Transcript Mn/DOT CS Pre-Qualification

Mn/DOT CS Pre-Qualification
Best Practices Review
August 19, 2002
Agenda
• Best Practices research plan & subsequent
adjustments
• How we determined Best Practices
• Results of Best Practices Review
– The States with best practices
– Overview of work-paper index
• Best Practice Findings for:
– Work-type definitions
– Work-type qualification criteria
– Process of creating a Pre-qualification List
Slide 2
August 19, 2002
The July Plan
• Research 13 states preliminarily identified for
best practices in pre-qualification; 8 states
identified for best practices in consultant
evaluation. Complete the question-set for all.
• Do research primarily on the Web with
subsequent follow-up telephone calls as needed.
• Conduct ALL best practice research before
defining Mn/DOT’s processes and
implementing Wave 1.
Slide 3
August 19, 2002
Adjustments to July Plan
• Focused research effort on the Web to obtain
– Pre-qualification process documentation;
– Work-type definitions
– Work-type pre-qualification criteria
• Focused analysis effort on Wave 1 work groups.
• Deferred follow-up telephone calls
• Deferred research into Best Practices for using a PreQualified list and doing consultant evaluations.
To meet the 9/3 deadline, the Phase 2 Best Practice research has
become a parallel activity with Phase 3. That makes it “messier”, but
doesn’t endanger achievement of the project’s objectives.
Slide 4
August 19, 2002
What is “Best Practice”
• Theory: Process Maturity
– Five Levels of Process Maturity
• Refer to: Process Maturity Article on L&C Web Page
• Application of theory focused on:
•
•
Criterion 1: Documented addresses the extent to which an organization’s
processes are documented. The least mature state of documentation maturity is
one in which processes typically are ad hoc, perhaps even chaotic. . . Alternatively,
in the most mature state, written documentation is not only consistent throughout
the organization, it is an intrinsic element of the process itself.
Criterion 2: Practiced criterion addresses the consistency of process
performance. In the least mature state, processes are practiced in an ad hoc or, at
best, intermittent manner. By contrast, the processes of a more mature organization
are practiced consistently and throughout the organization
Slide 5
August 19, 2002
Best Practice States
1. Alberta
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Post Selection
Evaluation
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2. Arizona
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3. Colorado
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4. Florida
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5. Georgia
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6. Iowa
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7. Kansas
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DOT
Pre-Qualified System
8. Louisiana
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9. Massachusetts
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10. Michigan
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11. Nevada
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12. New Brnswck.
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13. New Mexico
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14. Ohio
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15. Ontario
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16. Texas
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13
8
count
Slide 6
August 19, 2002
Introducing Workpaper Index
• Refer to Attached Document
DOTdatabase.xls
Slide 7
August 19, 2002
BP: Work-type Definitions
• Work type definitions are clearly delineated from the
qualifications required to perform the work. (i.e., A
work type is not defined by the required
qualifications)
(Georgia, Kansas, Florida, Iowa, Ohio)
• Work types are specifically assigned to a functional
entity or individual who is referred to as the “owner”.
(Iowa)
• Work types are defined systematically and
comprehensively, often consistent with the DOT’s
internal organization. (Kansas, Iowa)
Slide 8
August 19, 2002
BP: Work-type Definitions (2)
• Work type definitions are a part of the formal
pre-qualification process documentation. (I.e.,
a section within or an appendix to the formal
procedure or rule) (Georgia, Florida, Iowa, Ohio)
• Work types are defined at the departmental
activity level, not the task level.
(Georgia, Kansas, Florida, Iowa)
• Work types are defined in terms of process
outputs. (Georgia, Kansas, Florida, Iowa, Ohio)
Slide 9
August 19, 2002
BP: Correlation with Mn/DOT
Phase
I
I
I
I
I
II
II
II
II
II
II
II
II
III
III
III
III
III
III
III
WG # Work Group
1
Project Dev elopment/ Preliminary Design
2
Highway Design
3
Bridge Design
4
Bridge Inspection
Env ironmental Sudies
5
6
Materials Testing
7
Transportation Planning
8
Communications/Market Research
9
Mechanic Training
10
Architectural Design
11
Right of Way Assistance
12
Landscape Architecture
13
Land Surv ey s
14
Cultural Resources
15
CEI/Contract Administration
16
Right of Way Appraisals
17
Asbestos Abatement
18
Sewer Video Inspection
19
Pre-Construction Project Management
20
Traf f ic Engineering
Multi-modal
Total matched
# of Matches
6
16
19
14
20
19
19
0
0
7
8
11
23
4
9
9
1
0
0
19
34
238
of 246 possible
Slide 10
August 19, 2002
BP: Correlation with Mn/DOT
Sum of count
Mn/DOT Work Group Correlation
Asbestos Abatement
Cultural Resources
Project Dev elopment/ Preliminary Design
Architectural Design
Right of Way Assistance
(blank)
Right of Way Appraisals
CEI/Contract Administration
Landscape Architecture
Bridge Inspection
Highway Design
Bridge Design
Materials Testing
Traf f ic Engineering
Transportation Planning
Env ironmental Sudies
Land Surv ey s
Multi-Modal
Grand Total
BP State
1. Georgia
2. Kansas
1
2
1
2
1
2
3
1
5
1
6
4
4
3
5
2
8
14
59
1
4
4
2
4
3
2
7
3
4
9
49
3. Florida
4. Iowa
1
1
1
1
1
4
5. Ohio
2
8
6
3
1
4
3
4
6
6
5
4
44
3
1
4
1
3
3
5
4
4
2
7
7
11
62
2
2
2
2
2
4
8
32
Grand Total
1
4
6
7
8
8
9
9
11
14
16
19
19
19
19
20
23
34
246
Slide 11
August 19, 2002
BP: Qualification Criteria
• Qualification criteria are defined for each work type
defined.
(Georgia, Kansas, Florida, Iowa, Ohio)
• Qualification criteria are focused on the technical
requirements of the work type.
(Georgia, Kansas, Florida, Iowa, Ohio)
• Technical requirements are defined to include
– Description of the professional staff
(I.e., “a registered engineer… with proficiency”)
(Georgia, Kansas, Florida, Iowa, Ohio)
– Capacity (I.e., “at least two engineers…”)
(Georgia, Kansas, Florida, Iowa, Ohio)
– Past record and experience of the Firm
(Georgia, Kansas, Florida, Iowa, Ohio)
Slide 12
August 19, 2002
BP: Qualification Criteria (2)
• The experience of “individuals” (used to satisfy
“staff proficiency” requirements) is separated from
the past record and experience of the Firm. (Georgia)
• Submittal requirements are defined separately from
qualification requirements. (Ohio)
• Quality assurance (QA) and quality control (QC)
requirements are uniquely identified. (Ohio)
• Administrative qualifications are uniquely identified.
(Georgia, Kansas, Florida, Iowa, Ohio)
Slide 13
August 19, 2002
BP: Process to Create the List
• A formal documented process exists to create and
update the list.
(Georgia, Florida, Iowa, Ohio)
• The process is always open.
(Georgia, Florida, Iowa, Ohio)
• The pre-qualification expires.
(Georgia-3, Florida-1, Iowa-1, Ohio-2)
• Administrative pre-qualification criteria (separate
from technical criteria) are predefined and
documented.
(Georgia, Florida, Iowa, Ohio)
Slide 14
August 19, 2002
BP: Process to Create the List (2)
• Forms are a part of the documented process
(Georgia, Florida, Iowa, Ohio)
• Selection Committees are pre-determined
(Georgia, Iowa)
• A formal appeals process exists and is
documented. (Georgia, Florida, Iowa)
• A proactive DBE policy/process exists and is
documented (Iowa)
Slide 15
August 19, 2002