1、 CHAPTER 15 GUIDELINES FOR SELECTING AND UTILIZING HYDRAULICS ENGINEERING CONSULTANTS 2007 by the American Association of State Highway and Transportation Officials. 2007 by the American Association of State Highway and Transportation Officials.CHAPTER 15 TABLE OF CONTENTS 15.1 INTRODUCTION. 15-1 15
2、.1.1 In-house vs. Consultant . 15-2 15.2 TYPES OF CONSULTANT CONTRACTS. 15-2 15.2.1 Project Site-Specific Contracts 15-2 15.2.2 On-Call Contracts 15-2 15.2.3 Combination Contracts 15-3 15.2.4 Support Services 15-3 15.2.5 General Engineering Consultants 15-3 15.2.6 Design-Build Contracts . 15-3 15.2.
3、7 Inspection and Remedial Maintenance 15-4 15.3 CONSULTANT SELECTION PROCESS . 15-4 15.3.1 Advertisement or Solicitation 15-4 15.3.2 Expressions of Interest. 15-5 15.3.3 Short Listing (or Qualification Screening) 15-5 15.3.3.1 Criteria 15-5 15.3.4 Request for Proposals 15-6 15.3.5 Review and Selecti
4、on 15-6 15.3.6 Debriefing 15-7 15.4 REQUEST FOR PROPOSALS (RFP) 15-7 15.4.1 Elements of RFP 15-7 15.4.2 Schedules. 15-7 15.4.3 Other Contract Requirements 15-8 15.5 SCOPE OF SERVICES 15-8 15.5.1 Purpose 15-8 15.5.2 Duration. 15-8 15.5.3 Elements of Work 15-8 15.5.4 Staffing Required. 15-9 15.5.5 Lab
5、or and Cost. 15-9 15.5.6 Support Services 15-9 15.5.7 Consultant Responsibilities . 15-9 15.5.8 Certification . 15-10 15.5.9 Items Provided by the Agency. 15-10 15.6 QUALIFICATIONS OF CONSULTANT HYDRAULICS ENGINEERS 15-10 15.6.1 Firm qualifications. 15-10 15.6.2 Hydraulics Engineering Group 15-10 15
6、.6.3 Survey Support 15-12 15.6.4 CADD Support 15-12 2007 by the American Association of State Highway and Transportation Officials.Highway Drainage Guidelines 15-iv 15.6.5 Structural and Geotechnical Engineering Support. 15-12 15.6.6 Highway Engineering Support 15-12 15.6.7 Regulatory Permitting 15-
7、12 15.6.8 Wetlands 15-12 15.6.9 Other Support 15-13 15.6.10 Past Performance . 15-13 15.7 TECHNICAL PROPOSAL REVIEW 15-13 15.7.1 Review Criteria 15-13 15.7.2 Review Team. 15-13 15.7.3 Scoring Scale . 15-14 15.7.4 Review Notes. 15-14 15.7.5 Interviews or Oral Presentation . 15-14 15.7.6 Scoring. 15-1
8、4 15.7.7 Consultant Selection 15-14 15.8 PROJECT SPECIFIC CONTRACTS. 15-15 15.8.1 Hydraulics Engineer in a Lead Role 15-15 15.8.2 Hydraulics Engineer in a Supporting Role 15-15 15.9 DESIGN-BUILD CONTRACTS 15-15 15.9.1 Performance Specification. 15-15 15.9.2 Mile Stone Review 15-16 15.9.3 Regulatory
9、Permits 15-16 15.10 INSPECTION AND REMEDIATION (IR) CONTRACTS 15-16 15.10.1 Inspection. 15-16 15.10.2 Remediation Design. 15-17 15.10.3 Permits. 15-17 15.10.4 Implementation 15-17 15.11 ASSIGNMENTS TO ON-CALL CONSULTANTS. 15-17 15.11.1 Task Scope. 15-17 15.11.2 Independent Estimate. 15-17 15.11.3 Co
10、nsultant Task Proposal and Cost Estimate 15-18 15.11.4 Negotiation 15-18 15.11.5 Notice to Proceed. 15-18 15.11.6 Clear Direction 15-18 15.11.7 Project Management 15-18 15.12 EVALUATION OF CONSULTING ENGINEERS WORK 15-18 15.13 SUB-CONSULTANTS 15-19 15.14 DEVELOPMENT OF CONSULTANT BASE. 15-19 15.14.1
11、 Progressive Contracts and Assignments 15-20 15.14.2 Multiple Smaller Contracts 15-20 2007 by the American Association of State Highway and Transportation Officials.Guidelines for Selecting and Utilizing Hydraulics Engineering Consultants 15-v15.14.3 Training . 15-20 15.15 REFERENCES 15-21 Appendix
12、15A STANDARD FORM 330 FOR DOCUMENTING FIRM QUALIFICATIONS. 15-23 Appendix 15B SAMPLE CRITERIA FOR EVALUATING FIRM QUALIFICATIONS. 15-37 Appendix 15C SAMPLE EVALUATION AND RATING CRITERIA FOR CONSULTANT PROPOSALS . 15-38 Appendix 15D SAMPLE DESIGN AND REPORT STANDARDS 15-41 Appendix 15E SAMPLE SCOPE
13、OF SERVICES . 15-62 2007 by the American Association of State Highway and Transportation Officials.Chapter 15 Guidelines for Selecting and Utilizing Hydraulics Engineering Consultants 15.1 INTRODUCTION The use of consultants by state transportation agencies varies considerably over time. Agencies ar
14、e seeing increasing pressures to handle larger and more rapid changes in their programs while maintaining high levels of production efficiency and project quality. This guideline is intended to be a reference for agencies to use in qualifying, selecting, and utilizing their consultants for hydrologi
15、c and hydraulic engineering; thus, the scope of this guideline is limited. It is intended to augment an agencys general policies and procedures for managing consultant contracts and agreements. Every step in the process of contracting a consultant is taken with the objective of producing quality, co
16、st-effective, and timely projects. This guideline applies these objectives to the specific step of qualifying a consultant for hydrologic or hydraulic engineering within the context of a project and a larger process for establishing and managing consultant agreements. A major consideration for all a
17、gencies in forming new programs or revamping existing programs is the organization of staff to execute and manage the program. This guideline is intended to offer and discuss options for agencies to consider as they establish programs to manage hydrologic and hydraulic engineering consultants. In ma
18、ny states, the consultant selection process is especially important. An agency must demonstrate that its policy and procedure for consultant qualification and selection is clearly defined, open, and fair. AASHTOs Guide for Contracting, Selecting, and Managing Consultants in Preconstruction Engineeri
19、ng provides general guidance for consultant contracting process. This guideline is intended to present methods to evaluate and confirm the presence of the requisite skills, experience, and expertise to perform various activities within hydrologic and hydraulic engineering. It is important to note th
20、at the qualification and selection process does not relieve the consultant of any responsibilities or alter in any way other issues related to consultant contracts such as quality of work and management of the work related to the contract or project. One of the most important steps in developing a c
21、onsultant contract is the preparation of a comprehensive scope of services. This often takes a substantial amount of time on the part of agencys staff; however, a complete scope of services (work) will save a great deal of time and misunderstanding during contract negotiation and management phases.
22、This guideline is intended to be an effective reference for state hydraulics engineers in preparing scope of services. A good scope 2007 by the American Association of State Highway and Transportation Officials.Highway Drainage Guidelines 15-2 document is clear and precise and it serves as the found
23、ation for the consultants proposal and contract. Often the use of sub-consultants is necessary and this occurs frequently in the areas of hydrologic and hydraulic engineering. The contract between the agency and the prime consultant must clearly define the responsibility of sub-consultants for hydro
24、logic and hydraulic engineering. 15.1.1 In-house vs. Consultant In order to manage a large consultant program, project managers of hydrologic and hydraulic engineering projects must be thoroughly experienced engineers and must be trained in contract management. Individuals who are selected to be con
25、sultant project managers for hydrologic and hydraulic engineering projects should possess a solid technical background. In order to ensure that an agency can develop staff with these skills, a viable in-house hydrologic and hydraulic design force is essential. It is only by learning hydrologic and h
26、ydraulic design first-hand that a person will be able, later on, to effectively manage a consultant project. This means that an adequate level of in-house hydrologic and hydraulic engineering work must be continued to train and perpetuate an experienced core of in-house personnel. 15.2 TYPES OF CONS
27、ULTANT CONTRACTS 15.2.1 Project Site-Specific Contracts Site-specific consultant contracts are the traditional contracts transportation agencies use for design of an individual project. Consultant services under typical site-specific contracts encompass all aspects of a highway design project, and t
28、he consultant performs all the design elements. In such contracts, hydraulic engineering services are part of the overall engineering services. The consultants are procured based on their overall ability to deliver the design project to the agency. Advantages of this type of contract include excelle
29、nt communication between design staff and efficiency of production. Disadvantages include risk of limited expertise in specialized areas such as hydraulics and hydrology. 15.2.2 On-Call Contracts Use of on-call consultant contracts has become more common in transportation agencies. These are also ca
30、lled open-ended contracts, flexible services contracts, specialty services contracts, or limited services contracts in some states. On-call contracts typically involve procurement of a consultant with predefined work type and specialization requirements, but without the prescription of a specific pr
31、oject scope. Project assignments during the tenure of the project and within the pre-established contract value are then made by the agency on an as-needed basis. These type of contracts reduce the time required for individual contract procurement and add flexibility to the production capabilities o
32、f the agency. For specialized areas such as hydrology and hydraulics, open-ended contracts allow procurement of a highly specialized firm that can produce the high quality of work required by the agency. On very large projects, this may not be a cost-effective solution since taking advantage of comp
33、etitive bidding or creative design capabilities of an experienced site-specific design firm is difficult under an on-call contract. 2007 by the American Association of State Highway and Transportation Officials.Guidelines for Selecting and Utilizing Hydraulics Engineering Consultants 15-315.2.3 Comb
34、ination Contracts Some transportation agencies use combination contracts such as site-specific on-call agreements that allow the agency to change the details of the project and still allow for the advantages of a project site-specific contract in terms of efficiency. The advantages and disadvantages
35、 of these types of contracts are similar to site-specific contracts. 15.2.4 Support Services Since procurement of a consultant contract requires a specific project scope and a significant lead time to bring a consultant on-board to perform the required work, the agencies often find it limiting even
36、with the use of consultants in traditional ways. In order to build work force flexibility within various expertise areas, transportation agencies sometimes utilize types of on-call contracts that can be called support services or staff extension contracts. Under these contracts, the staff of a consu
37、lting engineering firm is stationed to work on the premises of the transportation agency under the direction of the agency officials. The agency procures the contracts with a predefined value and duration, and requirement for the number and qualifications of on-demand engineering and technical staff
38、 the firm must make available for this purpose. This type of contract provides enormous flexibility to an agency by allowing it to fill gaps in the work force or sudden demands that may have arisen. Since the consulting staff engineers will be working under the direct technical guidance of the agenc
39、y officials, responsibility and liability of the engineering firm becomes blurred and hence needs to be addressed in procurement stages. This is an excellent method of contracting for hydraulics engineering work since it allows rapid response time to customers. 15.2.5 General Engineering Consultants
40、 General Engineering Consultants (GEC) or Contact Resource Management Consultants are firms that take the place of a transportation agencys role to provide project management and quality assurance. GEC firms are typically used by agencies when an unusually large project or program needs to be worked
41、 on and the agency does not have sufficient work force to provide the required management and oversight services even when a consultant is used for design. GEC firms provide the required guidance and direction to the design consultants. For very large projects, there is typically one GEC supervising
42、 a number of site-specific section design consultants. For specialized areas such as hydraulics, the agency must make sure there are experienced staff with the GEC firm who will supervise the hydraulic design performed by the section designers. 15.2.6 Design-Build Contracts Design-build contracts ma
43、y be used to accelerate final project delivery. In these contracts, a design firm and a construction firm typically join together in bidding for a contract. The highway agency provides preliminary scope (e.g., 30 percent plans), performance specifications, and engineering investigation data to the d
44、esign-build contractor. Since the design and construction will be based on the performance specifications, care should be taken by the agency in addressing design, material, review, and permit issues prior to procurement. The agency should review all the hydraulics design and construction specificat
45、ions for gaps and definitions in order to develop performance specifications. 2007 by the American Association of State Highway and Transportation Officials.Highway Drainage Guidelines 15-4 15.2.7 Inspection and Remedial Maintenance Certain hydraulics engineering facilities such as stormwater manage
46、ment ponds and pump stations require special expertise in performance evaluation in order for them to continue to function as designed without compromising public safety or environmental protection. Since such stormwater facilities also require specialized maintenance or retrofitting, it is often co
47、nvenient to have a consultant agreement that is similar to design-build contracts, but is open-ended in specific scope. As opposed to a traditional design-build joint venture where the construction firm is typically in the lead, the engineering firm in the contract typically leads an inspection and
48、maintenance contract. Inspection tasks are performed by the inspectors and engineers. Any remedial maintenance required will then be designed and performed by the contractor as directed by the agency. 15.3 CONSULTANT SELECTION PROCESS While consultant selection processes vary considerably from one a
49、gency to the other, certain common elements can be found. Each agencys selection process is governed by law and heavily influenced by the agencys internal organization, leadership, and past experience. The hydraulics engineer must adhere to the law and agency requirements; however, changes to the established procedures may need to be proposed when the existing process does not serve the agencys interest in the specialty areas such as hydraulics and hydrology. The hydraulics eng
