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81 APPENDIX A Survey and Survey Output NCHRP Synthesis Topic 43-11: Expedited Procurement Procedures for Emergency Construction Services INTRODUCTION/BACKGROUND: The purpose of this questionnaire is to identify state highway agency policies and procedures for delivering emergency con- struction projects. The results of the study will be a synthesis of highway agency procurement procedures for agencies that using expedited procedures for emergency project delivery. Its specific focus is on the specific policies and contractual content used during emergency procurements. It seeks to identify successful approaches to managing risks across the emergency projectâs life cycle as well as discuss those practices that did not adequately address the special requirements of expedited procurement and caused the agency to hold liability that it had hoped to shed. DEFINITIONS: The following definitions are used in conjunction with this questionnaire: ⢠Emergency project: A project initiated due to some unexpected circumstance that impacted the capacity/level of service of a given transportation facility (road, bridge, tunnel, etc.) to the point where the respondent believed it to be great enough as to warrant special treatment in the procurement phase. ⢠Typical project: A project delivered using procedures considered by the respondent to be normal. ⢠Alternative technical concepts (ATC): A procedure where the designers and/or contractors are asked to furnish alterna- tive design solutions for features of work designated by the agency in its procurement documents. ⢠Design-bid-build (DBB): A project delivery method where the design is completed either by in-house professional engi- neering staff or a design consultant before the construction contract is advertised. Also called the âtraditional method.â ⢠Construction Manager/General Contractor (CMGC): A project delivery method where the contractor is selected during design and furnishes preconstruction services. Also called CM-at-Risk. ⢠Design-build (DB): A project delivery method where both the design and the construction of the project are simultane- ously awarded to a single entity. ⢠Qualifications Based Selection (QBS): A project delivery method where the consultant or contractor is selected on a basis of qualification alone with no price factors. Price is negotiated with the best qualified competitor. ⢠Sole source: A project delivery method where the agency is authorized to award directly to the consultant/contractor of its choice without competition. Please e-mail, fax, or post this questionnaire by one of the following means: 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 General Information: 1. US state in which the respondent is employed: _______________________ 2. You are employed by what type of organization?   State department of transportation   Other public transportation agency; Name of agency: _______________   Federal agency; Name of agency: _______________________________   Other, please describe: ________________________________________
82 3. What group/section do you work in?   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, please specify: 4. On average, how many emergency projects does your agency deliver each year?   None   1â2   3â5   6â10   >10 5. Does your agency use different procurement procedures to deliver emergency projects than it uses for routine projects?   Yes  No If your agency does not use separate procedures for emergency project delivery please skip to the final question. Emergency Procurement Policies and Procedures: 6. What project delivery methods is your organization allowed to use for typical versus emergency projects? Check all that apply. 7. PROJECT DELIVERY METHOD TYPICAL PROJECT EMERGENCY PROJECT DBB   CM-at-Risk or CMGC   DB   Other, please specify   Procurement Method Low Bid   QBS   Sole Source   Other, please specify:   8. If you only use DBB on emergency projects, indicate the reason(s) below   No statutory authority to use alternative project delivery methods   Liability considerations are not favorable for the agency on an unfamiliar method during an emergency   Not willing to give up control of the design
83   Could use alternative methods on these projects but political/policy issues prevent use   Could use alternative methods on these projects but agency upper management is unwilling   Other, please specify: _________________________________________ 9. Please rank the following project delivery and procurement methods based on your opinion of each methodâs ability to adequately address the risk types in the following table. RANKING: 1 = VERY POOR; 2 = BARELY ADEQUATE; 3 = SATISFACTORY; 4 = GOOD; 5 = EXCELLENT Project Delivery Method Procurement Method Design Construction Risk DBB CMGC DB Low Bid QBS Sole Source Other Low Bid QBS Sole Source Other Scope definition            Quality            Unforeseen conditions            Cost growth            Time growth            Latent defects            Safety during construction            Traffic disruption            Third party delays            Impact on public            Environmental quality            Protest of award            Unintentional shift of design liability            Public information/ support            Political interference            Other            10. Does your agency have a manual or document that specifically describes the procedures to be used with emergency projects?   Yes  No 11. Does your agency encourage or require a formal partnering process on emergency projects?   Yes  No 12. How does your agency define an âemergencyâ that qualifies for expedited project procurement? Check all that apply.   Federal declaration of emergency   State declaration of emergency   Agency director declaration of emergency   Specific set of circumstances   Dollar value of damage to be repaired
84   Dollar value of contract   Other, please specify: _________________________________________ 13. Is a formal risk analysis conducted on an emergency project in any of the following areas?   Project Scope   Project Schedule   Project Cost   Contracting Risk 14. Do your emergency project cost estimates involve an analysis of uncertainty (i.e., was a range cost estimate developed; rational development of contingency)?   Yes  No 15. Do you employ any formalized risk allocation techniques to draft the contract provisions?   Yes  No If yes, please describe: ___________________________________________ 16. Do your emergency contracts contain liquidated damages?   Yes  No 17. If yes, how do you set the value of liquidated damages? please describe: _____________________________________________________________ 18. What policy or procedure changes occur in an emergency project procurement? Check all that apply Planning Permitting Contract Award Does Not Apply Preapproved expedited procedures are authorized     Prequalified sources of design and construction services are authorized     Competition requirements are reduced     Competition requirements are eliminated     Level of design completion before construction is reduced     Level of design completion before construction is eliminated     Level of monetary decision authority is raised for project personnel     Level of monetary decision authority is eliminated for project personnel     Level of design approval decision authority is reduced for project personnel     Level of design approval decision authority is eliminated for project personnel     Abbreviated permit applications are authorized     Progressive permitting is authorized     Abbreviated contract forms are authorized    Â
85 19. Do your emergency procurement procedures allow the improvement/betterment of the project beyond its condition before the emergency?   No   Yes minor improvements   Yes, it may be enhanced to meet current standards (i.e., bridge clearances, current codes, etc.)   Yes, no restrictions 20. Have you used preliminary emergency contracting to define the scope of the emergency project before beginning procurement?   No   Not yet, but we could   Yes, always   Yes, sometimes   Donât know 21. If the answer to the previous question is âyes,â what is included in the preliminary contract to define the scope of the emergency project? Check all that apply.   Inventory of features of work to be repaired/replaced; no design   Inventory of features of work to be repaired/replaced; design recommendations   Inventory of features of work to be repaired/replaced; preliminary design   Review of records and limited verification testing   Review of records and geotechnical investigation of critical areas   Cost estimate   Risk analyses   Other, please specify: _________________________________________ Emergency Procurement Selection Information 22. How do you advertise and award an emergency contract? No. Advertise/Award Method Design Construction 1 IFB, full open competition, low bid   2 IFB, competition restricted to prequalified entities, low bid   3 1-step full open competition RFQ, QBS, no price competition   4 1-step full open competition RFP, includes qualifications, technical, and price   5 2-step full open competition, RFQ/RFP   6 1-step competition restricted to prequalified entities RFQ, QBS, no price competition   7 1-step competition restricted to prequalified entities RFP, includes qualifications, technical, and price   8 2-step competition restricted to prequalified entities, RFQ/RFP   9 Sole source   10 Other, please specify 11 Other, please specify
86 23. Have you had a protest of an award an emergency contract?   Yes  No If yes, which Advertise/Award Method Number in the above question was used for: design contract no. and construction contract no. 24. What was the result of the protest?   Protest was upheld   Protest was overturned   Protest was dropped Comments? ___________________________________________________ 25. Rank the following areas as to importance to the success of the emergency project during the procurement process 3 = essential; 2 = important; 1 = not important. Sufficient scope definition allow the competitors to price the project without excessive contingencies Highly qualified designers and contractors Verification of knowledge and experience working in the project area Mandated use of agency design criteria and details Ability to propose ATCs Ability to propose ATCs confidentially Design/construction quality management plan in proposal Incentives/disincentive schemes Streamlined/abbreviated permitting process Formal risk mitigation plan by agency Formal risk mitigation plan in proposal Correct weight between technical factors, schedule factors and price Emergency Project Contracting Information 26. Does your agency currently have a contract document that was specifically developed for emergency projects?   Yes  No If âyes,â please indicate the differences between an emergency contract form and a typical contract form. _____________________________________________________________ 27. If you are required to have some form of competition before award, how is âcompetitionâ defined?   Minimum number of competitors (i.e., at least 2 or 3)   Minimum number of quotations for service   Competitive bidding of subcontractors/suppliers by the prime contractor   Competitive negotiation with most qualified competitor   Competitive negotiation with prequalified consultants/contractors   Other, please specify: _________________________________________
87 28. Do you use contract clauses that comply with requirements for federal-aid highway funding?   Yes. If âyes,â what types?  No 29. Do you use contract clauses that comply with requirements for FEMA funding?   Yes. If âyes,â what types?  No 30. Are your contracts constrained by expedited, abbreviated, or progressive permitting requirements that were negotiated in advance or as a result of the emergency?   Yes. If âyes,â what types?  No 31. Do you use different contract forms based on the size/value of the emergency projects?   Yes. If âyes,â what are the differences?  No 32. What type of payment provisions are contained in your typical agency emergency projects?   Lump sum   Lump sumâguaranteed maximum price (GMP)   Unit priceâGMP   Unit price   Cost reimbursable   Combination lump sum and unit prices   Other, please specify: _________________________________________ 33. Do the project cost and schedule control procedures differ on an emergency contract from those used in a typical contract?   Yes. If âyes,â what are the differences?  No 34. Do the accounting procedures differ on an emergency contract from those used in a typical contract?   Yes. If âyes,â what are the differences?  No 35. Do you use warranties in emergency projects? Yes. If âyes,â what types?  No 36. If you have used expedited delivery procedures on an emergency project, would you be willing to allow the consultants to contact you to do a structured interview and collect case study information?   Yes  No Please furnish contact information: Contact name: _________________________________________________ Phone number: ________________________________________________ E-mail address: ________________________________________________ 37. Do you have anything else you would like to share regarding the expedited procurement procedures on your emergency projects?
88 Survey ResultsâNote: If a given respondent did not respond to all the questions on the following summary pages, the line was deleted to save room. Survey Question # 6- Project delivery and procurement methods allowed 1 4 5 DBB CMGC DB Other PDM Low Bid QBS Sole Source Other State Emergency projects/ year Different procedures T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t T yp ic al p ro je ct E m er ge nc y pr oj ec t AK 3 to 5 Yes x x x x x x x x AR 1 to 2 No AZ 3 to 5 No CA >20 Yes x x x x x x x CO 1 to 2 Yes x x x x x x x CT None Yes DE 3 to 5 Yes x x x x x x x x x x x FL 10 to 20 Yes x x x x x x x GA 3 to 5 Yes HI >20 Yes x x x x x x x x x x x x IA 10 to 20 Yes x x x x x x ID 1 to 2 Yes IL 10 to 20 Yes KS 6 to 10 Yes x x x MA 6 to 10 Yes x x x x x x ME 3 to 5 Yes x x x x x x MD 3 to 5 No MI 1 to 2 Yes x x x x x x x x x x x MN 6 to 10 Yes x x x x x x x x x x x MO 6 to 10 Yes x x x x x x MS 3 to 5 Yes x x x x x x x x MT 6 to 10 Yes x x x x x x x x NC 1 to 2 Yes x x x x x x x x x NE 1 to 2 Yes x x x x x x x x x x NJ 3 to 5 No NM 3 to 5 Yes x x x x NY 6 to 10 Yes x x x x x x x x x OH 10 to 20 Yes x x x x x x x OK 3 to 5 Yes x x x x x x OR 6 to 10 Yes x x x x x x x x x x x PA 10 to 20 No SC 3 to 5 Yes x x x x x x x x TN 3 to 5 Yes x x x x x UT 3 to 5 Yes x x x x x x x x x VT 1 to 2 Yes x x x x x x x x x VA 10 to 20 Yes x x x x x x WA 6 to 10 Yes x x x x x x x x WI 6 to 10 Yes x x x x x x x WV 3 to 5 Yes WY 3 to 5 Yes x x x WFLHD 1 to 2 Yes x x x x x x x x x x x x EFLHD 1 to 2 Yes x x x x x x x x x x CFLHD 6 to 10 Yes
89 R an ki ng : 0 = n ot a pp li ca bl e; 1 = v er y po or ; 2 = b ar el y ad eq ua te ; 3 = s at is fa ct or y; 4 = g oo d; 5 = e xc el le nt Q # 8 - R an k th e fo llo w in g pr oj ec t de liv er y m et ho dâ s ab ili ty t o ad eq ua te ly a dd re ss t he r is k ty pe s du ri ng t he d es ig n an d co ns tr uc ti on S co pe D efi ni ti on Q ua li ty U nf or es ee n C on di ti on s C os t G ro w th T im e G ro w th L at en t D ef ec ts S ta DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const A K 3 3 3 3 3 3 3 3 3 3 3 3 C A 5 5 5 5 5 5 5 5 5 5 5 5 C O 3 3 3 3 4 4 3 4 4 2 4 4 2 3 4 3 3 3 D E 5 0 4 5 0 4 5 0 3 5 0 3 5 0 3 4 0 4 3 0 4 3 0 3 4 0 5 4 0 5 4 0 4 4 0 4 F L 3 3 3 3 4 4 4 4 1 1 1 1 1 1 1 1 1 1 1 1 3 3 M E 2 3 0 2 4 0 2 4 0 3 4 0 3 3 0 3 3 0 2 2 0 2 3 0 3 4 0 3 4 0 3 4 0 3 4 0 M I 5 5 3 4 5 4 4 4 4 4 4 4 4 4 3 4 4 4 4 4 4 4 4 4 4 4 4 4 5 4 4 4 4 3 5 3 M N 3 3 4 4 4 3 4 4 4 3 2 3 4 4 3 4 4 4 3 4 4 4 3 4 M O 4 0 0 4 0 0 4 0 0 4 0 0 3 0 0 3 0 0 3 0 0 3 0 0 4 0 0 4 0 0 0 0 0 0 0 0 M S 4 4 4 4 3 4 4 4 3 3 3 3 3 4 3 4 5 5 5 5 4 4 4 4 M T 4 0 1 4 0 3 3 0 3 3 0 3 1 0 3 3 0 1 3 0 5 3 0 5 3 0 5 3 0 5 4 0 5 3 0 4 N C 4 3 4 3 3 3 3 3 2 2 2 2 2 3 2 3 2 3 2 3 4 4 4 4 N E 3 3 5 5 3 3 3 3 3 3 3 3 N Y 5 3 5 3 5 5 5 5 5 4 5 4 3 5 3 5 3 5 3 5 5 5 5 5 O H 5 5 3 5 5 3 4 4 3 4 4 3 4 5 2 4 5 2 4 4 2 4 4 2 4 4 2 4 4 2 4 5 2 4 5 2 O K 4 4 4 4 3 3 3 3 4 3 3 3 O R 3 3 2 3 5 3 3 3 3 3 3 3 3 4 3 1 5 3 3 4 3 2 5 3 3 4 3 2 5 4 3 3 3 3 3 3 S C 3 4 4 4 3 3 3 3 1 2 1 2 2 2 2 3 2 4 1 3 1 3 2 2 T N 4 4 4 4 3 3 3 4 3 3 3 3 U T V T 5 5 5 5 5 4 5 4 3 3 3 3 5 5 5 5 5 5 5 5 3 3 3 3 V A 4 4 4 3 3 3 W A 3 4 4 4 3 3 4 3 2 3 3 4 2 4 3 4 2 4 3 4 3 4 3 4 W F L H D 3 5 3 3 5 3 3 5 4 3 5 4 2 2 4 2 3 4 4 3 3 4 3 3 3 4 4 3 4 4 2 2 4 2 3 4 E F L H D 3 5 3 3 5 3 3 5 4 3 5 4 2 2 4 2 3 4 4 3 3 4 3 3 3 4 4 3 4 4 2 2 4 2 3 4
90 R an ki ng : 0 = n ot a pp li ca bl e; 1 = v er y po or ; 2 = b ar el y ad eq ua te ; 3 = s at is fa ct or y; 4 = g oo d; 5 = e xc el le nt Q # 8 - R an k th e fo llo w in g pr oj ec t de liv er y m et ho dâ s ab ili ty t o ad eq ua te ly a dd re ss t he r is k ty pe s du ri ng t he d es ig n an d co ns tr uc ti on S af et y du ri ng C on st ru ct io n T ra ffi c D is ru pt io n T hi rd P ar ty D el ay s Im pa ct o n P ub li c E nv ir on m en ta l Q ua li ty P ro te st o f A w ar d S ta DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const DBB - Design CMGC - Design DB - Design DBB - Const CMGC-Constr. DB - Const A K 3 3 3 3 3 3 3 3 3 3 3 3 C A 5 5 5 5 5 5 5 5 5 5 4 5 C O 3 3 3 3 4 4 3 4 4 3 4 4 3 3 3 4 3 3 D E 5 0 5 5 0 5 5 0 4 4 0 4 5 0 4 5 0 4 5 0 4 5 0 4 5 0 4 5 0 4 4 0 3 4 0 3 F L 3 3 3 3 1 1 1 1 3 4 3 4 3 3 3 3 3 3 3 3 M E 0 0 0 5 5 0 0 0 0 5 5 0 3 4 0 3 3 0 0 0 0 4 4 0 0 0 0 4 4 0 4 3 0 0 0 0 M I 5 5 5 5 5 5 4 4 4 4 4 4 5 5 3 4 4 4 4 4 4 4 4 4 5 5 5 5 5 5 5 5 5 5 4 5 M N 4 4 4 4 4 4 4 4 4 3 3 3 4 4 3 3 4 4 4 4 4 3 4 4 M O 4 0 0 4 0 0 4 0 0 4 0 0 3 0 0 3 0 0 4 0 0 4 0 0 4 0 0 4 0 0 4 0 0 4 0 0 M S 3 4 4 4 3 3 3 3 3 4 3 4 3 3 3 3 4 4 4 4 5 5 5 5 M T 0 0 0 4 0 4 0 0 0 4 0 4 3 0 2 3 0 2 0 0 0 2 0 4 4 0 4 4 0 4 0 0 0 5 0 3 N C 4 4 4 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3 3 3 N E 3 3 2 2 3 3 2 2 2 2 5 5 N Y 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 5 O H 4 4 4 4 4 4 3 3 3 3 3 3 4 4 3 4 4 3 4 4 3 4 4 3 4 4 4 4 4 4 4 5 4 4 5 4 O K 3 3 3 3 3 3 3 3 3 3 5 5 O R 3 3 3 3 3 3 3 5 3 3 4 3 3 5 3 2 5 3 3 4 3 3 5 3 3 3 3 3 3 3 3 3 3 4 3 3 S C 4 3 3 3 3 3 3 3 3 4 2 4 3 3 2 4 3 3 3 3 5 3 3 3 T N 4 4 4 4 4 4 4 4 4 4 4 4 U T V T 5 5 5 5 5 5 5 5 3 5 3 5 4 4 4 4 5 5 5 5 5 5 5 5 V A 4 3 3 3 4 W A 2 4 4 5 3 3 4 3 3 3 3 3 3 4 4 3 5 3 4 3 4 4 4 4 W F L 3 4 4 3 4 4 4 4 3 4 4 3 4 3 3 4 3 3 4 4 3 4 4 3 4 4 4 4 4 4 5 3 3 5 3 3 E F L 3 4 4 3 4 4 4 4 3 4 4 3 4 3 3 4 3 3 4 4 3 4 4 3 4 4 4 4 4 4 5 3 3 5 3 3
91 8 - Rank the following project delivery methodâs ability to address risk Unintentional Shift of Design Liability Public Information/Support Political Interference State D B B - D es ig n C M G C - D es ig n D B - D es ig n D B B - C on st C M G C -C on st r. D B - C on st D B B - D es ig n C M G C - D es ig n D B - D es ig n D B B - C on st C M G C -C on st r. D B - C on st D B B - D es ig n C M G C - D es ig n D B - D es ig n D B B - C on st C M G C -C on st r. D B - C on st AK 3 3 3 3 3 3 CA 5 5 5 5 5 5 CO 2 3 4 3 3 3 3 3 3 DE 5 0 3 4 0 3 5 0 4 4 0 3 4 0 2 4 0 2 FL 1 1 1 1 4 3 4 3 1 1 1 1 ME 0 0 0 0 0 0 4 3 0 4 3 0 0 0 0 0 0 0 MI 5 4 4 5 4 4 5 5 5 5 5 5 MN 4 3 4 4 4 4 4 4 4 3 4 4 MO 0 0 0 0 0 0 4 0 0 4 0 0 4 0 0 4 0 0 MS 3 4 3 4 3 3 3 4 2 2 2 2 MT 5 0 3 0 0 0 3 0 3 3 0 3 3 0 3 3 0 3 NC 4 2 2 2 3 3 3 3 3 3 3 3 NE 4 4 4 4 5 5 NY 5 5 5 5 5 5 5 5 5 5 5 5 OH 4 4 3 4 4 3 4 4 4 4 4 4 4 4 4 4 4 4 OK 4 4 3 3 4 4 OR 3 3 2 2 3 2 3 3 3 3 4 4 3 3 3 3 3 3 SC 5 3 4 3 2 3 2 4 1 3 2 3 TN 3 3 4 4 4 4 UT VT 4 5 4 5 4 4 4 4 4 4 4 4 VA 4 4 WA 4 4 3 4 4 3 4 3 4 2 3 2 WFL 3 3 3 3 3 3 3 4 4 3 4 4 4 4 4 4 4 4 EFL 3 3 3 3 3 3 3 4 4 3 4 4 4 4 4 4 4 4
92 Q # 8 - P le as e ra nk t he f ol lo w in g pr oc ur em en t m et ho dâ s ab ili ty t o ad dr es s ri sk S co pe D efi ni ti on Q ua li ty U nf or es ee n C on di ti on C os t G ro w th T im e G ro w th L at en t D ef ec ts S ta Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Constr. Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const A K 3 3 4 3 3 3 3 1 4 2 2 3 3 2 3 3 3 3 C A 5 2 4 2 4 4 4 3 4 2 4 2 4 2 4 2 4 2 4 2 4 3 4 3 C O 3 3 3 3 4 3 3 4 3 3 4 3 2 4 3 3 4 3 3 4 3 2 3 3 3 3 3 2 4 3 3 3 3 3 3 3 D E 5 5 5 5 5 5 4 4 4 3 3 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3 3 3 3 3 3 3 3 3 F L 3 3 4 4 1 1 1 1 1 1 3 H I 4 5 2 4 3 5 2 4 2 3 2 2 2 3 2 4 2 3 2 3 2 3 2 4 K S 4 4 4 4 3 3 4 4 4 4 4 4 M E 5 5 5 5 5 5 5 5 5 4 5 4 3 3 3 3 4 3 4 4 3 4 4 3 4 4 3 4 4 3 4 4 4 4 4 4 M I 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 M N 3 4 4 4 4 3 4 4 4 4 2 3 3 2 3 3 4 3 3 3 3 3 3 3 3 3 4 4 3 3 M O 0 3 0 4 0 0 0 3 0 4 0 0 0 3 0 3 0 0 0 3 0 3 0 0 0 3 0 4 0 0 0 3 0 0 0 0 M S 3 3 3 5 4 4 3 3 3 3 3 3 3 3 4 3 3 3 M T 2 0 0 1 0 0 3 0 0 2 0 0 3 0 0 3 0 0 2 0 0 3 0 0 2 0 0 2 0 0 3 0 0 3 0 0 N C 3 4 4 3 4 3 4 3 3 4 2 2 2 2 2 3 2 2 3 2 3 2 2 3 2 4 4 4 4 4 N E 4 4 4 4 4 4 4 4 4 4 4 4 3 3 4 4 3 3 3 3 3 3 3 3 N Y 3 5 5 5 5 5 3 5 5 5 5 5 3 5 5 5 5 5 3 4 4 5 4 5 3 4 4 5 4 5 3 5 4 5 5 5 O H 4 5 4 4 5 4 4 5 4 4 5 4 4 4 5 4 4 5 4 3 2 4 3 2 4 4 2 4 4 2 4 4 2 4 4 2 O K 1 4 3 3 4 4 1 4 3 3 4 3 1 3 3 3 3 3 2 3 3 3 1 1 1 4 4 3 3 3 1 4 4 3 4 3 O R 1 3 3 2 3 3 3 3 3 3 3 3 3 3 3 1 3 3 3 3 3 2 2 2 3 2 4 2 4 5 2 3 3 3 3 3 S C 3 5 3 2 3 3 3 3 1 1 1 1 1 2 2 2 2 2 1 3 2 3 3 3 T N 3 4 3 3 3 3 V T 5 5 5 5 5 5 2 4 4 5 5 5 2 3 3 3 3 3 2 3 3 5 3 2 2 4 3 5 3 2 2 4 4 3 4 2 V A 4 4 3 3 3 3 W A 3 4 3 4 5 4 3 4 4 3 4 3 2 4 4 3 3 3 2 4 3 4 3 4 2 3 3 3 4 3 1 4 3 3 4 3 W Y 3 3 3 3 3 3 W F L 3 3 3 4 3 3 3 3 2 2 2 2 4 4 4 4 3 3 3 3 2 2 3 3 E F L 3 3 3 4 3 3 3 3 2 2 2 2 4 4 4 4 3 3 3 3 2 2 2 2
93 Q # 8 - P le as e ra nk t he f ol lo w in g pr oc ur em en t m et ho dâ s ab ili ty t o ad dr es s ri sk S af et y du ri ng C on st ru ct io n T ra ffi c di sr up ti on T hi rd P ar ty D el ay s Im pa ct o n P ub li c E nv ir on m en ta l Q ua li ty P ro te st o f aw ar d S ta Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const Low Bid - Design QBS - Design Sole Source-Design Low Bid - Constr. QBS - Construction Sole Source-Const A K 3 3 3 3 3 3 3 3 3 3 3 4 3 3 3 3 4 2 C A 4 3 4 3 4 3 5 3 4 2 4 2 4 3 4 3 5 3 4 3 5 3 5 3 C O 3 3 3 3 3 3 3 4 3 3 4 3 4 4 3 3 4 3 3 4 3 3 4 3 3 3 3 3 3 3 4 4 3 4 2 3 D E 4 4 4 3 4 4 4 4 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 4 4 3 3 4 4 4 3 3 3 2 F L 3 3 3 3 1 1 3 3 3 3 3 3 H I 2 3 2 3 2 3 2 4 2 3 2 3 2 3 2 3 2 3 2 3 4 5 4 4 K S 4 4 4 4 4 4 4 4 4 4 4 4 M E 0 0 0 5 5 5 0 0 0 4 4 4 4 4 4 4 4 4 0 0 0 4 4 4 0 0 0 4 4 4 5 4 3 0 0 0 M I 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 5 5 4 M N 4 4 4 4 4 4 4 4 4 4 3 4 3 3 3 3 4 4 3 4 4 4 4 4 4 4 4 4 4 4 M O 0 3 0 4 0 0 0 3 0 4 0 0 0 3 0 3 0 0 0 3 0 4 0 0 0 3 0 4 0 0 0 3 0 4 0 0 M S 3 4 4 3 3 3 3 3 3 3 3 3 4 4 4 2 5 2 M T 0 0 0 3 0 0 0 0 0 3 0 0 0 0 0 3 0 0 3 0 0 3 0 0 2 0 0 2 0 0 5 0 0 5 0 0 N C 4 4 4 4 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 2 4 3 2 N E 4 4 4 4 3 3 3 3 4 4 4 4 3 3 3 3 3 3 3 3 5 5 5 5 N Y 3 5 5 5 5 5 3 5 4 5 5 5 3 5 5 5 5 5 3 5 4 5 5 4 3 5 5 5 5 5 3 5 3 5 3 3 O H 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 2 2 4 2 2 O K 2 4 3 3 3 3 2 3 3 3 3 3 1 3 3 3 4 3 2 3 3 3 3 3 2 3 3 3 3 3 4 4 2 5 2 1 O R 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 2 3 4 3 3 4 2 3 5 3 3 3 3 3 3 3 3 3 3 1 1 S C 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 5 3 4 1 T N 4 4 4 4 4 4 V T 5 5 5 5 4 4 3 4 4 5 4 4 3 4 3 3 3 3 3 4 3 4 3 3 3 5 4 5 4 3 5 5 3 5 3 2 V A 3 4 3 3 4 4 W A 3 4 3 4 4 4 3 4 4 4 4 3 2 3 3 3 3 3 3 4 4 4 4 3 3 4 4 4 4 3 5 3 3 4 3 3 W Y 3 3 3 3 3 3 W F L 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 3 3 5 5 E F L 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 3 3 5 5
94 Q# 8 - Please rank the following procurement methodâs ability to address risk Unintentional shift of design liability Public Information/Support Political Interference Sta L ow B id - D es ig n Q B S - D es ig n S ol e S ou rc e- D es ig n L ow B id - C on st r. Q B S - C on st ru ct io n S ol e S ou rc e- C on st L ow B id - D es ig n Q B S - D es ig n S ol e S ou rc e- D es ig n L ow B id - C on st r. Q B S - C on st ru ct io n S ol e S ou rc e- C on st L ow B id - D es ig n Q B S - D es ig n S ol e S ou rc e- D es ig n L ow B id - C on st r. Q B S - C on st ru ct io n S ol e S ou rc e- C on st AK 3 3 3 3 3 3 3 3 3 CA 5 3 4 3 5 3 5 3 4 3 5 3 CO 2 4 3 2 4 3 3 3 3 3 3 3 3 3 3 3 3 3 DE 4 4 4 4 4 4 4 4 4 3 3 4 3 3 2 3 3 2 FL 1 1 4 4 1 1 HI 4 3 2 2 2 4 2 3 4 4 2 3 KS 4 4 4 4 4 4 ME 4 4 4 0 0 0 4 4 4 4 4 4 4 4 4 4 4 4 MI 4 4 4 4 4 4 MN 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 MO 0 3 0 0 0 0 0 3 0 4 0 0 0 3 0 4 0 0 MS 3 3 3 3 3 3 2 5 2 MT 2 0 0 0 0 0 2 0 0 2 0 0 3 0 0 3 0 0 NC 2 4 4 2 4 3 3 3 3 3 3 3 3 3 3 NE 5 5 5 5 5 5 5 5 5 5 5 5 NY 3 5 5 5 5 5 3 5 3 5 4 3 3 3 3 5 3 3 OH 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 OK 3 3 3 3 3 2 3 3 3 3 2 1 3 3 2 3 2 1 OR 3 3 3 3 3 3 3 3 4 2 3 4 3 3 3 3 3 2 SC 3 3 2 2 2 2 2 3 1 1 1 1 TN 3 4 4 VT 3 5 4 4 3 3 4 5 4 4 4 4 3 4 3 4 3 2 VA 3 3 WA 3 4 4 2 3 2 3 4 4 3 4 3 2 4 3 2 3 2 WY 3 3 3 WFL 4 4 3 3 4 4 3 3 4 4 4 4 EFL 3 3 3 3 4 4 3 3 4 4 4 4
95 Q# 9 - Agency emergency procure-ment manual 10 - Formal partner- ing process on emer- gency projects? 11 - How does your agency define an âemergencyâ that qualifies for expedited project procurement? 12 13 14 15 18 Sta Y es N o R eq d E nc ou ra ge d N on e F ed er al d ec la ra ti on S ta te d ec la ra ti on A ge nc y d ec la ra ti on S pe ci fi c ci rc um st an ce s D ol la r va lu e of da m ag e D ol la r va lu e of co nt ra ct O th er F or m al r is k an al ys is C os t e st im at es w it h un ce rt ai nt y an al ys is F or m al r is k al lo ca ti on Y es p ro vi si on s L iq ui da te d da m ag es B et te rm en t a ll ow ed AK x x x x x Yes No No Yes Donât know CA x x x x x No No No Yes-current CO x x x x x x Yes No Yes No DE x x x x x No No No Yes Yes, no restrictions FL x x x No No No Yes Yes-current HI x x x No No No No Yes-current IA x x Yes-current KS x x x x x No No No No Yes-minor MA x x x x x Yes No Yes Yes Don't know ME x x x x x No Yes No Yes Yes-current MN x x x x x Yes Yes Yes Yes-current MO x x x x No Yes No Yes Don't know MS x x x x x x No No No Yes No MT x x x x x x No Yes No Yes Yes-minor NC x x x x x Yes Yes Yes No NE x x x Yes Yes No Yes Yes, no restrictions NM x x x x x No No No Yes Don't know NY x x x x x No No No Yes No OH x x x x x x x x No No No Yes Yes-current OK x x x x x x No No Yes Yes-current OR x x x x x Yes No No No Don't know SC x x x x x No No No No Don't know TN x x x x x No No No Yes Yes-minor UT x x x x x x No Yes No Yes No VT x x x x x x No No No Yes VA x x x No No No Yes Yes-minor WA x x x x x x No Yes No No Don't know WI x x x x Yes No No No Don't know WY x x x x x No Yes No No Don't know WFL x x x x x x No No Yes Yes-current EFL x x x x x x No No Yes Yes-current
96 Q# 17 - What policy or procedure changes from the typical occur in an emergency project procurement? Expedited procedures are authorized Prequalified sources are authorized Competition require- ments are reduced Competition require- ments are eliminated Level of design before construction is reduced Level of design before construction is eliminated Sta P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly AK x x x x x x x x x x x x CA x x x x x x x CO x x x x x x x x x x x DE x x x x x x FL x x x x x x HI x x x x x x x x x x x IA x x x x x x KS x x x x x x MA x x x x x x x ME x x x x x x x x x x MN x x x x x x x x x x MO x x x x x x x x MS x x x x x x x MT x x x x x x NC x x x x x x x x x x x x NE x x x x x x NM x x x x x x NY x x x x x x x x x OH x x x x x x x x x x x x x x x x x x OK x x x x x x OR x x x x x x x x x x x x x SC x x x x x x x TN x x x x x x x UT x x x x x x x VA x x x x x x x WA x x x x x x WI x x x x x x x WY x x x x x x WFL x x x x x x x x EFL x x x x x x x x
97 Q# 17 - What policy or procedure changes from the typical occur in an emergency project procurement? Level of mone- tary authority raised for project personnel Level of mone- tary authority eliminated for project personnel Level of design approval author- ity reduced for project personnel Level of design approval author- ity eliminated for project personnel Abbreviated per- mit applications are authorized Progressive per- mitting is authorized Abbreviated con- tract forms are authorized Sta P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly P la nn in g P er m it ti ng C on tr ac t a w ar d D oe s no t a pp ly AK x x x x x x x x CA x x x x x x x CO x x x x x x x x x x x x x DE x x x x x x x FL x x x x x x x HI x x x x x x x x IA x x x x x x x KS x x x x x x x MA x x x x x x x ME x x x x x x x MN x x x x x x x x MO x x x x x x x MS x x x x x x x MT x x x x x x x NC x x x x x x x NE x x x x x x x NM x x x x x x x NY x x x x x x x OH x x x x x x x x x OK x x x x x x x OR x x x x x x x SC x x x x x x x TN x x x x x x x UT x x x x x x x VA x x x x x x x WA x x x x x x x WI x x x x x x x WY x x x x x x x x WFL x x x x x x x EFL x x x x x x x
98 Q# 19 20 - If the answer to the previous question is yes, what is included in the preliminary contract to define the scope of the emergency project? 22 23 State S co pe d efi ni ti on c on tr ac t In ve nt or y - no d es ig n In ve nt or y- d es ig n re co m m en da ti on In ve nt or y- pr el im in ar y de si gn R ec or d re vi ew -l im it ed te st in g R ec or d re vi ew -g eo te ch ni ca l R ec or d re vi ew -p re li m in ar y pe rm it D ev el op a nd s ub m it p er m it ap pl ic at io n C os t e st im at e R is k an al ys es P ub li c in fo rm at io n pl an T ra ffi c co nt ro l p la n O th er P ro te st P ro te st r es ul t AK Sometimes x x Yes Dropped CA Sometimes x x x x x No CO No No DE Sometimes x x x x x x x x x Yes Dropped FL Sometimes x x x No HI Sometimes x No IA Don't know x No KS No No MA Always x x x x No ME No but could No MN Sometimes x x x x x x x x x x x Yes Won MO No No MS Sometimes x x x x x No MT Don't know No NC Sometimes x x No NE No No NM Always x x No NY No Yes OH Don't know Yes Dropped OK Sometimes x x x x No Dropped OR Sometimes x x x x x Yes Dropped SC Don't know No Dropped TN Don't know No UT No Yes Dropped VA Don't know No WA Sometimes x x x x x x x x x x x No WI Sometimes x x x No WY No No WFLHD No but could No EFLHD No but could No
99 Q# 21 - How do you advertise and award an emergency contract? 31 IFB, full open low bid IFB to prequal, low bid 1-step full open RFQ, QBS 1-step full open RFP 2-step full open RFQ/ RFP 1-step prequel. RFQ, QBS 1-step prequel. RFP 2-step pre-qual. RFQ/ RFP Sole source Type of payment provisions State D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st D es ig n C on st L S U P -G M P C os t+ C om bo L S /U P AK x x x x x x x CA x x x x CO x DE x x x FL x x x x x x GA HI x x x x x x x x x x x IA x x x x x x x x x KS x x x MA x x x x x x x ME x x x x x x x MN x x x x x x x x x x x x x x x x MO x x x x MS x x x x x x x x x x MT x x x x x x x NC x x x x x x x NE x x x x x x NM x x x x x x x NY x x x x x x x x x x x x OH x x x x x x x OK x x x x x x x OR x x x x x x SC x x x x x x x TN x x x UT x x x x x x VA x x x WA x x x x x x WI x x x x WY x x x x x x x x x x WFL x x x x x x x x x x x x EFL x x x x x x x x x x x x
100 Ratings: E = Essential; I = Important; N = Not important Q# 24 - Rate the following as to importance to the success of the emergency project during the procurement process State C le ar d efi ni ti on S uf fi ci en t s co pe d efi ni ti on D el eg at io n of d ec is io n- m ak in g au th or it y to th e pr oj ec t l ev el H ig hl y qu al ifi ed d es ig ne rs a nd co nt ra ct or s L oc al k no w le dg e an d ex pe ri en ce M an da te d us e of a ge nc y de si gn cr it er ia a nd d et ai ls A bi li ty to p ro po se A T C s C on fi de nt ia l A T C s be fo re aw ar d Q ua li ty m an ag em en t p la n be fo re c on tr ac t a w ar d In ce nt iv es / d is in ce nt iv e sc he m es S tr ea m li ne d/ ab br ev ia te d pe r- m it ti ng p ro ce ss F or m al r is k m it ig at io n pl an b y ag en cy F or m al r is k m it ig at io n pl an in pr op os al C or re ct w ei gh t b et w ee n fa ct or s C le ar g ui da nc e on a ll ow ab le be tt er m en ts AK E I I E N N I N N N E N N N E CA I I I I I N N N N N E N N N I CO E E E E I I N N I I I I I I I DE N I N I I I I N N I I N N N N FL N I N E E I N N N I I N N I N HI I I I I I I N N N N E I I N I IA N N N N N N N I N N N N N N N KS E E I I I I I I I N I N N N I MA E E I I E E N N N N E N N N I ME E I I E I I I N N I E N N N N MN E I N E I I I I I I I I I E I MO E I N I I I I E N I I I I I I MS N E I I I E I I N E I N N I I MT E E I I I I I N I N I I I N I NC E E I E I I I I I I I I I I I NE E E E E E N I I N I E N N N N NM E E I I I E N N N I I N N N I NY E I I E E I N N I E I N N E I OH E E I E E E I I I I I I I I I OK E I I E I I E I N E E N N I I OR E I E I N I E N N I E N N N E SC I I I E I I I N N N I N N N I TN I I I I I I N N N I E N N N N UT E E N I I E N N I N N N N N N VA I I I I I I N I I N I N N I I WA E E E E E I I I I I E I N N E WI E E I I I E N N N N I N N N E WY I I N N I I N N N N N N N N N WFL E I N I I N N N N I E N N I E EFL E I N I I N N N N I E N N I E
101 Q# 25 26 - Competition defined 27 28 30 31 - Type of payment provisions 32 33 34 State S pe ci al e m er ge nc y co n- tr ac t d oc um en t M in # b id de rs M in # q uo ta ti on s B id di ng o f su b/ su pp li er s C om pe ti ti ve n eg ot ia ti on C om pe ti ti ve n eg ot ia ti on w /p re qu el b id de rs E m er ge nc y fe de ra l c on - tr ac t c la us es E m er ge nc y F E M A c on - tr ac t c la us es D if fe re nt c on tr ac t f or m s ba se d si ze / v al ue L um p su m U ni t p ri ce -G M P C os t r ei m bu rs ab le C om bi na ti on L S /U P P ro je ct c on tr ol s di ff er A cc ou nt in g pr oc ed ur es di ff er W ar ra nt ie s AK Yes DK DK Yes x x x No No DK CA Yes x Yes Yes No x Yes Yes No CO No x x No No No No No DE No x Yes No No x x No Yes FL No x Yes Yes No x No No Yes HI No No No No x x x No Yes No IA No KS No Yes No No x Yes No No MA No x x x Yes Yes No x x x No No No ME No x x x Yes No No x x x No No MN No x x x Yes Yes Yes x x x Yes Yes Yes MO No Yes No No x x No Yes No MS No x x Yes Yes No x x x Yes No Yes MT No x x x Yes Yes Yes x x x No No No NC No x x Yes Yes Yes x x Yes Yes No NE No Yes No Yes x x Yes Yes No NM No x DK Yes No x x x No No No NY Yes x x No Yes Yes x x x No No No OH No x x DK DK No x x x No No No OK No Yes Yes No x x x No No No OR No x x DK Yes No x x No No DK SC No DK DK DK x x x DK Yes No TN No x Yes No No x No Yes No UT Yes x No Yes No x x x x Yes No No VA No x Yes DK No x x DK No No WA Yes x Yes DK Yes x x x No Yes No WI No x x Yes Yes No x No No DK WY No x x Yes DK No x No No No WFLHD No x x No x x x No No No EFLHD No x x No x x x No No No DK = Donât know
