extent of corrections and resubmittals, cooperation in meeting District requests and making revisions, any failure to meet established schedules due to poor or slow work, and claims for extra work and adequacy of support.  The firm shall be advised of the specific deficiencies and shall be reinstated only after it submits sufficient evidence that such deficiencies have been corrected.

 

f)         All inquiries regarding the procedures or information required for prequalification shall be referred to the Consultant Services Unit.

 

g)         Unless otherwise required by law, the Department will maintain and treat all information required under Section 625.40 as confidential and as for use only by the Department or another governmental agency entitled by law or by agreement to use such information.

 

Section 625.50  Solicitation

 

The official notice of the Department's needs for architectural or engineering services or any other services being procured hereunder shall be published in its Professional Service Bulletin.  Such notice shall describe the requirements of each project as they apply to the scope of the work; the time for completion; professional and technical expertise necessary; and, if applicable, the required proximity of the firm to the Departmental District or Bureau in charge of the work.  The Consultant Services Unit shall issue a copy of the bulletin to all architect-engineer consultant firms that are prequalified with the Department for the type of service(s) needed.

 

Section 625.60  Statements of Interest

 

All firms desiring to be considered as prime consultants for a project must submit a statement of interest to the Consultant Services Unit by the date specified in the corresponding bulletin.  The bulletin shall specify the types of information that must be included in the statement.  Such information shall include, but need not be confined to, the following:

 

a)         The known workload of the firm's transportation staff.

 

b)         A staffing plan that designates the key personnel and shows the number and classification of personnel that will be assigned to the project and any work that the firm proposes to subcontract.

 

c)         The existing office where the majority of the work will be performed.

 

Section 625.70  Confirmation of Eligibility

 

a)         The Consultant Services Unit shall determine the eligibility of each firm that responds to a solicitation.  A firm shall be considered ineligible and shall be excluded from the selection process for any one of the following reasons:

 

1)         It is not prequalified for the type(s) or volume of service required;

 

2)         It does not have sufficient expertise or work force for the particular job;

 

3)         It does not have a sufficient financial rating or accounting system for the type of contract contemplated;

 

4)         The Department has determined that the firm does not have an acceptable affirmative action program;

 

5)         If the Consultant is to be retained to prepare contract plans for a facility which will carry railroad traffic, and the owning railroad determines that a particular firm is unacceptable.

 

b)         Any firm determined to be ineligible under this Section shall be notified of such determination and the reason(s) therefor.

 

Section 625.80  Preliminary Review and Ranking

 

a)         Following the confirmation of each firm's eligibility, the Director of the requesting Division or Office, or the Director's designated representative(s), and the Consultant Services Unit shall review the firm's experience data, its statement of interest, and any evaluations of its previous work for the Department.  Based upon this review, the Consultant Services Unit will rank the firms in order of apparent ability to perform the work.  Such review and ranking shall take into consideration at least the following factors:

 

1)         Previous experience in the type(s) of service required;

 

2)         Departmental evaluations of prior contractual services with the Department, if any;

 

3)         The staffing plan and specific expertise of key employees;

 

4)         The plan for accomplishing the objectives (if applicable, according to the requirements stated in the Professional Service Bulletin);

 

b)         Depending upon the type of project and the method of payment, the following factors may also be important in the selection of a consultant:

 

1)         The location of the firm's office in which the majority of the work on the project would be done;

 

2)         The firm's ratio of payroll additives to payroll, as approved in the Department's notice of prequalification.

 

c)         The Consultant Services Unit shall prepare a list for the Selection Committee to show the ranking of each firm and the additional information described above.  Such list shall also indicate those firms that are determined to be minority business enterprises pursuant to any applicable Federal Highway Administration (FHWA) definition.  If any other federal or State definition would take precedence over the FHWA definition, then such list shall indicate those firms that are determined to be minority business enterprises pursuant to such other definition.

 

d)         The Consultant Selection Committee shall determine appropriate projects, which by their nature and the corresponding qualifications of the proposing minority-owned firms, are suitable for implementing any applicable affirmative action program.  On such projects minority ownership may be considered in conjunction with the other factors outlined above in the selection process.

 

e)         Ranking will be made based upon unanimous agreement of the reviewers. Any irreconcilable differences among the reviewers shall be noted when the reviewers submit their materials to the Selection Committee.

 

f)         All information developed or provided under Section 625.80 shall be advisory only and shall have no binding effect upon the Selection Committee.  The Department will, unless otherwise required by law, maintain and treat all such information as confidential and as for use only by the Department or another governmental agency entitled by law or by agreement to use such information.

 

Section 625.90  Consultant Selection Committee

 

a)         Chairperson

The Deputy Secretary of Transportation, or his/her designee, shall serve as member and chairperson of a seven-member Consultant Selection Committee ("Selection Committee" or "Committee").

 

b)         Department Members

 

1)         Three of the remaining six members of the Committee shall be from the Department.  Specifically, they shall be:

 

A)        the Director of the requesting Division or Office, or his/her designee;

 

B)        the Regional Engineer (or his/her designee) or the Bureau Chief (or his/her designee) from the same Division or Office, as designated by the Director;

 

C)        the Director of the Office of Planning and Programming, or his/her designee.

 

2)         In the event that the Office requesting the services is the Office of Planning and Programming, the Committee shall meet and operate as normal except that, for purposes of the affected services the Director of Planning and Programming shall have only one vote and the Committee shall have only six members and six votes.

 

c)         Public Members

The other three members of the Committee shall be from the public and shall have professional experience in transportation or engineering.  One shall be appointed by the Secretary of Transportation and the other two by the Illinois Society of Professional Engineers (ISPE).  Each public member shall be appointed for a term of two years.  If a public member does not complete the term, another member shall be appointed by the Secretary or the ISPE (in accordance with the original appointment) to serve the remainder of the uncompleted term. Public members may not be employed by, associated with or have an ownership interest in any firm holding or seeking to hold a contract with the Department while serving as a public member of the Committee.

 

d)         It is the goal of the Department that the membership of the Committee reflect the ethnic and cultural diversity of the population of Illinois.  In furtherance of this goal, the Department has a goal that two or more members of the Committee be females or minorities.  Additionally, the Department has a goal that the Committee's membership reflect the geographic diversity of the population of Illinois. 

 

e)         Committee Secretary

The Chief of the Consultant Services Unit shall serve as Secretary of the Committee but shall not have the power to vote.

 

f)         Meetings; Quorum

The Selection Committee shall meet when called by its Chairperson.  In order to conduct business the Selection Committee must have a quorum.  A quorum shall consist of at least four members, at least one of whom must be a public member.

 

g)         Participation of Other Governmental Bodies

Where another governmental body or bodies is or are contributing to the funding of a particular contract, the Department may, in its discretion, take either of the following two actions:

 

1)         Permit the governmental body or bodies to provide one or more representatives who will serve as a member or members of the Selection Committee with a total of one vote (or a fractional vote, as may be prescribed by the Department).  In some instances, this option may result in a total Selection Committee membership of more than seven and a total number of votes in excess of seven, with respect to the affected services.

 

2)         Select a number of consultants (normally 3) in the normal manner, except the selection shall be in no order of preference; the Department may then permit the governmental body or bodies to select one consultant from that group selected by the Selection Committee.

 

(Source:  Amended at 33 Ill. Reg. 15878, effective October 30, 2009)

 

Section 625.100  Selection

 

a)         Voice Vote

The Selection Committee shall review the rankings for the firms, as well as any of the additional information described in Section 625.80, and, by voice vote, reduce the number of firms under consideration to three (or fewer where fewer than three firms have submitted acceptable Statements of Interest).

 

b)         Written Ballot

First, second, and third choices shall then be determined by a plurality vote of those Committee members in attendance; this second round of voting shall be by written ballot cast in such a manner that Committee members cannot observe other choices until after all ballots are cast.  In determining these choices, the Committee shall give due consideration to the rankings provided by the reviewers.

 

c)         Policy Against Multiple Awards

Selection of a single consultant as first choice for more than one contract shall not be made in a single session unless such selection is determined to be necessary and the reasons therefor are recorded in the Committee's records and a majority of those members present votes by written ballot to approve such reasons.  For purposes of this Part, "single session" shall mean and include one or more meetings necessary for the Selection Committee to make all selections which are to be made from a single Professional Service Bulletin.

 

d)         Identity of Firms

The identity of the second and third choice firms referred to in this Section shall, unless otherwise required by law, be maintained and treated by the Department as confidential and as for use only by the Department or another governmental agency entitled by law or by agreement to such information.  Provided, however, that if negotiations fail with the first choice firm, the identity of the second choice firm shall then be considered public information.  Similarly, the identity of the third choice firm, if negotiations fail with the second choice firm, shall then be considered public information.

 

Section 625.110  Notification of Selections

 

The Consultant Services Unit shall contact each first-choice firm that is selected by the Committee to inform it of its status and the ensuing negotiations.  The name of the first-choice firm shall also be published in the next issue of the Professional Service Bulletin and the regular Service Bulletin.

 

Section 625.120  Negotiations

 

The Director of the requesting Division or Office or his designee shall conduct negotiations with the firm selected as first of the three choices. If negotiations cannot be successfully concluded as evidenced by an executed contract with that firm, they shall be formally terminated. Negotiations shall then be initiated with the firm ranking second and if necessary, the firm ranking third, in that order or if no firm's proposal is determined to be suitable, the project will, if let on a contractual basis, be readvertised.

 

Section 625.130  Waivers, Modifications

 

Any portion or all of this Part may be waived or modified by the Secretary of Transportation where such waiver or modification is consistent with good governmental procurement practices and is in the best interests of the State.  Requests for such a waiver or modification shall be submitted by the appropriate Director and shall be accompanied by a written statement setting forth the basis and need justifying the requested action.

 

Section 625.140  Complaint Procedure

 

A complaint regarding any decision rendered by or action taken by any Division or Office of the Department pursuant to this Part may be filed with the Secretary of Transportation by submitting a written statement setting forth all the facts and circumstances together with the basis for making such complaint and specifically how such decision or action is alleged to be in contravention of this Part.  Upon receipt of a complaint, the Secretary will determine whether, in the decision or action complained of, the Division or Office has acted in accordance with this Part and advise the person submitting the written statement as to this determination as to what additional action, if any, the Department will take.  Provided, however, that any such complaint must be filed within 14 days from the time the person complaining becomes aware of the decision or action complained of or from the time information of such decision or action becomes generally available to the public, whichever occurs first.