Frequently Asked Question

Consultant Inspection Question:
What is included in Process Control for Construction Inspection?

Answer:
The following is the Process control document.
Process Control
For
Consultant Inspection Contract Issues
1) Contractual Violations
a) Major Violations – this includes the following example:
1. Fraud (intentional modification of data / information without supportive justification intended to deceive the recipient).
Sanction: Any violation calls for immediate debarment procedures.
b) Intermediate Violations – this includes the following as examples:
1. Inspector working without a PennDOT executed wage rate approval by letter or in ECMS.
2. Inspector working in a classification for which he does not qualify. Inspector’s resume has to support the check box in the Construction Inspection Qualification report – by month/year and specific work activity. Consultant firm needs to be prepared to stand behind the Inspector’s qualifications statement.
Sanctions: (Prime Consultant)
First violation within a running two-year period is a written notification of violation and required submission of a corrective action plan by Consultant within 30 days.
Second violation (the consultant can only get 1 violation at a time. Subsequent violations can only be issued on submissions after 30 days from previous violation) within a running two-year period is written notification of second violation and a warning that next occurrence is three-month preclusion from submitting a Statement of Interest as a prime or subconsultant on any PennDOT construction inspection project.
Third violation within a running two-year period is three-month preclusion from submitting a Statement of Interest as a prime or subconsultant on any PennDOT construction inspection project.
Fourth and subsequent violations within a running two-year period are twelve month preclusion from submitting a Statement of Interest as a prime or subconsultant on any PennDOT Construction Inspection Project.
c) Minor Violations – this includes the following as examples:
1. Substitution made with less qualified personnel. Substitutions needs to be equal to or better than the resume(s) submitted in the Statement of Interest. Consultant firm needs to be prepared to stand behind the skillset of the substitute.
2. Failure of Inspector to maintain required registrations/certifications for the duration of the project. Inspector must maintain registration/certification for the pay classification. In the event a certification lapses, the Consultant firm must submit a revised (downgraded) wage rate approval letter for that reduced classification, noting the future effective date of the rate change. This revised wage rate approval must be executed by the Department prior to the lapse in certification or it is an intermediate violation – working in classification not qualified for.
Sanctions:
First violation within a running one-year period is a written notification of violation.
Second violation (a minimum of 30 days after receipt of notification of the first violation) within a running one-year period is written notification of second violation and required submission of a corrective action plan within 30 days.
Third violation within a running one-year period is written notification of third violation and a warning that next occurrence is three-month preclusion from submitting a Statement of Interest on any PennDOT construction inspection project.
Fourth and subsequent violation within a running one-year period is three-month preclusion from submitting a Statement of Interest on any PennDOT construction inspection project.
2) Subconsultants
The prime consultant has the responsibility to manage the subconsultant and conduct a cursory review of the subconsultant employee’s resume on its face.
In the event of an Intermediate or Minor Violation, where the violation constitutes an error on its face or subconsultant’s inspector is working without a PennDOT executed wage rate approval letter, both the prime and subconsultant are subject to the full sanction. However, if an Intermediate or Minor Violation occurs with a subconsultant that is not evident through a cursory review, including expiration of certifications, the sanctions listed above will be levied in full force to the subconsultant and at a 25 percent rate to the prime consultant (4 violations occur before the sanctions are implemented for the prime consultant).
3) Administrative Deficiencies – this includes the following as examples:
a) Justification for substitutions not provided; the Consultant should provide substitutes that are equal to or exceed the qualifications of the staff proposed in the Statement of Interest, as approved by the Department. The Consultant must clearly describe the reason for the substitution request and must demonstrate that the substitute is equivalent or better based on one or more of the following:
Equal or Higher Pay Grade
or
Total Experience
or
Experience on that Type of Project
On all Open End Agreements, or other agreements where Notice to Proceed occurs more than two weeks after the anticipated published NTP date, the Consultant is entitled, if necessary, to request relief regarding proposed substitutions without prejudice by the Department. The Consultant should contact Contract Management Section, Highway Delivery Division to request relief. this request mus be via email to RA-pdconsult-waiver@pa.gov
b) Resume submitted with incomplete data (invalid); Inspector resumes must clearly delineate, by month and year, and specific work activity, the skillset of the Inspector.
c) Wage rates proposed outside the approved range for the classification;
d) Failure to properly sign and date all required submissions;
SANCTIONS:
First violation within a running one-year period is a written notification of violation.
Second violation (a minimum of 30 days after receipt of notification of the first violation) within a running one-year period is written notification of second violation and the required submission of a corrective action plan within 30 days.
Third and subsequent violations – the number and severity of administrative deficiencies will be considered when the Department completes the “Consultant Performance Report.”
4) Appeal Process
Upon notification of a violation by the Department, (Intermediate Violation, Minor Violation or Administrative Deficiency) the Consultant firm may request an Administrative Review of the particular circumstances of the violation. The consultant has a period of up to 21 working days to request an Administrative Review. This Review will be chaired by the Bureau Director for Construction and Materials and the Consultant firm, PennDOT Central Office Staff, and ACEC/PA’s Executive Vice President will attend. The intent of this Review, while it is not a legal hearing, is to determine the validity of the violation by a third party. If the violation is found to have merit and stand, the Consultant firm will be required to accept the designated sanction. If the violation is found to be without merit, the violation will be expunged from the Consultant firm’s record with the Department. In the event that the consultant is not satisfied with the outcome of the Administrative Review, they may at their option, request a formal hearing.
This Administrative Review process is available to the Consultant firm at any point during the sanction process, in order to ensure that the terms of the Contract at issue is clearly understood by both parties.
Stay in Time Frame
In the event of an Intermediate or Minor Violation, or Administrative Deficiency, and the Consultant requests an Administrative Review or formal hearing, there will be a stay in the timeline until the Review process is completed.


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Created byLast Modified by
Julius B Sanders/PennDOT
on 09/10/2007 at 10:03:27 AM
Booker T Bates/PennDOT
on 02/24/2012 at 11:21:07 AM