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1 OS-299 (5-21) LETTER PUBLICATION: Publication 93 2022 Edition DATE: 12/22/2022 SUBJECT: Policy and Procedures for the Administration of consultant Agreements, Publication 93, 2022 Edition INFORMATION AND SPECIAL INSTRUCTIONS: Effective immediately, this manual shall be used by PennDOT personnel, municipalities, and consultants to prepare and administer consultant agreements. This publication is available on PennDOT's internet web page, Comments or questions concerning this manual are to be directed to the Bureau of Design and Delivery's Contract Management Division. CANCEL AND DESTROY THE FOLLOWING: Publication 93 (October 2021) Policy and Procedures for the Administration of consultant Agreements List of Strike off Letter andClearance Transmitals: H-22-039; SOL 430-22-02 ADDITIONAL COPIES ARE AVAILABLE FROM: PennDOT website - on Forms, Publications & MapsAPPROVED FOR ISSUANCE BY: Yassmin Gramian, - Secretary of Transportation By.

2 Jonathan Fleming, Chief Executive,Highway AdministrationSectionSubsectionTitleComm entChapter No Change * Registration ProcessUpdated link to ECMS website * Registration ProcessUpdated link to ECMS website *Chapter Quality PlanNo Change *Chapter of Authority to Do Business No Change *Engineering Involvement RestrictionsCMD - 5/6/2021 emails from and to MLH - conflict of interest InspectionNo Change *Chapter of InterestNo Change *Chapter Interest ActNo Change *Substantial RevisionsPublication 93 (2022)Policy and Procedures for the Administration of consultant AgreementsChapter 1 - consultant RequirementsChapter of Selection ProceduresNo Change * Selection Procedures No Change *Identifying Need for consultant Services No Change * Acquisition ServicesNo Change * Services No Change * Management Project Manager (CMPM) and Review Assistance InformationNo Change * Management Support Service No Change * InspectionNo Change * Construction Design Professional Services MatrixNo Change *Chapter SetupNo Change * ProjectNo Change * 11/16/2021 MA email CI ad criteria Clarification Forums No Change *Statement of Interest (SOI)No Change * of a SOINo Change * of Work (SOW) No Change * EstimateNo Change *Chapter Generates ShortlistNo Change * technical ProposalNo Change * Specific Quality Assurance/Quality Control (QA/QC)

3 PlanNo Change * Protection and Investment CertificationCMD & OCC- Added this section per Exec Order 2021-06 & 5/17/2022 MLH MA & BB emailsIO Generates Final RankingNo Change * consultant Selection CommitteeNo Change * Selection ProceduresNo Change * Selection Procedures No Change * Ranking Process No Change * DeadlinesNo Change * Multiple AdvertisementsNo Change * Approval CommitteeNo Change * Approval Committee Acts on District RankingNo Change * Clarification MeetingNo Change * Tech ProposalNo Change * Review/Evaluate technical ProposalNo Change * ProposalNo Change *Chapter and Negotiating Engineering AgreementsNo Change *Chapter Agreement CreatedNo Change * DocumentsNo Change *Chapter , Deputy Secretary, Chief Counsel, Comptroller Approve Legal Agreement No Change * Change * Contractor Responsibility Program (CCRP)No Change * Change *Chapter Executes AgreementNo Change *Chapter Issues NTPNo Change *Chapter 2 Selection Process Procedures2 of 9 SectionSubsectionTitleCommentChapter No Change * Specific Agreement No Change * End Agreement SOL 430-22-02 re OE Capacity IntroductionNo Change * Source Selection ProceduresNo Change * Selection ProceduresNo Change * for Shortlisting/Final Ranking Consultants No Change * Selection Process No Change * Oral PresentationsNo Change * Change *Method of PaymentNo Change * Plus Fixed Fee MethodNo Change * Sum MethodNo Change * Per Unit of Work MethodNo Change * Rate of Compensation MethodNo Change * Specific Rate of Compensation - Construction InspectionNo Change *Chapter Change * Pre-Award Evaluation No Change * Change * RateNo Change * Fee or ProfitNo Change * Change * Direct Costs Other than PayrollNo Change * Costs of Services and Work by OthersBCM 10/6/2022 email

4 Regarding sub surface drilling threshold update * Budget Amount per Method of Payment per CategoriesNo Change * for DBE Goal ComplianceNo Change * ScheduleCMD- 11/09/2021 MA email - clarifying words added to OE WO Ext sub-section; 4/11/2022 MA email - added" ..Non -Project Change * Clarification MeetingsNo Change * Hour Estimating GuideNo Change * MeetingsNo Change * Change * ResponsibilityNo Change *Chapter 3 Selection Process Reference Material Chapter of 9 SectionSubsectionTitleCommentChapter Change * Conflict of InterestNo Change *Responsibilities of the IO s Project ManagerNo Change * ConsultantsNo Change * Project ManagerNo Change * Inspection AgreementsNo Change * Change * Rate ApprovalsNo Change * ControlNo Change * Inspection Compliance ProcessNo Change * Change *Supplementing consultant Agreements 4/11/2022 MA email - replace OCC reference with Deputy Secretary for Highway Administration or of Supplements 4/11/2022 MA email - Changes in Scope of Work - revise reference from Section to Section Supplement No Change * End Time Extension SupplementNo Change * (No Cost) Supplement No Change * SupplementNo Change * Supplement (No-Fee)

5 No Change * OrderNo Change * District Work Order Quality Control ReviewerNo Change * the Work OrderNo Change * Work Orders on Multiple Non-Project Specific Open-End (NPS-OE) Agreements Advertised Under One AdvertisementNo Change * Plus Fixed Fee Method of Payment Functioning like a Specific Rate of CompensationNo Change * Change * Quality Assurance (QA) ReviewNo Change * WorkNo Change * Open End Agreements No Change * a Work Order Closeout AmendmentNo Change * of Work for Design Review Work OrdersNo Change * Orders for Assignments on Various Small ProjectsNo Change * Order AmendmentNo Change * Notice to Proceed (ANTP)No Change * Management Committee ApprovalNo Change * EncumbranceNo Change * No Change * Adjustment InvoiceNo Change * CloseoutNo Change * of Completion (Federally Funded Parts only)No Change * EvaluationsNo Change * Annual Invoice AuditNo Change * EvaluationsNo Change *Chapter 4 Administration of consultant Agreement ProcessChapter of 9 SectionSubsectionTitleCommentChapter Change *Chapter Change * RequirementsNo Change * RequirementsNo Change *Chapter Change * Good Faith Effort to Obtain DBE Participation No Change * CertificationNo Change * of DBE ParticipationNo Change * of DBE ConsultantsNo Change * Good Faith Effort Attainment for consultant AgreementsNo Change *Chapter of DBE Goal Attainment for consultant AgreementsNo Change * Faith Effort SanctionsNo Change * Codes with DBE Commitment InformationNo Change * Termination Notice RequirementNo Change *Chapter Work Notification No Change *Chapter or Breach of ContractNo Change *Chapter Incurred Outside the Legal ContractNo Change *Chapter Error ProcessNo Change *Chapter Change *Chapter Change *Chapter of 9

6 SectionSubsectionTitleCommentChapter Change *Chapter for Supplements No Change *Chapter for SupplementsNo Change * in the Scope of WorkNo Change * OverrunsNo Change * CloseoutsNo Change * of SubconsultantNo Change * of Scope Changes and OverrunsNo Change * of Funds between Categories of CompensationNo Change *Chapter Procedures Supplemental Agreements No Change *Chapter Procedures Work Orders No Change * IntervalsNo Change * Progress ReportNo Change * ReviewNo Change * ProcessingNo Change * Payment of Subconsultant/ Subcontractor InvoicesNo Change * Payment of Small Business Vendor InvoicesNo Change * Governing Payments of Interest PenaltiesNo Change * Change * ProcessingNo Change * Change *Chapter 6 Administering Department Sponsored Agreements (Hard Copy)Chapter of 9 SectionSubsectionTitleCommentSection Change * Change * 93 Policy and ProceduresNo Change *Section of Municipal Selection Processes No Change * Need for Municipal consultant Services Determining Need for Municipal EngineerNo Change * Selection Procedure ApprovalNo Change * Solicits ConsultantsNo Change * Creates Municipal Project in ECMSNo Change * Advertises Agreement in ECMSNo Change * Engineer Advertisement ApprovalNo Change * Advertises for Municipal EngineerNo Change * Respond to Municipality SolicitationNo Change * Submit SOI'sNo Change * Creates Scope of Work and Estimate in ECMSNo Change * Short Lists Three Consultants (Normal Process Only)

7 No Change * Create technical ProposalNo Change * Final Ranks ConsultantNo Change * submits Final Ranking to PennDOT for ApprovalNo Change * submits Final Ranking in ECMSNo Change * Approves Selected consultant in ECMSNo Change * Finalizes technical Proposal and Submits Price Proposal No Change * and District Review Submitted ProposalsNo Change * Evaluates and Negotiates the Price Proposal, Prepares Legal AgreementNo Change * Reviews and Signs Legal Agreement in ECMSNo Change * Executes Legal Agreement in ECMSNo Change * Issues NTPNo Change *Section the ConsultantNo Change * ECMS AgreementsNo Change * Agreements Created Outside of ECMSNo Change *Section Change *Section out the AgreementNo Change ** 2022 edition replaced "Bureau of Project Delivery" with Bureau of Design and Delivery, BDPD with BODD, "Contract Management Section" and CMS with "Contract Management Division" and CMD Section 7 Third Party Federal Aid Agreements Section of 9 Comment1 ARequest for Consideration for Engineering Involvement RestrictionsNo Change1 BConstruction Inspection Quality Assurance Plan No Change2 AJustification to Use a consultant No Change2 BBureau of Human Resources Sample MemoNo Change2 COffice of Administration Sample Memo No Change2 DCommonwealth Computer System Accounts User AgreementNo Change2 EReview of Scope of WorkNo Change2 FCO consultant Selection Committee Approval ProcessNo Change2 GReview of Techical ProposalNo Change2 HConsultant Selection Meeting Memo SampleNo Change3 ASole Source Fact Sheet and Checklist for ServicesNo Change3 BNegotiation Position Memorandum (NPM)No Change3 CFHWA Order Appendix ANo Change3 DPennDOT Executive Compensation Statement (PEC)

8 No Change3 EDBE Monitoring FormNo Change3 FMutual Gains NegotiationsNo Change3 GNegotiation Engineer Delegation Sample MemoNo Change3 GPennDOT Safe Harbor Overhead Rate Compliance ComponentsNo Change3 HSafe Harbor Overhead Rate CertificationNo Change4 AProcess Control for consultant Inspection Contract IssuesNo Change4 BGuidelines for Determining Fee or No FeeNo Change4 CExpress Supplement (No Fee) Process FlowNo Change4 DExpress Supplement (No Fee)(Authorization for consultant Contract Work)No Change4 EExample Quality Control Certification for Express Supplement (No Fee)No Change4 FProcedures for Closing Out Electronic Parts/Work OrdersNo ChangeAppendix DocumentPublication 93 Appendices4 GConsultant Inspector Hours and Mileage LogNo Change4 HExcerpt-"Managing Consultants" course Lesson 5No Change4 ISupplementing consultant AgreementsNo Change4 JAdvanced Notice to ProceedRevised electronic signature sequence. ( 9/2022)5 AConfidentiality CertificationNo Change5 BDBE Commercially Useful Function (CUF) ReportNo Change5 CEvaluation of Overall DBE Goal Attainment NoticeNo Change5 DCertificate of InsuranceNo Change6 ASupplemental Agreement RequestNo Change6 BProject Specific Work Order Request No Change7AA Guide to Policy and Procedure for consultant SelectionNo Change7 BMunicipal Engineer Advertisement ExampleNo Change7 CDistrict Estimate Summary for Municipal AgreementNo Change7 DMunicipal Request for Supplemental AgreementNo Change7 ENotice to Proceed Sample LetterNo Change7 FPast Performance Report (Non CI)

9 No Change7 GPast Performance Report - Construction InspectionNo Change7 HCertificate of CompletionNo ChangeCommentAPaper Price Proposal Submission Design n CINo ChangeBPaper Price Proposal Submission NBISNo ChangeWorksheet Document Worksheets Publication 93 Policy and Procedures for the Administration of consultant Agreements Engineering & Construction Management System (ECMS) Prepared by: Pennsylvania Department of Transportation Bureau of Design and Delivery Contract Management Division PUB 93 (12-22) Table of Contents Preface .. i Introduction .. i List of Acronyms .. iii Definitions .. iv Chapter 1 consultant Requirements .. Introduction .. Business Partner Registration Process .. consultant Quality Certificate of Authority to Do Business .. Engineering Involvement Restrictions .. ENGINEERING INVOLVEMENT RESTRICTIONS MATRIX.

10 DEPARTMENT AGREEMENT CONTAINING MULTIPLE PROJECTS (FOR SUBCONSULTANTS) TABLE .. - Construction Inspection .. - Conflict of Adverse Interest Act .. Chapter 2 Selection Process Procedures .. Introduction .. Normal Selection Procedures .. Modified Selection Procedures .. Identifying Need for consultant Services .. Right-of-Way Acquisition Services .. Photogrammetry Services .. consultant Management Project Manager (CMPM) .. and Review Assistance Information Construction Management Support Service .. consultant Inspection .. Highway Construction Design Professional Services Matrix .. Creation and Announcement of Anticipated Project .. ECMS Setup .. Planned Project .. Advertisement .. Agreement Clarification Forums.