Florida Regulations 14-75.0022: Consultant Qualification Process
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(1) This rule chapter establishes minimum qualification standards by type of work for consultants, the consultant competitive selection process, and the work performance evaluation system for professional consultants who seek to provide professional services to the Department pursuant to Sections 287.055, 337.107 and 337.1075, F.S.
(2) The provisions of Fl. Admin. Code R. 28-106.103, will be used in computing any period of time prescribed by this rule chapter.
(3) Application for Qualification.
(a) A Professional Consultant who desires to qualify with the Department shall submit a Request for Qualification Package for Professional Consultants, Form No. 375-030-01, Rev. 01/06, incorporated herein by reference, which may be obtained from the Procurement Office, MS 20, Haydon Burns Building, 605 Suwannee Street, Tallahassee, Florida 32399-0450, or from the Department’s web page at http://www.dot.state.fl.us/procurement/.
(b) Professional Consultants who are not qualified at the time of advertisement for a consultant project must file with the Department a completed Request for Qualification Package for Professional Consultants on or before the project’s advertised letter of response date. The Department is not obligated to delay any part of the consultant selection process or the execution of a contract, for a consultant who has not been qualified.
(c) The Request for Qualification Package for Professional Consultants will include the following items:
1. An audit report prepared by an independent Certified Public Accountant or governmental agency. The audit report must be received by the Department within six months of the end of the fiscal year it addresses, and will include the following:
a. A statement indicating the existence of an adequate accounting system that meets the Department’s audit requirements, as evidenced by certification by an independent Certified Public Accountant or governmental agency. The system must be adequate to support all billings made to the Department and other clients.
b. A statement indicating the direct labor costs incurred, listing allocable indirect costs, and listing other direct costs incurred for the most recently completed fiscal year.
c. A statement of reimbursement rates for indirect costs (overhead), direct expenses, and Facilities Capital Cost of Money (FCCM) for the most recently completed fiscal year.
d. A statement that the consultant’s method of estimating costs for proposals is consistent with the accounting system.
e. A statement that the audit was performed in accordance with generally accepted governmental auditing standards, the Department’s Reimbursement Rate Audit Guidelines, 2005, and the Government Auditing Standards, 2003 Revision, published by the U.S. Government Printing Office, which are hereby incorporated by reference.
2. Consultants who have been operating for less than one complete fiscal year, consultants who have reorganized to the extent that the most recent reimbursement rate audit does not reflect currently valid reimbursement rates, and consultants who have established and operated an accounting system in accordance with the minimum standards provided in the Department’s Reimbursement Rate Audit Guidelines, 2005, for a period of less than one year, will prepare a projected overhead direct expense, and FCCM rates which will be supported by estimated revenues and expenditures for the first fiscal year’s operations since organization, reorganization, or implementation of the acceptable accounting system. The Department’s Office of Inspector General shall review the estimate and establish provisional reimbursement rates, which may be used in Department contracts until the consultant has completed its first fiscal year of operation, at which time the consultant shall submit an annual reimbursement rate audit performed by an independent Certified Public Accountant or governmental agency.
3. Consultants requesting qualification for minor projects only, with contract fees under $250,000, or consultants qualifying solely for contracting under Group 20, Appraisal Services, or Group 22, Acquisition Business Damage Estimating and Estimate Review, in any dollar amount, are not required to submit a reimbursement rate audit. They may submit a self-certified overhead report and statement describing their accounting system, certified by a principal, in lieu of an audit report and accounting system certification prepared by an independent Certified Public Accountant or governmental agency. Such report will be in the format specified in the Department’s Reimbursement Rate Audit Guidelines, 2005.
4. Proof of professional liability insurance by one of the following methods:
a. Submittal of a current certificate of professional liability insurance from a company or companies authorized to do business in Florida; or an unequivocal commitment letter from such an insurance company stating that professional liability insurance would be provided to the applicant; or
b. Submittal of a commitment letter from a financial institution meeting the requirements of Florida Statutes § 337.106, stating that a nonassignable and nontransferable irrevocable letter of credit, established pursuant to Chapter 675, and Florida Statutes § 337.106, and Rule Fl. Admin. Code Chapter 14-116, can be provided to the applicant in a minimum amount of $250,000.
(4) Procedure.
(a) Within 30 days after receipt of a completed Request for Qualification Package for Professional Consultants, the Department shall examine the application and notify the applicant in writing of any apparent errors or omissions, and request any additional information required by the Department to properly evaluate the application. The applicant shall submit any requested information to the Department within 30 days of receipt of the Department’s request for such information. The Department shall process the application within 30 days after receipt of the requested additional information or correction of apparent errors or omissions. If the information is not provided within 30 days after receipt of the request, the application shall be processed with the information provided.
(b) Upon receipt of a complete application the Department shall make such inquiries and investigations as deemed necessary to verify and evaluate the applicant’s statements and determine competency for qualification.
(c) Information which the Department shall consider in determining whether a consultant is qualified to perform the types of work shall include:
1. Current license or registration as regulated by the State of Florida or national organizations, as appropriate.
2. Personnel with appropriate experience and training as detailed in the type of work qualifications.
3. Registration with the Florida Department of State, if the applicant is a corporation or limited partnership.
4. Past performance on Department contracts.
5. Integrity and responsibility, which shall include history of debarment or suspension from consideration for work with any other governmental entity.
6. History of conviction for contract crime pursuant to Florida Statutes § 337.165, and Fl. Admin. Code R. 14-75.0071, by the applicant or its affiliate, including reapplication or reinstatement.
7. Employment of, or otherwise providing compensation to, any employee or officer of the Department.
8. Willfully offering an employee or officer of the Department any pecuniary or other benefit with the intent to influence the employee or officer’s official action or judgment.
9. The acceptability of the supporting reimbursement rate, accounting system, and insurance information.
(d) Audit reports are subject to review by the Department. The consultant will provide additional information and documentation upon request by the Department.
(e) If the Department intends to deny the application, or deny qualification for any type of work, the Department shall state in writing and with particularity the grounds or reasons for the denial, and shall inform the applicant of the right to a hearing pursuant to Florida Statutes § 120.57 Delivery of the Notice of Intent to Deny shall be made by certified mail, return receipt, to the address listed in the applicant’s application for qualification.
(5) Period of Validity of Qualification. The period of qualification will be no more than one year and will expire annually six months after the end of the consultant’s fiscal year. Application for renewal must be received by the Department no later than five months after the end of such fiscal year.
(6) Changes in Qualification Status.
(a) A consultant shall submit a revised application in the event a change in the status of its firm occurs, including a change of ownership, a change in the form of the business entity under which the firm operates, a change in any of the staff used to qualify the firm to perform any type of work, or any other change which affects an element the Department considers under Fl. Admin. Code R. 14-75.0022, when initially qualifying consultants. A revised application may be the basis for notice of agency action under Fl. Admin. Code R. 14-75.0051
(b) A consultant need not submit a revised application solely because of any change in the officers or the name of a corporation, but such information shall be certified to the Department within ten days of its occurrence.
(7) A consultant may apply for qualification up to three months prior to the expiration of an existing qualification.
Rulemaking Authority 287.055, 334.044(2), 337.105 FS. Law Implemented 287.055, 337.107, 337.1075, 337.167 FS. History-New 3-29-89, Amended 1-2-91, 9-29-92, 2-22-94, 8-5-96, 1-17-99, 8-2-01, 4-29-03, 6-15-04, 5-15-06.
Terms Used In Florida Regulations 14-75.0022
- Appraisal: A determination of property value.
- Contract: A legal written agreement that becomes binding when signed.
- Conviction: A judgement of guilt against a criminal defendant.
- Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
- Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
- Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
(3) Application for Qualification.
(a) A Professional Consultant who desires to qualify with the Department shall submit a Request for Qualification Package for Professional Consultants, Form No. 375-030-01, Rev. 01/06, incorporated herein by reference, which may be obtained from the Procurement Office, MS 20, Haydon Burns Building, 605 Suwannee Street, Tallahassee, Florida 32399-0450, or from the Department’s web page at http://www.dot.state.fl.us/procurement/.
(b) Professional Consultants who are not qualified at the time of advertisement for a consultant project must file with the Department a completed Request for Qualification Package for Professional Consultants on or before the project’s advertised letter of response date. The Department is not obligated to delay any part of the consultant selection process or the execution of a contract, for a consultant who has not been qualified.
(c) The Request for Qualification Package for Professional Consultants will include the following items:
1. An audit report prepared by an independent Certified Public Accountant or governmental agency. The audit report must be received by the Department within six months of the end of the fiscal year it addresses, and will include the following:
a. A statement indicating the existence of an adequate accounting system that meets the Department’s audit requirements, as evidenced by certification by an independent Certified Public Accountant or governmental agency. The system must be adequate to support all billings made to the Department and other clients.
b. A statement indicating the direct labor costs incurred, listing allocable indirect costs, and listing other direct costs incurred for the most recently completed fiscal year.
c. A statement of reimbursement rates for indirect costs (overhead), direct expenses, and Facilities Capital Cost of Money (FCCM) for the most recently completed fiscal year.
d. A statement that the consultant’s method of estimating costs for proposals is consistent with the accounting system.
e. A statement that the audit was performed in accordance with generally accepted governmental auditing standards, the Department’s Reimbursement Rate Audit Guidelines, 2005, and the Government Auditing Standards, 2003 Revision, published by the U.S. Government Printing Office, which are hereby incorporated by reference.
2. Consultants who have been operating for less than one complete fiscal year, consultants who have reorganized to the extent that the most recent reimbursement rate audit does not reflect currently valid reimbursement rates, and consultants who have established and operated an accounting system in accordance with the minimum standards provided in the Department’s Reimbursement Rate Audit Guidelines, 2005, for a period of less than one year, will prepare a projected overhead direct expense, and FCCM rates which will be supported by estimated revenues and expenditures for the first fiscal year’s operations since organization, reorganization, or implementation of the acceptable accounting system. The Department’s Office of Inspector General shall review the estimate and establish provisional reimbursement rates, which may be used in Department contracts until the consultant has completed its first fiscal year of operation, at which time the consultant shall submit an annual reimbursement rate audit performed by an independent Certified Public Accountant or governmental agency.
3. Consultants requesting qualification for minor projects only, with contract fees under $250,000, or consultants qualifying solely for contracting under Group 20, Appraisal Services, or Group 22, Acquisition Business Damage Estimating and Estimate Review, in any dollar amount, are not required to submit a reimbursement rate audit. They may submit a self-certified overhead report and statement describing their accounting system, certified by a principal, in lieu of an audit report and accounting system certification prepared by an independent Certified Public Accountant or governmental agency. Such report will be in the format specified in the Department’s Reimbursement Rate Audit Guidelines, 2005.
4. Proof of professional liability insurance by one of the following methods:
a. Submittal of a current certificate of professional liability insurance from a company or companies authorized to do business in Florida; or an unequivocal commitment letter from such an insurance company stating that professional liability insurance would be provided to the applicant; or
b. Submittal of a commitment letter from a financial institution meeting the requirements of Florida Statutes § 337.106, stating that a nonassignable and nontransferable irrevocable letter of credit, established pursuant to Chapter 675, and Florida Statutes § 337.106, and Rule Fl. Admin. Code Chapter 14-116, can be provided to the applicant in a minimum amount of $250,000.
(4) Procedure.
(a) Within 30 days after receipt of a completed Request for Qualification Package for Professional Consultants, the Department shall examine the application and notify the applicant in writing of any apparent errors or omissions, and request any additional information required by the Department to properly evaluate the application. The applicant shall submit any requested information to the Department within 30 days of receipt of the Department’s request for such information. The Department shall process the application within 30 days after receipt of the requested additional information or correction of apparent errors or omissions. If the information is not provided within 30 days after receipt of the request, the application shall be processed with the information provided.
(b) Upon receipt of a complete application the Department shall make such inquiries and investigations as deemed necessary to verify and evaluate the applicant’s statements and determine competency for qualification.
(c) Information which the Department shall consider in determining whether a consultant is qualified to perform the types of work shall include:
1. Current license or registration as regulated by the State of Florida or national organizations, as appropriate.
2. Personnel with appropriate experience and training as detailed in the type of work qualifications.
3. Registration with the Florida Department of State, if the applicant is a corporation or limited partnership.
4. Past performance on Department contracts.
5. Integrity and responsibility, which shall include history of debarment or suspension from consideration for work with any other governmental entity.
6. History of conviction for contract crime pursuant to Florida Statutes § 337.165, and Fl. Admin. Code R. 14-75.0071, by the applicant or its affiliate, including reapplication or reinstatement.
7. Employment of, or otherwise providing compensation to, any employee or officer of the Department.
8. Willfully offering an employee or officer of the Department any pecuniary or other benefit with the intent to influence the employee or officer’s official action or judgment.
9. The acceptability of the supporting reimbursement rate, accounting system, and insurance information.
(d) Audit reports are subject to review by the Department. The consultant will provide additional information and documentation upon request by the Department.
(e) If the Department intends to deny the application, or deny qualification for any type of work, the Department shall state in writing and with particularity the grounds or reasons for the denial, and shall inform the applicant of the right to a hearing pursuant to Florida Statutes § 120.57 Delivery of the Notice of Intent to Deny shall be made by certified mail, return receipt, to the address listed in the applicant’s application for qualification.
(5) Period of Validity of Qualification. The period of qualification will be no more than one year and will expire annually six months after the end of the consultant’s fiscal year. Application for renewal must be received by the Department no later than five months after the end of such fiscal year.
(6) Changes in Qualification Status.
(a) A consultant shall submit a revised application in the event a change in the status of its firm occurs, including a change of ownership, a change in the form of the business entity under which the firm operates, a change in any of the staff used to qualify the firm to perform any type of work, or any other change which affects an element the Department considers under Fl. Admin. Code R. 14-75.0022, when initially qualifying consultants. A revised application may be the basis for notice of agency action under Fl. Admin. Code R. 14-75.0051
(b) A consultant need not submit a revised application solely because of any change in the officers or the name of a corporation, but such information shall be certified to the Department within ten days of its occurrence.
(7) A consultant may apply for qualification up to three months prior to the expiration of an existing qualification.
Rulemaking Authority 287.055, 334.044(2), 337.105 FS. Law Implemented 287.055, 337.107, 337.1075, 337.167 FS. History-New 3-29-89, Amended 1-2-91, 9-29-92, 2-22-94, 8-5-96, 1-17-99, 8-2-01, 4-29-03, 6-15-04, 5-15-06.