CONNECTICUT DEPARTMENT OF …

1 CONNECTICUT DEPARTMENT of transportation pamphlet MONITORING CONSULTANT FOR PERFORMANCE AND payment requests FOR construction engineering INSPECTION SERVICES AND March 2014 INDEX Introduction .. 1 Section 1. Consultant Agreement Creation and Monitoring Procedures .. 1 Section 2. Preparation of Consultant Invoices .. 6 Section 3. Review of Consultant Invoices .. 8 Section 4. Supplemental Agreements and Extra Work .. 9 Appendix A. Exhibits (Forms and Spreadsheets) ..11 1 Introduction: The guidelines set forth in this pamphlet cover key responsibilities for monitoring the performance and payment a ctivi ties of Consul tant E ngineering firms (Cons ul ta nts) h ire d by the CONNECTICUT DEPARTMENT of transportation (ConnDOT) to provide Cons truction engineering and Inspection (CE&I) S erv ices.

2 The pamphlet establishes s pecific requirements to be followed by ConnDOT s Constru ction Division, District Offices, and t he Division of Financial Management and Support (FM&S) and is for informational u se by Consultants. In addition to the information contained in this pamphlet , the ConnDOT website ( ) contains a variety of resources to a id both ConnDOT personnel and Consultants in carrying out these functions. SECTION 1- Consultant Agreement Creation and Monitoring Procedures This section o utlines the resp ons ibilities r elate d to the procure ment of consul tant serv ices and the monitoring of consultant expenditu res on active constru ction projects.

3 Specifically; Division of construction s Consultant Procurement R esponsibilities District Constru ction Office s Financial Administration and Monitoring Requirements FMS s Financial Administration and Support Resp onsibilities I. Consultant Procurement Responsibilities The District Constru ction Offices and t he Office of Constru ction (OOC) work togeth er with ConnDOT s Consultant S election Office (CSO) and t he Agreements/Negotiations S ection (ANS) t o procure the serv ices of a Consulta nt to provide CE&I Servi ces. There are two types of CE&I agre ements. There is t he normal CE&I agreement for staffing and administration of a specific constru ction project.

4 The second is a Task-Based agreement in which serv ices vary and specific tasks are assigned as the need and projects arise. These agreements are f or three years and are for obtaining consul ta nt s ta ff for constru ction inspection a ctivities f or an entire project on short notice, to s upport state sta ff on a project, for technical administration support, or for defined a ctivities across multiple similar types of projects. Normal CE&I assignments A. Normal CE&I assignments begin when t he Constru ction Distri ct Office determines that consultant serv ices are needed to staff a specific project. The District completes the Consultant Solicitation for Office of C ons tru ction Form and submits i t to OOC.

5 B. The OOC reviews the request and through the CSO, a Consul tant i s procured a nd the CSO notifi es OOC, the District, and the ANS. C. The Office of Constru ction then schedules the assignment meeting which is attended by personnel from the ANS, the Distri ct, the selected C onsultant, FM&S, and other concern ed parties. During the assignment meeting, the Distri ct Office and Consulta nt are instru cted t o d evelop independent fee proposals for t he in tended serv ices, which are to be f orwarded to the Chairman of the Negotiations Committ ee for review and discussion at a futu re n egotiations meeting. D. The negotiation meeting is coordinated by the ANS and they are responsible for the negotiations with t he C ons ul ta nt.

6 2 E. Following negotiations, a fee lett er reflecting the negotiated f ees i s prepared by the Negotiation Committ ee and s ent to the Consultant f or t heir concurre nce. A NS t hen drafts th e Agreement and provides it to the Distri ct Office for review and comment. F. If any increases or decreases to the original project modification are required a fte r ini tial negotiations or after re-negotiations for extra work, the District Project Engineer must make a modification request to ConnDOT s Capital Projects Section. Funding must be in place prior to release of an Agreement or s upplemental agreement for CE&I serv ices. G. ANS then finalizes the Agreement based upon the information from the Negotiation Committee.

7 H. The District Office becomes responsible for the overall administration of the Agreement. I. If, duri ng the course of the project, the originally n egotiated fee will be exceeded, re- negotiations must occur, a new fee proposal prepared, a memo requesting extra work or a supplemental agreement prepared a nd project f unding modified. Task-Based CE&I assignments A. Task-Based C E&I assignments differ from normal CE&I assignments by the fact th at t he Agreement is already i n place and the Consulta nts are on-board through previous coordination and selection with OOC, CSO and ANS. However, the Agreements are unfunded, and contain a maximum limiting amount and a general description of the scope of serv ices.

8 Also, assignments must be made for a particular task and be funded before the Consultant can begin work. B. When the District has determined the need for Task-Based s erv ices for the situations described earlier, the Distri ct completes the District CEI Task-Based request Form and submits i t t o OOC. C. OOC reviews the request and, taking i nto account t he ongoing workload, staff availability a nd e xpertise o f t he available on-board Task-Based Consul ta nts, OOC choses one of them to perform the assignment. D. OOC n otifies the District of t he chosen Consultant and a dvises them to schedule the assignment meeting. E. The District sets up t he assignment meeting with ANS and the Task-Based Consultant.

9 During the assignment meeting, t he District Office and Consultant are instru cted to d evelop independent fee proposals for t he in tended s ervices, which are to be forwarded to the C hairman of the Negotiations Committ ee for review and discussion at a future negotiations meeting. F. The negotiation meeting is coordinated by ANS and they are responsible for the negotiations and completion of the assignment f or CE&I s erv ices. G. Following negotiations, a fee lett er reflecting the negotiated f ees i s prepared by the Negotiations Committ ee and s ent to the Task-Based Cons ul ta nt, OOC, and the District. H. If any increases or decreases to the original project modification are required after negotiations are completed, the District Project Engineer must make a modification request t o ConnDOT s Capital Projects Section.

10 I. If funding is in place, the District then has the authority to order the Task-Based consultant to start and becomes responsibl e for the administration of the assignment and to report assignment expenditu re s t o OOC. J. OOC is responsible t rack all assignments and e xpenditu res to a particular Task- based Consulta nt to ensure that t hey do not exceed the Agreement s maximum Limiting Amount. 3 K. If, during t he course of the project, the originally n egotiate d fee will be exceeded, re-negotiations must occur, a new fee proposal prepared, a memo requesting extra work or a supplemental agreement prepared and project funding modified. II. District construction Office s Financial Administration and Monitoring Requirements The Cons truction District responsible f or administering t he project assi gns a PE t o provide superv ision of consul ta nt activi ties.