AASHTO GCC-2008 GUIDE FOR CONSULTANT CONTRACTING (Revision 1)《签订顾问合同的指南.修改件1》.pdf

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1、American Association of State Highway and Transportation O cials 444 North Capitol Street, NW, Suite 249 Washington, DC 20001 www.transportation.org Publication code: GCC-1 | ISBN: 978-1-56051-401-5 GUIDE FOR CONSUL TANT CONTRACTING MARCH 2008 AMERICAN ASSOCIATION OF STATE HIGHWAY AND TRANSPORTATION

2、 OFFICIALSMARCH 2008 AMERICAN ASSOCIATION OF STATE HIGHWAY AND TRANSPORTATION OFFICIALS GUIDE FOR CONSUL TANT CONTRACTING 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.ii | Guide for Consultant Contra

3、cting 2008, by American Association of State Highway and Transportation O cials. All rights reserved. This book, or parts thereof, may not be reproduced in any form without written permission of the publisher. Printed in the United States of America. Publication Code: DS-GCC-1 ISBN: 978-1-56051-401-

4、5 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Guide for Consultant Contracting | iii American Association of State Highway and Transportation O cials Executive Committee 20072008 President: Pete Rah

5、n, Missouri Vice President: Allen D. Biehler, P .E., Pennsylvania Secretary/Treasurer: Carlos Braceras, Utah Regional Representatives REGION I David A. Cole, Maine, One-Year Term Kris Kolluri, New Jersey, Two-Year Term REGION II Stephanie Kopelousos, Florida, One-Year Term Butch Brown, Mississippi,

6、Two-Year Term REGION III Debra Miller, Kansas, One-Year Term Kirk Steudle, Michigan, Two-Year Term REGION IV Gary Ridley, Oklahoma, One-Year Term Rhonda Faught, New Mexico, Two-Year Term Non-Voting Members Immediate Past President: Victor M. Mendez, Arizona Executive Director: John Horsley, Washingt

7、on, D.C. 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.iv | Guide for Consultant Contracting 20072008 Subcommittee on Design Chair: Carolann D. Wicks, Delaware Vice-Chair: Richard Land, California Sec

8、retary: Dwight A. Horne, FHWA AASHTO Liaison: Jim McDonnell, AASHTO Alabama William Adams Rex Bush Steven E. Walker Alaska Robert Campbell Mark Neidhold Arizona Mary Viparina Arkansas CharlesD. Clements Phillip L. McConnell California Mark Leja Colorado Tim Aschenbrener Connecticut Micahel W. Lonerg

9、an James H. Norman Delaware Michael F. Balbierer James M. Satter eld Michael H. Simmons District of Columbia Zahra Dorriz Allen Miller Kathleen Linehan Penney Florida James Mills David OHagan Georgia James“Ben” Buchan Brent Story Hawaii Julius Fronda Idaho Damon Allen Loren D. Thomas Illinois Eric E

10、. Harm Indiana Merril E. Dougherty Gary Mroczka Iowa Michael J. Kennerly David L. Little Deanna Mai eld Kansas Richard G. Adams Lamonte C. Armstrong James O. Brewer Kentucky Je D Jasper David Kratt Robert D. Martin Louisiana Nicholas Kalivoda Lloyd E. Porta Maine Todd Pelletier Maryland Robert D. Do

11、uglass Kirk G. McClelland Massachusetts Stanley Wood Michigan Mark A. Van Port Fleet Minnesota Mukhtar Thakur Mississippi David Foster C. Keith Purvis John M. Reese Missouri Kathryn P . Harvey David B. Nichols Montana Paul R. Ferry Lesly Tribelhorn Nebraska James J. Knott Ted Watson 2008 by the Amer

12、ican Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Guide for Consultant Contracting | v Nevada Daryl N. James Paul K. Sinnott New Hampshire Craig A. Green New Jersey Richard W. Dunne Kiran B. Patel Brian J. Strizki New Me

13、xico Gabriela Contreras-Apodaca Joe S. Garcia Dennis R. Valdez New Y ork Daniel DAngelo Richard W. Lee North Carolina Deborah M. Barbour Jay A. Bennett Art McMillan North Dakota Mark Gaydos Ohio Dirk Gross Timothy McDonald Oklahoma Tim Tegeler Oregon Steven R. Lindland David Joe Polly Pennsylvania R

14、. Scott Christie Brian D. Hare Puerto Rico Jos E. Santana-Pimentel Luis Santos Rhode Island J. Michael Bennett South Carolina Mark Lester Matt Lifsey John V. Walsh South Dakota Michael Behm Mark A. Leiferman Tennessee Michael Agnew Je C. Jones Texas Mark A. Marek Utah Michael Fazio James C. McMinime

15、e Vermont Kevin Marshia Virginia Robert H. Cary Mohammad Mirshahi Barton A. Thrasher Washington Richard Albin Pasco Bakotich West Virginia Gregory Bailey Jason C. Foster Wisconsin Jerry H. Zogg Wyoming Paul P . Bercich Tony Laird Alberta Allan Kwan British Columbia Richard Voyer FAA Rick Marinelli N

16、.J. Turnpike Authority J. Lawrence Williams Ontario Joe Bucik Port Authority of NY and NJ Scott D. Murrell Saskatchewan Sukhy Kent USDA Forest Service Ellen G. LaFayette 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of

17、 applicable law.vi | Guide for Consultant Contracting 20072008 Technical Committee on Preconstruction Engineering Management Chair Robert H. Cary Virginia Region 2 Vice Chair Barry Horst Missouri Region 3David J. Azzato Pennsylvania Region 1Kevin Marshia Vermont Region 1Deborah M. Barbour North Caro

18、lina Region 2Robert I. Pratt South Carolina Region 2Richard G. Adams Kansas Region 3Je Clanton Indiana Region 3Mukhtar Thakur Minnesota Region 3Nigel Blampied California Region 4Tim Gatz Oklahoma Region 4Thomas J. Lauer Oregon Region 4Saeed Choudhary Ontario Other 2008 by the American Association of

19、 State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Guide for Consultant Contracting | vii Table of Contents EXECUTIVE SUMMARY xi CHAPTER 1: INTRODUCTIONUSING CONSUL TANTS 1 1.1 State Surveys 1 1.2 Consultant Surveys 3 1.3 Chapter Overviews

20、4 1.4 Conclusion . 6 CHAPTER 2: AGENCY CONSIDERATIONS 7 2.1 Need for Consulting Engineering Services . 7 2.2 Structure Types 82.2.1 Centralized for Contract Administration Only .82.2.2 Centralized for All Aspects of Contracting 82.2.3 Decentralized .82.2.4 Consultant Managed Contracting .92.2.5 Comb

21、ination 9 2.3 Roles and Responsibilities 9 2.4 Resource Requirements .10 2.5 Training 10 CHAPTER 3: CONSUL TANT PROGRAM 13 3.1 Setting Up a Consultant Program 13 3.2 Types of Consulting Services 14 3.3 Consultant Selection .15 3.4 Legal Contract . 15 3.5 Consultant Audits .16 3.6 Managing Consultant

22、 Program .16 3.7 Industry Liaison .16 CHAPTER 4: SELECTING CONSULTANTS 17 4.1 Selection . 17 4.2 Selection Methods .184.2.1 Competitive Selection .184.2.2 Noncompetitive Selection .194.2.3 Selection/Assignment of “On-Call” Contracts .194.2.4 Competitive Bidding 19 4.2.5 Value-Based Selection .20 4.3

23、 Identify Need, Establish Preliminary Scope and Schedule, and Procure Consultant .204.3.1 Establish Selection Committee 214.3.2 Establish Selection Criteria 214.3.3 Qualifying/Pre-Qualifying . 234.3.4 Request Statement of Interest or Qualifications (RFQ) 23 2008 by the American Association of State

24、Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.viii | Guide for Consultant Contracting4.3.5 Review Responses and Develop Short List 244.3.6 Pre-Proposal Scoping Conference. 244.3.7 Request for Technical ProposalRequest for Proposals (RFP) . 24

25、4.3.8 Receive and Evaluate Technical Proposals/Conduct Interviews (Optional) 254.3.9 Final Ranking, Approval and Notifications . 25 4.4 Other Selection Methods .25 CHAPTER 5: NEGOTIATING AND CONTRACTING 27 5.1 Contract Type 275.1.1 Project Specific Contracts 275.1.2 Multiphase Contracts 285.1.3 On-C

26、all Contracts .28 5.2 Payment Methods .285.2.1 Cost Plus Fixed Fee .295.2.2 Lump Sum .305.2.3 Cost per Unit of Work 305.2.4 Specific Rates of Compensation 305.2.5 Variances 31 5.3 Audits .315.3.1 Preaward Audits 315.3.2 Audits of Subconsultants .315.3.3 Final Audits 32 5.4 Detailed Scope of Services

27、 . 32 5.5 Negotiate a Contract 335.5.1 Direct Payroll .335.5.2 Escalation .345.5.3 Premium Pay .345.5.4 Work Shift Differential 345.5.5 Indirect Costs 345.5.6 Direct Costs Other Than Payroll .355.5.7 Fixed Fee or Profit 355.5.8 Costs by Subconsultants .355.5.9 Non-Professional Services 36 5.6 Negoti

28、ation Guidelines for Methods of Payment .365.6.1 Engineers Independent Estimate .365.6.2 Cost Plus Fixed Fee 375.6.3 Specific Rate of Compensation 375.6.4 Lump Sum and Cost per Unit of Work .375.6.5 Agency Certification .38 5.7 Contract Language 385.7.1 Definitions 385.7.2 Errors and Omissions .385.

29、7.3 Indemnity (Liability) .395.7.4 Insurance 39 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Guide for Consultant Contracting | ix 5.7.5 Key Personnel .405.7.6 Dispute Resolution .405.7.7 Disadvantag

30、ed Businesses .405.7.8 Extensions, Modifications, and Terminations 405.7.9 Subconsultants 415.7.10 Special Considerations 41 5.8 Legal Review 41 5.9 Contract Execution 42 CHAPTER 6: MANAGING CONSULTANTS . 43 6.1 Agency Project Manager Responsibilities .45 6.2 Authority 46 6.3 Communication 46 6.4 Te

31、chnical Monitoring (Scope of Services and Technical Compliance) .476.4.1 Project Management System .476.4.2 Electronic Transfer of Technical Data .476.4.3 Progress Reports . 476.4.4 Quality Control and Quality Assurance .486.4.5 Scheduled Review Meetings .486.4.6 Performance Evaluations 486.4.7 Budg

32、et Control .49 6.5 Key Personnel .49 6.6 Disputes50 6.7 Post-Design Services .50 6.8 Errors and Omissions .51 6.9 Administrative Monitoring (Contract Terms and Conditions) 53 6.10 Maintaining the Contract File .53 6.11 Notice to Proceed .53 6.12 Stop-Work Notification .54 6.13 Payment Control .54 6.

33、14 Modifications 55 6.15 Subconsultants and Other Service Providers .56 6.16 Retainage .56 6.17 Final Deliverables 56 6.18 Contract Closeout .57 6.19 Performance Measures .57 APPENDICES Appendix ASummary of Responses to the State Questionnaire59 Appendix BSummary of Responses to the Consultant Quest

34、ionnaire 77 Appendix CConsultant Contracts 91 Appendix DConsultant Evaluations . 121 Appendix ETraining for Agency Staff. 133 2008 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.x | Guide for Consultant Con

35、tracting FIGURES Figure 1-1. Consultant Selection Process . 2 Figure 6-1. Progress Report.48 Figure 6-2. Flowchart Demonstrating Potential Design Errors and Omissions 52 TABLES Table 6-1. Example of a Responsibility Assignment Matrix .50 2008 by the American Association of State Highway and Transpor

36、tation Officials. All rights reserved. Duplication is a violation of applicable law.Guide for Consultant Contracting | xi Executive Summary The use of engineering consultants by state transportation agencies continues to be important in providing the appropriate solutions to transportation needs. Th

37、is publication replaces the Guide for Contracting, Selecting and Managing Consultants in Preconstruction Engineering, published by AASHTO in 1996. In order to assess current practices, questionnaires were developed for both state and consultant practitioners. The responses showed signi cant growth i

38、n the volume of work done by consultants and in the range of services provided by consultants. The results of these surveys, along with the collective experience and expertise of the technical commit- tee membership, were used to restructure much of the guide and to update and expand the discussion

39、of current practices for the e ective use of consultants. Transportation agencies are challenged to adjust to dynamic programs and large uc- tuation in workload. They face more complex projects that carry increasing tra c volumes, through environmentally sensitive, restricted, or highly developed co

40、rridors. As such there is an increased focus on context sensitivity to provide solutions that least disrupts the public or natural environment. In addition, agencies are facing signi cant technological changes in how business is conducted. Sta ng limitations, hiring freezes, and other constraints ar

41、e adding pressures to the expectations of delivering high quality projects on time and within budget. Engineering consultants are a key resource that can supplement the agencys own professional sta to work through these dynamics and deliver transportation improvement programs. All transportation age

42、ncies use consultants to some degree. Each agency has devel- oped processes, procedures, and policies to address the selection, contracting issues, and management of consultants. These processes and practices may be mandated by state law or in uenced by federal requirements. Whether the transportati

43、on agency is centralized or decentralized, organized to manage projects within the functional units or as a separate responsibility, the expected results are the same. Agency leaders expect that project devel- opment will be seamless regardless of whether it is accomplished by in-house sta or by use

44、 of consultant resources. Transportation agency leaders generally do not consider the use of consultant services to be a cost saving measure but rather a necessary response to having limited in-house sta available to deliver the transportation program. Much attention should be given to the contracti

45、ng issues to ensure that a quality product is delivered in a cost e ective manner. Therefore, considerable attention is given to the processes for selecting a consultant, de- veloping and agreeing on a contract, and then managing that contract and the associated project work activities. 2008 by the

46、American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.xii | Guide for Consultant Contracting This guide is a reference for agencies to use in further developing their consultant pro- gram, organizing and training their s

47、ta , selecting consultants, developing consultant con- tracts, and managing their consultant program. An underlying principle of this guide is that every step of the consultant contracting, selection, and management process is directed toward producing a quality project. While principally focused on

48、 the project development process, the wide range of issues involved in selecting and managing consultants have ap- plication to many areas in transportation. The design-build concept is being used by some state departments of transportation as an alternate delivery method. Due to the growing use of

49、the design-build approach, the “AASHTO Joint Technical Committee on Design Build” has been directed to focus on design-build and the many issues associated with this project delivery process. As a result, this document does not address procurement of consultants for design-build projects. This document focuses on the use of consultants in the conventional design-bid-build approach where the Department contracts directly with the consultant. As this guide was updated, the common thread which was most often mentioned as being importan