Submittal Instructions

Not for use with Commercial Rate Contracts – Please contact the respective Contract Grant Specialist for a Commercial Rate Contract version of this document if needed.

Section A – Consultant’s Detailed Technical Proposal

• The Detailed Technical Proposal must be submitted on the Consultant’s letterhead and must include a list of deliverables and date(s) of delivery. 
• The Detailed Technical Proposal, which has been accepted by MaineDOT’s Project Manager, must demonstrate the Consultant’s understanding of the proposed work and detail the Consultant’s proposed approach to the work.

Section B – Consultant’s Detailed Cost Proposal Form

The Consultant’s Proposal for a new project location OR contract modification must include the following:

Completed Consultant’s Detailed Cost Proposal Form 

State Work Identification Number (WIN) (formerly PIN), project location, phase of work, firm name and address and a contact name and e-mail address.

Direct Labor Expenses / Employee Classifications: 2023 New Wage Cap Limit Memos The Proposal must include each employee’s direct labor expenses based on their actual rate of pay along with each employee’s respective classification of labor. If using an average rate for a classification, please indicate the employee’s names and classifications on the Appendix A-1 Form.

Proposed Overhead Rate: The Proposal shall reflect the Consultant’s most current Overhead Rate. If there are changes to the Overhead Rate after contract execution, the consultant must submit an updated Audited Overhead Report or Complied Overhead Rate to MaineDOT’s Office of Audit for approval and acceptance.

Fixed Fee or Profit: The proposed fixed fee or profit is based on project specific factors such as degree of risk, relative difficulty of work, size of job, etc., and must fall within the range of 6% - 15%.

Itemized Direct Non Salary Expenses (Direct Expenses) Project specific expenses such as printing, tolls, mileage (current mileage rate is $.54 per mile), postage, Subconsultant costs, etc., that are not included in the Direct Labor, Profit and Overhead.

Total Proposed Cost The maximum amount proposed the sum of all Direct Labor, Overhead, Direct Expenses and Fixed Fee or Profit.

Section C – Cost Proposal Attachments

Appendix A-1 Form:  This form shall be completed utilizing the proposed Overhead and Profit Rates used to complete the Consultant’s Detailed Cost Proposal Form. The employee’s names and classifications listed are those that will or potentially will be working on the specified project. The employees rates listed must be actual rates paid to them and shall be supportable via certified payroll. For an Adjustable Burdened Rate payment method, any changes to the Appendix A-1 Form after contract execution shall be sent to the Contract Specialist with supporting documentation prior to any changes in billing. This form must be signed by an authorized financial or payroll representative of the consultant firm.

Wage Rate Waiver Form (when applicable):  Wage Rate Waiver Instructions Consultants with employee direct labor rates that are greater than MaineDOT’s $87.13 cap must submit their Appendix A-1 Form, accompanied by a Wage Rate Waiver Form to MaineDOT for approval.

Disadvantaged Business Enterprise (DBE) Form:  The DBE Form must reflect all Subconsultant’s used on a specified project; identifying whether they are DBE, WBE or Non DBE and the percentage of the Subconsultant work that is proposed of the total contract value. The DBE Form should also reflect whether the Prime Consultant themselves are a DBE.

Insurance Certificates: Insurance Certificates (ACORD Form) must accompany your Proposal. Insurance should not reference a specific project. Minimum coverages include, but depending on the project may not be limited to the following:

• Professional Liability - $1,000,000 per claim and annual aggregate
• Commercial General Liability, listing MaineDOT as additional insured - $1,000,000 per occurrence and $2,000,000 in the aggregate.
• Automobile Liability - $1,000,000 per occurrence
• Worker’s Compensation – in accordance with the laws of the State of Maine.
• Excess/Umbrella Liability (if applicable)

Insurance Waiver Form (when applicable):  Insurance Waiver Protocol:  Consultants who do not meet the minimum insurance requirements must submit their Insurance Certificates accompanied by an Insurance Waiver Request Form to MaineDOT for approval. Consultants must provide updated Insurance Certificates prior to expiration, via email to CPO.MaineDOT@maine.gov.

Section D – Subconsultant Proposal

Subconsultant Proposal: If a Subconsultant will be performing work on a project, the Prime Consultant must submit the Subconsultant’s Proposal with an itemized cost breakdown as supporting documentation.

If a Subconsultant is performing 25% or more of the value of the contract or modification, additional supporting documentation for the Subconsultant is required, i.e. A-1 Form and Audited Overhead Report.

** NOTE: All Project Contracts are governed by the most recent version of the MaineDOT’s Consultant General Conditions

In accordance with Maine State procurement law, the content of all submittals, correspondence, addenda, memoranda, working papers, or any other medium which discloses any aspect of the prequalification process will be considered public information once the selection decision is announced. This includes all submittals received, whether selected or not, and any information in those submittals that may be considered proprietary in nature. The Maine Department of Transportation (MaineDOT) makes no representation that it can or will maintain the confidentiality of such information.

In order to expedite the review time of Prequalification Applications, all Applications must conform to the following requirements. MaineDOT reserves the right to reject any or all incomplete submittals that are received.

This application process is intended to provide consultants with an opportunity to be considered for prequalification to perform consultant services.

Consultant Prequalification

A process of reviewing consultant qualifications to establish prequalified consulting firms who may be hired for work outlined in MaineDOT’s two-year work plan. Prequalification status for a particular service acquired through this Application process will remain in effect until the next Department-wide Request for Qualifications (DW-RFQ) process for that service has been completed.

Vendor Selection Process

The list of prequalified consultants will form the foundation of our vendor selection process when awarding contracts with State and/or Federal funding. How we utilize this list of prequalified consultants will be determined by the service requirements and the dollar value of the contract.

• Contracts valued at less than or equal to $250,000 may be awarded using a “Simplified Acquisition Process”. This allows a Program to select a Firm from the list of prequalified consultants and begin contract negotiations.
• Contracts valued at greater than the above “Simplified Acquisition” limits, up to and including $1,000,000, may be awarded by ranking a minimum of three firms with a General Consultant Agreement (GCA) 1 /prequalified Firms to identify which is the “most highly qualified”; then contract and price negotiations can begin with that Firm. Examples of ranking criteria include, but are not limited to:
  • Past experience providing similar services
  • Qualifications of proposed project team
  • Current workload

• Contracts Valued at more than $1,000,000 require an advertised Request for Proposals (RFP), soliciting proposals and utilizing the Brooks Act (a Qualifications Based Selection Process (QBS)) evaluation process; participating firms are not required to have a GCA or be prequalified in order to participate.
• MaineDOT reserves the right to advertise a project specific RFP at any time in place of any of the selection methods outlined above. RFPs are posted on the MaineDOT Consultant Information Website

Delivery Location

Email your Application and required documents, using the subject line “[firm name] Prequalification Application”, to Prequal.MaineDOT@maine.gov

Submittals posted on FTP sites will not be accepted due to viewing limitations.

Each Application received will be acknowledged by an E-mail confirmation receipt; please retain this email for your records.

Required attachments, limitations, and format

Separate files must be submitted in one email, each as its own file. Do not combine required documents as one .pdf. Naming conventions and formatting instructions are as follows:

1. Table of Contents

• Each Firm must submit a Table of Contents as a separate attachment, named "TableofContents_YourFirmName.pdf".
• The Table of Contents must:
  • be on the Firm’s letterhead.
  • list all attachments included in the submittal email.
  • identify the Service Numbers checked off in Section 5 “Services Requested for Prequalification Consideration” of the Application.

2. Application

• Each firm must complete and submit one Application. The Application must be submitted as a separate file named Application_YourFirmName.pdf.
• Applications must be submitted in the original .pdf format. The documents must not be password protected by the Firm.
• The Application must be completed in its entirety and must have the required Authorized Signature from an Officer who can legally bind the Firm.
• Firms must only apply for services that they can execute in-house.

3. List of Qualifying Personnel Worksheet

• A List of Qualifying Personnel Worksheet must be completed for each OUC-Program a Firm is applying for.
• Each OUC-Program Worksheet must be submitted in its original format, as separate files, named Worksheet_FirmName_ [INSERT OUC].pdf. E.g., Worksheet_FirmName_OUC57000, Worksheet_FirmName_OUC75600.
• NOTE: If applying for multiple OUC-Programs, the Worksheet file can be downloaded and saved multiple times.
• Each Worksheet must:
  • Include all employees who are expected to perform services checked off in Section 5 “Services Requested for Prequalification Consideration” of the Application.
  • Indicate the Service Number and OUC each employee is qualified to perform under.
  • Be arranged by Service Number, then alphabetically by employee

4. Supplemental Questions

• Supplemental Questions, when applicable, must be answered for each OUC-Program Service Number your Firm is applying for, and a separate file must be submitted in its original format, per OUC-Program. Each OUC-Program file must be named Supplemental_[INSERT OUC]_YourFirmName, e.g. Supplemental_OUC50000_YourFirmName.pdf.
• Supplemental Questions must not cross reference to other information submitted.
• Supplemental Questions can be found here on CPO website. If there are Supplemental Questions pertaining to the OUC-Program your Firm is applying for:
  • There is a “Q’s” icon next to the OUC Program header on the web; and
  • The OUC Program name will be highlighted in Section 5 on the Application.
• Answers to Supplemental Questions are limited to the form fields provided.
• If a separate attachment is required for a Supplemental Question, the attachment must be named ATCH[INSERT OUC_Insert Service #]_SupplQ[Insert question #]_YourFirmName, e.g. ATCH57000_806.10_SupplQ1_YourFirmName.pdf.

5. Resume File (sample resume)

• Each Firm must submit a Resume file, as a separate attachment, named RES_YourFirmName.pdf.
• Each Resume file must:
  • not exceed more than four (4) pages per individual.
  • contain individual Resumes of the Firm’s personnel, listed on each Worksheet. Please indicate the Service Number(s) next to the individual’s name, from each Worksheet.
  • be arranged in alphabetical order within the file.
  • List years with the Firm.
  • List employee Name, Title and Classification.
  • List Education.
  • List Professional Licenses, Certifications, and trainings including expiration dates, when applicable.
  • List relevant project experience (duties & responsibilities within the last 5 years) and qualifications. Experience listed must include dates worked on the project.
  • Do NOT include Service Numbers that your Firm is not applying for.

RESULTING CONTRACT REQUIREMENTS

Any firm entering into a contract with MaineDOT to provide services will need to:

• have a Vendor Customer Number from the State of Maine. The Substitute W-9 form can be found on the Office of the State Controller’s website. Return completed form to MaineDOT, Finance & Administration.
• submit monthly invoices for completed work using the MaineDOT Standard Invoice for Consultant Services, and provide supporting documentation.
• comply with the most recent version of MaineDOT’s Consultant General Conditions.
• submit to a performance evaluation process. The current evaluation process may be found on the Consultant Website
• Provide Insurance Certificates to the MaineDOT Contract Procurement Office before a project contract can be executed. Minimum coverages include, but depending on the project may not be limited to the following:
  • Professional Liability – at a minimum of $1,000,000.00 per claim and annual aggregate. To the extent available, Consultants and Subconsultants must make every effort to acquire Professional Liability Insurance. In the event this coverage is not available; Consultants and Subconsultants must purchase a Negligent Acts Errors and Omissions Policy
  • Commercial General Liability, listing MaineDOT as additional insured – of $1,000,000.00 per occurrence, and $2,000,000.00 in the aggregate
  • Automobile Liability – $1,000,000.00 per occurrence
  • Worker’s Compensation – in accordance with the requirements of the laws of the State of Maine
  • Excess/Umbrella Liability (if applicable)

Consultants who do not meet the minimum insurance requirements must submit their Insurance Certificates accompanied by an Insurance Waiver Request Form, to MaineDOT for approval. Consultants must provide updated Insurance Certificates prior to expiration, via email to: CPO.MaineDOT@maine.gov.

CERTIFIED DBE

MaineDOT Certified Disadvantaged Business Enterprise (DBE) consultants are encouraged to apply for prequalification status for this work. It is important that DBE Firms take advantage of this prequalification process to gain entry to the MaineDOT Prequalification List for transportation project related services. Firms certified with DBE status by another state’s transportation agency must also be certified by MaineDOT. Current requirements may be found on our Civil Rights website or by contacting:

Maine Department of Transportation
Civil Rights Office
Attn: Mary Bryant
16 State House Station
Augusta, Maine 04333-0016
Tel: (207) 624-3056
Fax: (207) 624-3021
TTY: (888) 516-9364
Email: Mary.Bryant@maine.gov