Indefinite Delivery/Indefinite Quantity Contracting Practices (2015)

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64 Appendix A Survey Questionnaire and Results—State dOTs Questionnaire for Web-based Surveys NCHRP Synthesis Topic 45-09: Indefinite Delivery/Indefinite Quantity Practices Dear State Construction and/or Maintenance Engineer: The Transportation Research Board (TRB) is preparing a synthesis on Indefinite Delivery/Indefinite Quantity (IDIQ) Contracting Practices. This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration. The purpose of this questionnaire is to identify state highway agency policies and procedures for delivering design, construction, design-build (DB), and maintenance projects using IDIQs. The results of the study will be a synthesis of highway agency procurement procedures for employing IDIQs to secure design, construction, DB, and maintenance services. Its specific focus is on the specific policies and contractual content used during procurements that include IDIQs. It seeks to identify successful approaches to managing risks in the pre-award phases of a project’s life cycle. This questionnaire is being sent to members of the AASHTO Highway Subcommittees on Construction and Maintenance. Your cooperation in completing the questionnaire will ensure the success of this effort. If you are not the appropriate person at the DOT to complete this questionnaire, please forward it to the correct person. As a result of this questionnaire we are expecting to collect only one response per agency. Please complete and submit this survey by February 14, 2014. We estimate that it should take approximately 15 minutes to complete. If you have any questions, please contact our principal investigator Dr. Doug Gransberg by phone: 515-294-1703 or email: dgran@iastate.edu. Any supporting materials can be sent directly to Dr. Douglas Gransberg by email or at the postal address shown at the end of this page. QUESTIONNAIRE INSTRUCTIONS 1. To view and print the entire questionnaire, Click on the following link and print using “control p.” NCHRP Synthesis Topic 45-09: Indefinite Delivery/Indefinite Quantity 2. To save your partial answers and complete the questionnaire later, click on the “Save and Continue Later” link on the top of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo. To return to the questionnaire later, open the email from SurveyGizmo and click on the link. We suggest using the “Save and Continue Later” feature if there will be more than 15 minutes of inactivity while the survey is opened, as some firewalls may terminate due to inactivity. 3. To pass a partially completed questionnaire to a colleague, click on the on the “Save and Continue Later” link on the top of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo. Open the email from SurveyGizmo and forward it to a colleague. 4. To view and print your answers before submitting the survey, click forward to the page following question 35. Print using “control p.” 5. To submit the survey, click on “Submit” on the last page. Thank you very much for your time and expertise. Doug Gransberg, PhD, PE Civil, Construction, and Environmental Engineering Iowa State University 494 Town Engineering Building Ames, IA 50011 Voice: 515-294-1703 Fax: 515 294-3845 Email: dgran@iastate.edu

65 DEFINITIONS: The following definitions are used in conjunction with this questionnaire: • IDIQ contract: A contract that provides for an indefinite quantity of design, construction, and/or maintenance services for a fixed time. They are used when the agency can’t determine, above a specified minimum, the precise quantities of supplies or services that the agency will require during the contract period. • IDIQ contract scope: These contracts are most often used to procure services of a repetitive nature and whose scope is quite narrow. For example, an IDIQ contract to complete an indefinite amount of pavement overlay is a typical scope limitation for a single award IDIQ. • Task Order: A contract document to execute a specified scope of services within a specified period of time. Typically IDIQ contracts contemplate awarding more than one task order. Also termed: work order, job order, and other terms. • Single Task Order IDIQ: A single contractor is awarded a single task order to complete at the owner’s direction sometime during the contract period. For example, the Florida DOT issues these for hurricane debris removal in advance of the hurricane season to permit a rapid response during the emergency. • Single Award IDIQ: A single contractor is awarded a contract that may include multiple task orders that will be delivered during the contract period. • Multiple Award IDIQ: Several different contractors are selected to compete for multiple task orders during the contract period. • Design-build IDIQ: An IDIQ contract where the contractor furnishes both the design and construction services on each Task Order. 1. Please provide the following contact information: Name: ____________________________ Title: _____________________________ Phone Number: ___________________ Email: ____________________________ U.S. state in which you are employed: _____________________________________ 2. You are employed by what type of organization? State Department of Transportation Federal Agency; Name of Agency: _____________________________________________ Other Public Transportation Agency; Name of Agency: _____________________________ Other; Please Describe: _________________________________________________ 3. What group/section do you work in? (Check all that apply.) Design group/section Construction group/section Operations group/section Maintenance group/section Alternative project delivery group/section Materials group/section Contracts/procurement group/section Other: ________________________ 4. The following types of contracts are different names for IDIQ contracting; please check those you knew before this survey or you are familiar with. (Check all that apply.) For purposes of this survey the term IDIQ will be used to refer to any type of contract mentioned below. Indefinite Delivery/Indefinite Quantity (IDIQ) Contract Task Order Contract Job Order Contract Delivery Order Contract On-Call Contract Push-button Contract None Other: _____________________ 5. What is your agency policy regarding IDIQ contracting?* We have used or are currently using IDIQ contracting We are allowed to use IDIQ contracting, but have never used it We are not allowed to use IDIQ contracting Don’t know NOTE: If your agency USES IDIQ contracting please skip to question 8.

66 6. What project delivery methods is your organization allowed to use for typical projects? (Check all that apply.) Typical Project Design-Bid-Build CM-at-Risk or Construction Manager General Contractor Design-Build 7. What procurement methods is your organization allowed to use for typical projects? (Check all that apply.) Typical Project IDIQ Project Low Bid Best Value Lowest Multiplier (Adjust Factor) NOTE: Please skip to question 36 (regardless of your answer in the previous question) 8. On average, how many new IDIQ contracts does your agency award each year? None 1–2 3–5 6–10 >10 9. According to the principal location(s) of a typical IDIQ contract, how would you classify these contracts? (Check all that apply.) City-wide County-wide District-wide State-wide Don’t know Other: ______________________ What work types does your agency use IDIQ contracts for? (Check all that apply.) 10. Design Services: Intelligent Transportation Systems (ITS) Traffic signalization projects Bridge design Roadway design None Other: ___________________________ 11. Construction Services: Hazardous waste treatment, mitigation, removal Environmental mitigation Erosion control/stormwater mitigation Resurfacing ADA-related improvements (sidewalk ramps, etc.) Landscaping Bike lanes, sidewalks, transportation enhancement projects Traffic signalization Roadway safety improvements None Other: ___________________________ 12. Preventive maintenance/repair: Bridge repair/preservation Roadway repair/preservation Drainage maintenance Rest area improvements Pavement markings None Roadside safety hardware repair/preservation (e.g., guardrail, impact attenuator repair) Other: ___________________________ 13. From the following list, please check those advantages that you have observed/perceived in IDIQ over traditionally procured contracts. Please check the most important advantage in the last column. Advantages 1. Reduce/compress/accelerate project delivery period 2. Increase agency control over budget 3. Increase quality 4. Encourage innovation 5. Facilitate value engineering 6. Encourage price competition 7. Increase Disadvantaged Business Enterprise and small business participation 8. Reduce preconstruction costs

67 9. Reduce risk related to contractors poor performance 10. Optimize use of agency resources 11. Funding flexibility 12. Flexibility in delivery scheduling 13. Usefulness in emergency situations 14. Reduced agency staffing requirements 15. Limited owner’s commitment (contractual minimum quantity) 16. Ability to select multiple firms under a single solicitation 14. From the advantages listed in the previous question, please indicate the one that you consider the MOST important. 1. Reduce/compress/accelerate project delivery period 2. Increase agency control over budget 3. Increase quality 4. Encourage innovation 5. Facilitate value engineering 6. Encourage price competition 7. Increase Disadvantaged Business Enterprise and small business participation 8. Reduce preconstruction costs 9. Reduce risk related to contractors poor performance 10. Optimize use of agency resources 11. Funding flexibility 12. Flexibility in delivery scheduling 13. Usefulness in emergency situations 14. Reduced agency staffing requirements 15. Limited owner’s commitment (contractual minimum quantity) 16. Ability to select multiple firms under a single solicitation 15. What project delivery methods is your organization allowed to use for typical versus IDIQ projects? (Check all that apply.) Typical Project IDIQ Project DBB CM-at-Risk or CMGC DB 16. What procurement methods is your organization allowed to use for typical versus IDIQ projects? (Check all that apply.) Typical Project IDIQ Project Low Bid Best Value Lowest Multiplier (Adjust Factor) 17. Does your agency have a manual or document that specifically describes the procedures to be used with IDIQ projects? Yes. Please add the URL where it can be accessed or email Dr. Gransberg at dgran@iastate.edu so he can arrange to get a copy: ____________________________________; No 18. How does your local competitive bidding statutes impact the use of IDIQs by your agency? No impact, we are able to utilize IDIQs without restriction. Minimal impact, we are able to utilize IDIQs on selected types of projects. Some impact, we are only able to award a specific number of IDIQs each year. Major impact, we are only able to award a specific number of IDIQs each year on selected types of projects.

68 19. How do you advertise and award IDIQ contracts? Design Construction Design-Build Maintenance IFB, full open competition, low bid IFB, competition restricted to prequalified entities, low bid 1- step full open competition RFQ, QBS, no price competition 1-step full open competition RFP, includes qualifications, technical, and price 2-step full open competition, RFQ/RFP 1-step competition restricted to prequalified entities RFQ, QBS, no price competition 1-step competition restricted to prequalified entities RFP, includes qualifications, technical, and price 2-step competition restricted to prequalified entities, RFQ/RFP Multiple firms selected, low bid Multiple firms selected, RFQ, QBS, no price competition Sole source 20. If your agency uses unit prices in selection procedures to award IDIQ contracts, how are bid quantities determined? Total estimated quantities for the entire contract Estimated quantities for a typical Task Order Standard bid quantities for all IDIQ contracts Doesn’t use unit prices Don’t know Other: ____________________________ 21. Have you had a protest of an award an IDIQ contract? Yes No Don't Know NOTE: If no or don’t know, please skip to question 24. 22. What was the basis of the protest? Please describe: _________________________________________________ Don't know 23. What was the result of the protest? Protest was upheld Protest was overturned Protest was dropped Don’t know Comments: ___________________________________________________________________ 24. When awarding Multiple Award IDIQ contracts, how are task orders awarded? (Check all that apply.) We don't use multiple award IDIQ contracts To the firm that provides the lowest responsive bid price for a given task order To the firm that provides the lowest multiplier or bid adjustment factor(s) for a given task order To the firm that bid the lowest unit prices for a given task (unit prices bid once when awarding the contract) To the firm that has best experience and the lowest bid prices for a given task order By geographic area By availability Don’t know Other: _________________________________________________

69 25. Does your agency use a construction task catalogue in IDIQ contracting? It includes descriptions, units of measurement, and unit prices for all tasks expected to be performed under the contract. Yes. Please provide a brief description of how is this catalog developed, used, and updated: No 26. Rate the following factors as to importance to the success of the IDIQ contract at achieving a fair and equitable price during the procurement process. Essential Important Not Important Don’t Know Agency buy-in to the IDIQ process Industry buy-in to the IDIQ process Incentives/disincentive schemes Performance bond Well-defined task order scope of work Ability to award to the low bidder Ability to use a construction task catalog Guaranteed minimum value of task orders System to escalate unit prices in the out-years Ability to measure the benefits Independent technical review of DB IDIQ designs Ability to stop issuing further task orders if contractor performance is poor or unsatisfactory. Ability to have more than one contractor and competitive bids 27. Does your agency currently have a contract document that was specifically developed for projects incorporating IDIQs? Yes. Please add the URL where it can be accessed or email Dr. Gransberg at dgran@iastate.edu so he can arrange to get a copy: ____________________________________ No Don’t Know NOTE: If no or don’t know, please skip to question 29 28. Please indicate the differences between an IDIQ contract form and a typical contract form. 29. What type of payment provisions are contained in your typical agency IDIQ contracts? (Check all that apply.) Lump sum Unit price Cost reimbursable Single contract that incorporates a combination of one or more of the above Other: __________________________ 30. In accordance with your knowledge and/or experience related to IDIQ contracting, please rank the following methods for compensating the contractor for mobilization based on their suitability for IDIQ contracts from 1 to 4 with 1 being the most suitable. Put 0 (zero) in those options that you consider not suitable at all, or repeat the number in options that you consider equally suitable.

70 1 2 3 4 0 Option 1. Fixed percentage of the construction cost stated by the DOT and applied to each Task Order. Option 2. Fixed percentage bid by contractors to be applied to each Task Order and factored into the selection of the low bid. Option 3. Fixed price bid by contractors to be used on each Task Order. Option 4. No mobilization. Mobilization expenses are included in the bid items. 31. Please rate the following methods (from owner perspective) for compensating the contractor for mobilization (same options as previous question) in relation to the PERCEIVED RISK from reimbursing to contractors the actual mobilization cost and in comparison with traditional low bid contracting methods. Scale 1–3: (1) Lower than traditional contracting methods (2) Same as traditional contracting methods (3) Higher than traditional contracting methods. 1 2 3 No Opinion Option 1. Fixed percentage of the construction cost stated by the DOT and applied to each Task Order. Option 2. Fixed percentage bid by contractors to be applied to each Task Order and factored into the selection of the low bid. Option 3. Fixed price bid by contractors to be used on each Task Order. Option 4. No mobilization. Mobilization expenses are included in the bid items. 32. In accordance with your knowledge and/or experience related to IDIQ contracting, please rank the following escalation methods to adjust unit prices over time based on their suitability for IDIQ contracts from 1 to 7 with 1 being the most suitable. Put 0 (zero) in those options that you consider not suitable at all, or repeat the number in options that you consider equally suitable. 1 2 3 4 5 6 7 0 Option 1. Fixed annual percentage stated by the DOT to adjust all bid items. Option 2. Fixed annual adjustment rate (%) bid by contractors to be applied to each Task Order and factored into the selection of the low bid. Option 3. Using a national or local existing index (ENR, BLS, RSMeans, SDDOT, CCI). Option 4. Using a regional index (by district or similar) developed and kept by using DOT past bids. Option 5. Using a state index by category developed and kept by using DOT past bids (asphalt, concrete, structures, etc.) Option 6. Using an index by pay item. Measure the change of a pay item by using DOT past bids for that or similar pay items. Option 7. No escalation. Bid prices are used along the base contract period and kept during potential contract extensions. 33. Please rate the following escalation methods to adjust unit prices over time (same options as previous question) in relation to the PERCEIVED RISK from obtaining fair unit prices for future contracting periods and in comparison with traditional low bid contracting methods. Scale 1–3: (1) Lower than traditional contracting methods; (2) Same as traditional contracting methods; (3) Higher than traditional contracting methods.

71 1 2 3 No Opinion Option 1. Fixed annual percentage stated by the DOT to adjust all bid items. Option 2. Fixed annual adjustment rate (%) bid by contractors to be applied to each Task Order and factored into the selection of the low bid. Option 3. Using a national or local existing index (ENR, BLS, RSMeans, SDDOT, CCI). Option 4. Using a regional index (by district or similar) developed and kept by using DOT past bids. Option 5. Using a state index by category developed and kept by using DOT past bids (asphalt, concrete, structures, etc.) Option 6. Using an index by pay item. Measure the change of a pay item by using DOT past bids for that or similar pay items. Option 7. No escalation. Bid prices are used along the base contract period and kept during potential contract extensions. 34. Based on your knowledge and experience related to IDIQ contracting; which of the below performance bond schemes would be the most suitable for IDIQ contracting. (Check all that apply.) Contract bond at award covering the maximum amount to be ordered under the contract. Contract bond at award covering the minimum guaranteed amount and subsequent bonds on each subsequent task order. Contract bond at award covering the contract bid schedule (list of bid unit prices and quantities) and subsequent bonds on a task order basis. No Opinion 35. Would you be willing to participate in a phone interview to collect a case study of your agency’s IDIQ process? Yes. Please provide an email address for a point of contact: No 36. Please provide any additional information, comment, or question you may have about IDIQ contracting (i.e., agency report with quantifiable savings observed when using IDIQ contracting, biggest challenges/problems of using IDIQ contracting). General Survey Results Surveys were chosen to identify state highway agency policies and procedures for the implementation of IDIQ Contracting. A cross-sectional survey design was utilized. The population for this study is the State Department of Transportation. The sample for the study consists of employees working at DOTs during the year 2014 who are involved in the procurement of this contract delivery method. A web-based questionnaire was developed, using an online survey tool. The survey was pilot tested for functionality and ease of use by sending it to the highway agency panel members before being sent out to participants. The survey was administered online to all 50 DOTs and District of Columbia DOT during the months of January and February 2014. Details of the survey mode are listed below: First wave: The employee was sent an email incorporating the cover letter that described the survey’s purpose requesting their participation and a link to a web-survey. Second wave: After sending the first email, one week later, a follow-up email was sent to non-respondents, emphasizing the importance of their participation and requesting their response. Third wave: Non-respondents were re-contacted by email and phone this time, requesting their participation.

72 Survey Instrument The survey consisted of 36 questions regarding general information of participants and IDIQ use, IDIQ procurement policies and procedures, and IDIQ postaward administration practices. The survey was emailed to 50 DOTs and the District of Columbia DOT. A total of 43 surveys were received, yielding an 84% response rate. These responses are presented below. Survey Responses—State DOTs 1. U.S. state in which you are employed: State Responses State Responses Alabama X Montana X Alaska 0 Nebraska X Arizona X Nevada X Arkansas X New Hampshire X California X New Jersey 0 Colorado X New Mexico X Connecticut X New York X Delaware X North Carolina X District of Columbia X North Dakota X Florida X Ohio X Georgia X Oklahoma X Hawaii 0 Oregon X Idaho X Pennsylvania X Illinois X Rhode Island 0 Indiana X South Carolina 0 Iowa X South Dakota X Kansas 0 Tennessee X Kentucky X Texas X Louisiana 0 Utah X Maine X Vermont X Maryland X Virginia X Massachusetts X Washington X Michigan X West Virginia X Minnesota X Wisconsin X Mississippi 0 Wyoming X Missouri X Montana X Total Responses = 43 2. You are employed by what type of organization? (District of Columbia DOT did not answer this question.) Value Count Percent State Department of Transportation 42 100.0% Federal Agency; Name of Agency: 0 0.0% Other Public Transportation Agency; Name of Agency: 0 0.0% Other; Please Describe 0 0.0% Total 42 3. What group/section do you work in? (Check all that apply.) Value Count Percent Design group/section 6 14.3% Construction group/section 25 59.5%

73 Operations group/section 4 9.5% Maintenance group/section 14 33.3% Alternative project delivery group/section 8 19.1% Materials group/section 4 9.5% Contracts/procurement group/section 14 33.3% Other, Please specify: 2 4.8% Total Responses = 46 4. The following types of contracts are different names for IDIQ contracting; please check those you knew before this survey or you are familiar with. (Check all that apply.) Value Count Percent Indefinite Delivery/Indefinite Quantity (IDIQ) Contract 19 50.0% Task Order Contract 21 55.3% Job Order Contract 21 55.3% Delivery Order Contract 1 2.6% On-Call Contract 21 55.3% Push-button Contract 5 13.2% None 1 2.6% Other, Please specify: 7 18.4% Total Responses = 38 5. What is your agency policy regarding IDIQ contracting? Value Count Percent We have used or are currently using IDIQ contracting 36 83.7% We are allowed to use IDIQ contracting, but have never used it 3 7.0% We are not allowed to use IDIQ contracting 2 4.7% Don’t know 2 4.7% Total 43 6. What project delivery methods is your organization allowed to use for typical projects? (Check all that apply.) Value Count DBB 12 CM-at-Risk or CMGC 6 DB 7 Other 1 *Other: Competitive Bidding. 7. What procurement methods is your organization allowed to use for typical projects? (Check all that apply). Value Count Low Bid 14 Best Value 3 Lowest Multiplier (Adjust. Factor) 0 A+B 1 Lowest Cost and Time for DB 1 8. On average, how many new IDIQ contracts does your agency award each year? Value Count Percent 1–2 3 11.1% 3–5 5 18.5% 6–10 3 11.1% >10 15 55.6% Don't know 1 3.7% Total 27 Value Count Percent

74 9. According to the principal location(s) of a typical IDIQ contract, how would you classify these contracts? Value Count Percent City-wide 1 3.7% County-wide 5 18.5% District-wide 18 66.7% State-wide 19 70.4% Don’t know 0 0.0% Other 4 14.8% Total Responses = 27 What work types does your agency use IDIQ contracts for? (Check all that apply) 10. Design Services: Total Responses = 37 Value Count Percent Intelligent Transportation Systems (ITS) 12 32.4% Traffic signalization projects 12 32.4% Bridge design 13 35.1% Roadway design 12 32.4% None 7 18.9% Other 18 48.7% 11. Construction Services: Total Responses = 24 Value Count Percent Hazardous waste treatment, mitigation, removal 6 25.0% Erosion control/stormwater mitigation 6 25.0% Landscaping 7 29.2% Environmental mitigation 4 16.7% Bike lanes, sidewalks, transportation enhancement projects 5 20.8% ADA-related improvements (sidewalk ramps, etc.) 6 25.0% Roadway safety improvements 10 41.7% Traffic signalization 11 45.8% Resurfacing 10 41.7% None 5 20.8% Other 7 29.2% 12. Preventive maintenance/repair: Total Responses = 29 Value Count Percent Bridge repair/preservation 12 41.4% Roadway repair/preservation 14 48.3% Drainage maintenance 9 31.0% Rest area improvements 4 13.8% Roadside safety hardware repair/preservation (e.g., guardrail, impact attenuator repair) 18 62.1% Pavement markings 10 34.5% None 3 10.3% Other 11 37.9%

75 13. From the following list, please check those advantages that you have observed/perceived in IDIQ over traditionally procured contracts. Please check the most important advantage in the last column. 14. From the advantages listed in the previous question, please indicate the one you consider the MOST important: Value Count Percent 1. Reduce/compress/accelerate project delivery period 15 62.5% 2. Increase agency control over budget 0 0.0% 3. Increase quality 0 0.0% 4. Encourage innovation 0 0.0% 5. Facilitate value engineering 0 0.0% 6. Encourage price competition 0 0.0% 7. Increase Disadvantaged Business Enterprise and small business participation 0 0.0% 8. Reduce preconstruction costs 1 4.2% 9. Reduce risk related to contractors poor performance 0 0.0% 10. Optimize use of agency resources 1 4.2% 11. Funding flexibility 1 4.2% 12. Flexibility in delivery scheduling 3 12.5% 13. Usefulness in emergency situations 1 4.2% 14. Reduced agency staffing requirements 1 4.2% 15. Limited owner’s commitment (contractual minimum quantity) 0 0.0% 16. Ability to select multiple firms under a single solicitation 1 4.2% 9 5 7 24 17 10 11 9 2 4 2 4 2 8 21 0% 20% 40% 60% 80% 100% Ability to select mulple firms under a single solicitaon Limited owner’s commitment (contractual minimum quanty) Reduced agency staffing requirements Usefulness in emergency situaons Flexibility in delivery scheduling Funding flexibility Opmize use of agency resources Reduce preconstrucon costs Increase Disadvantaged Business Enterprise and small business parcipaon Encourage price compeon Facilitate Value Engineering Encourage innovaon Increase Quality Increase agency control over budget *Reduce/compress/accelerate project delivery period 25 Responses

76 15. What project delivery methods is your organization allowed to use for typical versus IDIQ projects? Typical Project IDIQ Project Total DBB 18 90.0% 16 80.0% 20 CM-at-Risk or CMGC 8 88.9% 4 44.4% 9 DB 15 93.8% 5 31.3% 16 Competitive Sealed Best Value 1 100.0% 0 0.0% 1 Fixed Price/Variable Scope, Alternate Pavement Bidding, ATCs on DBB 1 100.0% 0 0.0% 1 Other, Please specify: 2 100.0% 0 0.0% 2 Other, Please specify: Oklahoma doesn't use CM, CMGC or DB 1 100.0% 1 100.0% 1 Other, Please specify: Professional Services, Maintenance 1 100.0% 1 100.0% 1 QBS for Design 1 100.0% 0 0.0% 1 Other, Please specify: Price Agreement Work 0 0.0% 1 100.0% 1 16. What procurement methods is your organization allowed to use for typical versus IDIQ projects? Typical Project IDIQ Project Total Low Bid 23 100.0% 19 82.6% 23 Best Value 10 90.9% 5 45.5% 11 Lowest Multiplier (Adjust. Factor) 3 60.0% 3 60.0% 5 16. What procurement methods is your organization allowed to use for typical versus IDIQ projects? Check all that apply. 0 0.0% 0 0.0% 2 Most Qualified 1 100.0% 1 100.0% 1 Other, Please specify: QBS 0 0.0% 0 0.0% 0 QBS for Design 1 100.0% 1 100.0% 1 17. Does your agency have a manual or document that specifically describes the procedures to be used with IDIQ projects? Value Count Percent Yes 8 36.4% No 14 63.6% Total 22 18. How does your local competitive bidding statutes impact the use of IDIQs by your agency? Value Count Percent No impact, we are able to utilize IDIQs without restriction. 10 41.7% Minimal impact, we are able to utilize IDIQs on selected types of projects. 13 54.2% Some impact, we are only able to award a specific number of IDIQs each year. 1 4.2% Major impact, we are only able to award a specific number of IDIQs each year on selected types of projects. 0 0.0% Total 24

77 19. How do you advertise and award IDIQ contracts Design Construction Design-Build Maintenance Total IFB, full open competition, low bid 4 19.0% 14 66.7% 5 23.8% 19 90.5% 21 IFB, competition restricted to prequalified entities, low bid 4 44.4% 9 100.0% 4 44.4% 6 66.7% 9 1-step full open competition RFQ, QBS, no price competition 14 100.0% 2 14.3% 1 7.1% 2 14.3% 14 1-step full open competition RFP, includes qualifications, technical, and price 3 50.0% 1 16.7% 2 33.3% 2 33.3% 6 2-step full open competition, RFQ/RFP 3 42.9% 2 28.6% 6 85.7% 2 28.6% 7 1-step competition restricted to prequalified entities RFQ, QBS, no price competition 3 60.0% 1 20.0% 2 40.0% 0 0.0% 5 1-step competition restricted to prequalified entities RFP, includes qualifications, technical, and price 0 0.0% 1 25.0% 4 100.0% 1 25.0% 4 2-step competition restricted to prequalified entities, RFQ/RFP 3 42.9% 1 14.3% 3 42.9% 1 14.3% 7 Multiple firms selected, low bid 0 0.0% 2 40.0% 0 0.0% 5 100.0% 5 Multiple firms selected, RFQ, QBS, no price competition 7 87.5% 1 12.5% 0 0.0% 2 25.0% 8 Sole source 2 100.0% 1 50.0% 0 0.0% 0 0.0% 2 2-step competition, RFQ, RFP to reduced candidate list, QBS, no price competition 1 100.0% 0 0.0% 0 0.0% 0 0.0% 1 20. If your agency uses unit prices in selection procedures to award IDIQ contracts, how are bid quantities determined? Value Count Percent Total estimated quantities for the entire contract 15 62.5% Estimated quantities for a typical Task Order 4 16.7% Standard bid quantities for all IDIQ contracts 4 16.7% Other 2 8.3% Doesn’t use unit prices 2 8.3% Don’t know 1 4.2% Total Responses = 24 21. Have you had a protest of an awarded IDIQ contract? Value Count Percent Yes 7 26.9% No 13 50.0% Don't Know 6 23.1% Total 26

78 22. What was the basis of the protest? Value Count Percent Please Describe 6 85.7% Don't Know 1 14.3% Total 7 * Please describe: - Incorrect determination of low bidder. - Precertification of awarded vendor - Unbalanced bid. - Varies. - Analysis and determination of the low bid. 23. What was the result of the protest? Value Count Protest was upheld 3 Protest was overturned 3 Protest was dropped 3 Don’t know 1 Total Responses = 6 *Comments: - We have prevailed in most cases however there have been a limited number that the bid was overturned. - ODOT decided to re-bid the maintenance contract. We also award contracts to multiple firms/vendors to eliminate potential protests, and award task orders as needed. 24. When awarding Multiple Award IDIQ contracts, how are task orders awarded? (Check all that apply.) Value Count Percent We don’t use multiple award IDIQ contracts 10 43.5% To the firm that provides the lowest responsive bid price for a given task order 5 21.7% To the firm that provides the lowest multiplier or bid adjustment factor(s) for a given task order 1 4.4% To the firm that bid the lowest unit prices for a given task (unit prices bid once when awarding the contract) 3 13.0% To the firm that has best experience and the lowest bid prices for a given task order 2 8.7% By geographic area 9 39.1% By availability 6 26.1% Other 7 30.4% Don’t know 0 0.0% Total Responses = 23 25. Does your agency use a construction task catalogue in IDIQ contracting? It includes descriptions, units of measurement, and unit prices for all tasks expected to be performed under the contract. Value Count Percent Yes 6 22.7% No 17 77.3% Total 22

79 26. Rate the following factors as to importance to the success of the IDIQ contract at achieving a fair and equitable price during the procurement process. Essential Important Not Important Don’t know Responses % # % # % # % # # Agency buy-in to the IDIQ process 30.4% 7 60.9% 14 4.3% 1 4.3% 1 23 Industry buy-in to the IDIQ process 22.7% 5 68.2% 15 4.5% 1 4.5% 1 22 Incentives/disincentive schemes 0.0% 0 36.4% 8 50.0% 11 13.6% 3 22 Performance bond 4.3% 1 60.9% 14 26.1% 6 8.7% 2 23 Well-defined task order scope of work 68.2% 15 27.3% 6 4.5% 1 0.0% 0 22 Ability to award to the low bidder 30.4% 7 52.2% 12 13.0% 3 4.3% 1 23 Ability to use a construction task catalog 9.5% 2 19.0% 4 42.9% 9 28.6% 6 21 Guaranteed minimum value of task orders 0.0% 0 13.6% 3 63.6% 14 22.7% 5 22 System to escalate unit prices in the out-years 4.5% 1 27.3% 6 45.5% 10 22.7% 5 22 Ability to measure the benefits 0.0% 0 63.6% 14 27.3% 6 9.1% 2 22 Independent technical review of DB IDIQ designs 10.0% 2 20.0% 4 25.0% 5 45.0% 9 20 Ability to stop issuing further task orders if contractor performance is poor or unsatisfactory. 43.5% 10 52.2% 12 4.3% 1 0.0% 0 23 Ability to have more than one contractor and competitive bids 28.6% 6 57.1% 12 14.3% 3 0.0% 0 21 27. Does your agency currently have a contract document that was specifically developed for projects incorporating IDIQs? Value Count Percent Yes 10 38.5% No 9 34.6% Don´t Know 7 26.9% Total 26 28. Please indicate the differences between an IDIQ contract form and a typical contract form. Response Basis of award, determination of initial contract value, assignment of work under the contract Minimum contract value, multiple year duration, escalation clauses, maximum value Quantities are estimated by historical rather than calcualated. Shorter term, use other agency to bid, longer terms for use. MoDOT initially used on call contracting for IDIQ, where we were seeing unbalanced bidding for the items of guaranteed or known work with every work order such as traffic control. We would generally see these prices come in higher. We started JOCs a few years ago to minimize the potential for unbalanced bidding. The scope of work in the proposal booklet does not specifiy specific locations where the work will occur. Since most of these contracts are district-wide the contractor is required to work wherever the district needs them. These contracts allow MassDOT to use them for normal scheduled maintenance repairs as well as for responding to emergencies. Construction—IDIQ will contain all items staff believes could possibly be used. IDIQ will contain a list of all the items that staff believes could possibly be used; proposal explains that this is a non-site specific contract and that some items might not be used. IDIQ are mostly on-call/as-needed; other contracts are project based or can be on-call/as-needed with definite quantities.

80 30. In accordance with your knowledge and/or experience related to IDIQ contracting, please rank the following methods for compensating the contractor for mobilization based on their suitability for IDIQ contracts from 1 to 4 with 1 being the most suitable. Put 0 (zero) in those options that you consider not suitable at all, or repeat the number in options that you consider equally suitable. 1 2 3 4 0 Responses Option 1. Fixed percentage of the construction cost stated by the DOT and applied to each Task Order. 4 1 3 6 8 22 Option 2. Fixed percentage bid by contractors to be applied to each Task Order and factored into the selection of the low bid. 4 4 3 4 7 22 Option 3. Fixed price bid by contractors to be used on each Task Order. 9 1 3 1 6 20 Option 4. No mobilization. Mobilization expenses are included in the bid items. 6 5 4 1 5 21 31. Please rate the following methods (from owner perspective) for compensating the contractor for mobilization (same options as previous question) in relation to the PERCEIVED RISK from reimbursing to contractors the actual mobilization cost and in comparison with traditional low bid contracting methods. Scale 1–3: (1) Lower than traditional contracting methods (2) Same as traditional contracting methods (3) Higher than traditional contracting methods. 1 2 3 No Opinion Responses Option 1. Fixed percentage of the construction cost stated by the DOT and applied to each Task Order. 2 8 3 9 22 Option 2. Fixed percentage bid by contractors to be applied to each Task Order and factored into the selection of the low bid. 3 9 2 8 22 Option 3. Fixed price bid by contractors to be used on each Task Order. 3 9 1 8 21 Option 4. No separate mobilization pay item. Mobilization expenses are included in the bid items. 4 5 6 7 22 32. In accordance with your knowledge and/or experience related to IDIQ contracting, please rank the following escalation methods to adjust unit prices over time based on their suitability for IDIQ contracts from 1 to 7 with 1 being the most suitable. Put 0 (zero) in those options that you consider not suitable at all, or repeat the number in options that you consider equally suitable. 1 2 3 4 5 6 7 0 Responses Option 1. Fixed annual percentage stated by the DOT to adjust all bid items. 4 1 1 1 1 0 1 3 8 Option 2. Fixed annual adjustment rate (%) bid by contractors to be applied to each Task Order and factored into the selection of the low bid. 0 2 2 2 0 2 2 2 9 Option 3. Using a national or local existing index (ENR, BLS, RSMeans, SDDOT, CCI). 3 3 2 2 1 2 1 3 4 29. What payment provisions are contained in your typical agency IDIQ contracts? Total Responses = 23 Value Count Percent Lump sum 10 43.5% Unit price 21 91.3% Cost reimbursable 6 26.1% Single contract that incorporates a combination of two or more of the above 8 34.8% Other 4 17.4%

81 33. Please rate the following escalation methods to adjust unit prices over time (same options as previous question) in relation to the PERCEIVED RISK from obtaining fair unit prices for future contracting periods and in comparison with traditional low bid contracting methods. Scale 1–3: (1) Lower than traditional contracting methods (2) Same as traditional contracting methods (3) Higher than traditional contracting methods. 1 2 3 No Opinion Responses Option 1. Fixed annual percentage stated by the DOT to adjust all bid items. 4 6 3 5 18 Option 2. Fixed annual adjustment rate (%) bid by contractors to be applied to each Task Order and factored into the selection of the low bid. 2 6 4 6 18 Option 3. Using a national or local existing index (ENR, BLS, RSMeans, SDDOT, CCI). 3 8 1 6 18 Option 4. Using a regional index (by district or similar) developed and kept by using DOT past bids. 1 8 2 7 18 Option 5. Using a state index by category developed and kept by using DOT past bids (asphalt, concrete, structures, etc.) 0 7 3 8 18 Option 6. Using an index by pay item. Measure the change of a pay item by using DOT past bids for that or similar pay items. 1 10 2 5 18 Option 7. No escalation. Bid prices are used along the base contract period and kept during potential contract extensions. 2 9 3 4 18 34. Based on your knowledge and experience related to IDIQ contracting; which of the below performance bond schemes would be the most suitable for IDIQ contracting. (Check all that apply.) Value Count Percent Contract bond at award covering the maximum amount to be ordered under the contract. 10 45.5% Contract bond at award covering the minimum guaranteed amount and subsequent bonds on each subsequent task order. 3 13.6% Contract bond at award covering the contract bid schedule (list of bid unit prices and quantities) and subsequent bonds on a task order basis. 8 36.4% No Opinion 4 18.2% Total Responses = 22 Option 4. Using a regional index (by district or similar) developed and kept by using DOT past bids. 1 0 1 1 6 0 1 3 6 Option 5. Using a state index by category developed and kept by using DOT past bids (asphalt, concrete, structures, etc.) 1 0 3 3 3 0 2 4 6 Option 6. Using an index by pay item. Measure the change of a pay item by using DOT past bids for that or similar pay items. 1 3 0 0 1 1 3 3 7 Option 7. No escalation. Bid prices are used along the base contract period and kept during potential contract extensions. 9 1 1 1 3 1 1 0 2

82 36. Please provide any additional information, comment, or question you may have about IDIQ contracting (i.e., agency report with quantifiable savings observed when using IDIQ contracting, biggest challenges/problems of using IDIQ contracting). Response Have not used IDIQ in New Hampshire We have not used. #5—There has been discussion on ID/IQ by a couple of Bureaus though nothing has been pursued to date. WisDOT is very interested in the results of this study and hope that it will help define the pros/cons of this delivery method. MDOT previously used IDIQ extensively for signal work, and had some issues with unbalanaced bidding. In recent years the use of IDIQ on these types of contracts has decreased because of this issue. Signal and lighting/electrical projects have been the only IDIQ contracts let to date, and we are developing a IDIQ contract for cable barrier repairs in 2014. We would be interested in trying it and would like to have some sample contracts from other states as a starting point. The majority of this type of contracts is done by our Traffic and Safety Division and we very rarely use this method in Project Development. Currently evaluating the implementation. State law requires a project plan to be completed prior to sale, therefore legislation needs revised. Will get construction industry “push-back” as unable to define quantity, therefore unable to guarantee price. Could get push-back from consulting industry as reducing plan developement. May require additional oversight by agency, therefore cost savings difficult to identify. Our legislature recently passed a bill allowing job order contracting, we are just starting to work through how that will impact our procurements. These types of contracts allow for a certain amount of flexibilty for our district offices to maintain our highways and bridges. The bidding of the contracts is becoming harder because of the potential for unbalanced bids. There are a limited number of companies that bid this type of work and they allow looking at how to price the work so they can get the full value of the contract; however, the Department may not get all of the work it expected at the time of the bid. This is a valuable tool for our agency. We typically use this method for various design functions, maintenance operations (some statewide but primarily in the metropolitan areas) and for construction management. None. IDIQs are pretty new to us when hiring consultant staff. Procurement Section has been reluctant in the past to allow this because they want everyting well defined (Scope, Project, etc...). That has made it difficult to have qualified staff on board in time to avoid delays to our construction projects. We still hire construction contractors through conventional DBB, DB or CMAR (CMGC) which have fairly well defined scopes and project location/footprint. GDOT's usage of IDIQ contracting has been largely limited to the design, engineering, and related services. We just received permission to start using this method and have yet to award a contract. We are currently advertising for our first one. Since this is a new process for us we are excited about it and how we may be able to use in the future. We would be very interested to see the results and how other states are using the process. Caltrans is interested in pursuing the Job Order Contract authority. Several of our local agencies already have this authority. 35. Would you be willing to participate in a phone interview to collect a case study of your agency’s IDIQ process? Value Count Percent Yes. Please provide an email address for a point of contact: 14 63.6% No 8 36.4% Delaware uses task order resurfacing contracts to zero the budget each year. The time that we need to go through the traditional design/bid/build process for each task or location is increasing rapidly as new regulations/oversight continually develop. Therefore, we are increasingly relying on task order contracts to deliver smaller projects within a reasonable timeframe.