Guidelines for Procurement of Professional Aerial Imagery, Photogrammetry, Lidar and Related Remote Sensor-based Geospatial Mapping Services

The following material is considered final and was approved by theASPRS Board of Directors in August 2009. This Guideline was widely disseminated for comment and all comments were considered before this final copy was prepared.

Introduction The focus of this Guidelines document is limited to the procurement of professional services. Products and technical services are addressed to the extent needed to define and clarify the distinction between professional services, technical services and products. Guidance for procurement methods appro- priate for products and technical services are not addressed herein. The intent of the ASPRS is to address those other procurement methods in separate documents.

I. Background and Intent Executive Summary The American Society for Photogrammetry and These Guidelines were prepared by the ASPRS Procurement Guidelines Committee, an ad Remote Sensing (ASPRS) is the leading scien- hoc committee appointed by the ASPRS leadership. The Committee includes representation tific professional organization representing the from the ASPRS Professional Practice Division, ASPRS members from state and federal gov- photogrammetry and remote sensing profes- ernment, the Management Association for Private Photogrammetric Surveyors (MAPPS) and sion. These Guidelines represent the best effort the American Congress on Surveying and Mapping (ACSM). These Guidelines were formally of the ASPRS at defining and clarifying the key approved by the ASPRS Board of Directors in August 2009. issues that affect procurement of professional The intent of these Guidelines is to update ASPRS policy, and guidelines first adopted in photogrammetry and remote sensor-based geo- 1986, in order to provide public agencies, researchers, private entities and other organizations spatial mapping services. with an updated and current resource that they can use as a guide to help determine the best These Guidelines were prepared by the ASPRS approach and methodology for procuring professional photogrammetry and related remote Procurement Guidelines Committee, an ad hoc sensor-based geospatial mapping services. This Executive Summary highlights the key is- committee appointed by the ASPRS leader- sues, considerations, recommendations and conclusions that are addressed in detail in the ship. The committee includes two representa- Guidelines document. tives from the ASPRS Professional Practice Division, an ASPRS representative from the federal government, an ASPRS representative Definition of Professional Services from state government, two representatives n “Professional” services are those services that require specialized knowledge and skill, from the Management Association for Private require independent judgment, and have an expectation of ethical conduct and profes- Photogrammetric Surveyors (MAPPS) and two sional expertise such that the resulting services will represent the best interests of the client and the public. Professional photogrammetric mapping services utilize photo- representatives from the American Congress grammetry and related remote sensing technologies to produce geospatial mapping de- on Surveying and Mapping (ACSM). These liverables and information where there is an expectation of reliable spatial or thematic Guidelines were formally approved by the accuracy. ASPRS Board of Directors in August 2009. n Professional photogrammetry and related remote sensor-based geospatial mapping ser- These Guidelines supersede the now out- vices are broad in scope and are not limited to those tasks that are regulated or licensed dated ASPRS document originally adopted in by states or other agencies. State laws vary widely and are not consistent in their defini- 1986, entitled “Guidelines for Procurement tions of which geospatial mapping services require a license. Further, licensure is in- of Photogrammetric Services from Private tended to ensure a minimal level of competence to protect the public from serious harm. Professional Sources.” Procurement guidelines should meet a higher standard and seek to acquire services that are going to result in a successful project that best meets overall public interests. By better defining specific aspects of photo- n The level of automation or standardization does not by itself distinguish professional grammetric mapping and related remote sens- continued on page 1348 ing services that are professional in nature, these

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Procurement Guidelines.indd 1346 12/4/2009 2:29:57 PM Guidelines aim to support public and private ogy, the profession has expanded to apply its those that involve only photogrammetry and end users who need to procure geospatial map- expertise in interpretation and mensuration remote sensing. It is the opinion of ASPRS ping services. The intent of these Guidelines is of remotely-sensed data to a wide variety of that the principles and recommendations pre- to provide public agencies, researchers, private other sensors. Other sensors currently used by sented in this document apply equally to any entities and other organizations with a resource photogrammetric professionals include pas- geospatial mapping services that would meet that they can use as a guide to help determine sive sensors that record specific or multiple the broad definition of “professional services” the best approach and methodology for procur- bands of electromagnetic radiant energy (such used herein. However, specifically determining ing photogrammetry and related remote sensor- as digital cameras and multi-spectral sensors) or identifying all geospatial mapping services based geospatial mapping services. and active sensors, which emit and then record that should be considered “professional servic- the returned electromagnetic energy (such as es” is beyond the expertise of the Procurement The specific goals of these Guidelines lidar and radar). Sensors may be ground-based Guidelines Committee and is beyond the scope are to: for close range photogrammetry or terrestrial of this document. The primary focus of the 1. Provide a clear and updated definition lidar surveys, attached to mobile vehicles such document is on the photogrammetry, remote of which remote sensor-based geospa- as automobiles or boats, airborne in manned or sensing and image-based GIS services that tial mapping services are considered by unmanned aircraft, or satellite borne in private constitute the primary area of expertise of members of this profession to be profes- or government operated satellites. ASPRS and its membership. sional level services. 2. Endorse qualifications-based selection Many common definitions of photogrammetry (QBS) procurement consistent with simi- refer only to measurements made on photo- IV. General Definition of lar professions where services are profes- graphs. The term “related remote sensing” Professional Geospatial sional in nature and affect public well or “related remote sensor-based geospatial being. mapping” is used throughout this document Mapping Services ASPRS considers professional geospatial map- 3. Recognize existing state and federal laws to clarify that the ASPRS definition of photo- regulating this profession and distinguish ping services to be those geospatial mapping grammetry is not limited to conventional pho- between: services that: tographic imagery, but also includes imagery i) licensed activities that are defined by 1. Require specialized knowledge derived and measurements acquired using lidar, radar, state law; and, from academic education, on-the-job multi-spectral imagery and other remote sen- ii) professional services that may not re- training, and practical experience; quire a license, but are professional in sors where photogrammetric methods are used 2. Produce mapping deliverables and geo- nature as determined by the ultimate to develop the final mapping data and -deliv spatial information where there is an ex- use of the services, level of skill re- erables. This term is consistent with language pectation or representation of positional quired and accepted standards of prac- used by States that specifically license and or thematic accuracy; tice. regulate photogrammetric mapping either as 3. Require independent judgment, ethical 4. Distinguish between professional servic- a branch of surveying or as a separate disci- conduct and professional expertise to es and technical services or products that pline. ensure that the resulting maps, data and may fall outside the scope of that defini- information derived from these services tion. represent the best interests of the client 5. Provide broad-based definitions and guid- III. Scope of Services Addressed and public; and, ance that will apply to both current and by These Guidelines 4. Could potentially affect public welfare future technologies. These Guidelines are specifically intended to or result in harm to the public if not per- formed to professional standards. apply to those photogrammetry and related re- II. Definition of Photogrammetry mote sensing services that are associated with acquiring, interpreting, processing or analyz- V. Professional Nature of and Related Remote Sensing ing remotely-sensed imagery and data to create Remote sensing is defined as the process of Photogrammetry and Remote geospatial mapping deliverables. This includes gathering and processing information about services associated with measuring, locating Sensing an object without direct physical contact. Photogrammetric and remote sensing profes- and preparing maps, charts, or other graphical Photogrammetry is that branch of remote sens- sionals apply the rigorous principles of mea- or digital presentations depicting the location ing which is defined as the art, science, and surement science and remote sensing inter- of natural and man-made physical features and technology of obtaining reliable information pretation to develop reliable geospatial data. phenomena of the Earth. about physical objects and the environment Photogrammetric mapping professionals uti- through the processes of recording, measuring, Photogrammetry and remote sensing are ap- lize their knowledge and training to employ the and interpreting photographic images, patterns plied in a variety of industries and professions appropriate methods and technologies to im- of electromagnetic radiant energy and other for a very broad range of applications. Many of age, measure, calculate, reduce, and integrate phenomena. Photogrammetry employs the use those applications are not related to geospatial geospatial and attribute data. They then trans- of both interpretive techniques and mensura- mapping and are not addressed herein. form this data into mapping deliverables such tion methods. The term ”professional geospatial mapping as vector and image maps, charts, and other Historically, photogrammetric methods and services” is used in this document in a very graphical or digital representations. technologies were limited to the use of photo- general context to refer to a much broader Photogrammetrists and remote sensing special- graphic film. With advancements in technol- scope of geospatial mapping services than ists must have in-depth knowledge and exper- continued on page 1348

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Procurement Guidelines.indd 1347 12/4/2009 2:29:57 PM continued from page 1347 continued from page 1346 tise of the general principles of geomatics, the services from technical services or products. Professional services may include automated sensor technologies employed, the specific pro- or standardized processes that require the supervision of a qualified professional. n This general definition of “professional” services includes a large majority of photogram- cesses to be implemented and the final applica- metry and related remote sensor-based geospatial mapping services. Products and tech- tion of the published data. Several universities nical services fall outside the scope of the definition of professional services to which offer undergraduate and graduate programs these Guidelines apply. Technical services include conventional aerial photography with that include photogrammetry and remote sens- no direct geo-referencing, imagery for display only purposes, rote digitizing and similar ing; many professional photogrammetrists and processes. Products include existing imagery or mapping data and other maps or data remote sensing specialists have specifically where the data provider typically sets the specifications and licensing requirements. studied photogrammetry at the undergradu- Detailed definitions and distinctions between services and products are outlined in Table ate or graduate level. Many others have more 1, Comparison of Professional Services, Products and Technical Services. varied backgrounds in surveying, engineering, n Professional level photogrammetry and related remote sensor-based geospatial mapping geography or related disciplines that rely on services can be divided into two categories: 1) surveying and mapping that depicts the similar principles of science and measurement. authoritative location of features, and 2) referential mapping and thematic mapping that represent reliable geospatial data, but are not intended to depict or represent an authorita- The specific application of these principles to tive spatial location or accuracy. Mapping that depicts the authoritative location of fea- photogrammetry requires many years of practi- tures is defined as “surveying” by the National Council of Examiners for Engineering and cal experience and on-the-job training. Surveying (NCEES) Model Law and in many state laws. Referential mapping that does not The photogrammetry and remote sensing pro- depict the authoritative location of features is not “surveying” by the NCEES definition. fession has well established certification pro- n Federal and state procurement laws may apply differently to surveying and non-surveying grams, accuracy standards and expectations services. It is not the tool or process that is used, but how the data are represented and the of ethical conduct that apply to professional intended use of the data that are key to making this determination. However, the distinc- tion between surveying and non-surveying services is relevant primarily only with re- practitioners. ASPRS maintains certification gards to interpreting state and federal procurement laws and state licensing requirements. programs for Certified Photogrammetrists and With regards to determining which procurement methods and processes should be used Certified Mapping Scientists. These certifica- to meet the client’s best interests, the primary consideration should be the professional tions are available to qualified photogrammetry nature of the services, including such factors as knowledge, skill, independent judgment and remote sensing professionals. These certi- and other characteristics outlined herein that define professional work. Detailed exam- fication programs have rigorous requirements ples distinguishing between “professional” and “technical” services and between “sur- for testing, references from other profession- veying” and “non-surveying” services are included in Table 2, Examples of Professional als and experience history. Applicants must Photogrammetric Services. demonstrate professional level experience, a history of competence and ethical conduct, and an overall level of professional excellence Procurement Guidelines and Recommendations as Related to that exceeds minimum levels of competence. Professional Services APSRS has published a strict code of ethics n The professional photogrammetry and related remote sensor-based geospatial mapping that applies to mapping professionals. Many services addressed by these Guidelines play a critical role in the success of the engineer- states license professionals in photogrammetry ing, architecture, surveying, planning, natural resources, agriculture, emergency response, and remote sensing, and have codes of ethics disaster recovery and other applications that they support. Procurement methods should and standards of practice. Several map accu- consider potential impacts to the intended end application. racy standards have been developed by federal n Qualifications-based procurement methods are endorsed by ASPRS and recommended for the procurement of professional photogrammetry and related remote sensor-based geo- agencies and professional organizations. The spatial mapping services. Even if there is a detailed scope of service, rigid inspection and National Standard for Spatial Data Accuracy strict client quality control process in place, these types of professional services involve (NSSDA), developed and published by the too many variables and complexities to facilitate the kind of price-based process that is Federal Geographic Data Committee, is the used for construction services, product purchases or other procurements that use price as most comprehensive and current map accuracy one of the primary selection criteria. Independent judgment and independent oversight by standard that applies to professional photo- the professional in direct responsible charge of the work are critical to the success of the grammetric mapping. This standard incorpo- project. rates the Map Accuracy Standards for Large n When price submittals influence which proposer is selected for initial negotiations, re- Scale Maps that were developed by ASPRS in sponding proposers often are forced to design their approach to a lower standard that 1990. References for these documents are pro- meets only the very minimum requirements outlined in the scope of work. This may not be vided in the references section. the approach that serves the best overall interest of the client and the public. Quality may be compromised and advanced technologies, innovation, or best techniques and the most Photogrammetric mapping data are frequently cost-effective overall approach may not be implemented. used to make critical decisions that require n The federal law, commonly known as the Brooks Act, outlines a proven and successful accurate and reliable information about the model for qualifications-based selection. The Brooks Act process ranks proposers accord- location of features on the Earth. Professional ing to qualifications only. Cost is not a factor in the initial selection of the top ranked photogrammetric mapping professionals may proposer. After the top ranked proposer is selected based on qualifications and capability provide services and data directly to the pub- continued on page 1350 lic or may work in cooperation with other ex-

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Procurement Guidelines.indd 1348 12/4/2009 2:29:57 PM perts such as surveyors, engineers, architects, and mapping services (commonly referred to related to architecture and engineering or are land managers and planners, remote sensing as A/E services). otherwise relied upon to determine the authori- specialists, cartographers, geographers, GIS The QBS process, as outlined by the Brooks Act tative geospatial location of features or topog- specialists, and IT professionals. The photo- and similar state laws, requires that an agency raphy. These applications of photogrammetric grammetrist in direct responsible charge of or private party first select a professional ser- mapping and related remote sensing technolo- acquiring and producing the mapping data vices proposer based solely on an evaluation gies to determine location and topography simi- is often the only professional involved in the of that proposer’s qualifications and capability lar in nature to the type of information provided project who has the experience necessary to to complete the work. Cost and price are not a by field surveyors would be considered survey- fully understand how to properly implement factor in the initial ranking of proposers. Under ing by most definitions. In recent years, many photogrammetry and related remote sensing the QBS process, costs are negotiated with one other professional level geospatial applications technologies to support the intended uses of the proposer at a time, starting with the highest of photogrammetric and remote sensing map- data. Following are specific examples of some ranked proposer. If a fair and reasonable cost ping technologies have developed that may not of the many areas of use where the accuracy cannot be negotiated with the highest ranked be directly related to architecture, engineering and quality of photogrammetric mapping data proposer, cost and price are then negotiated or the authoritative location of features typi- directly affects decisions that could potentially with the next most qualified proposer. cally associated with professional surveying. impact public welfare: Examples include thematic mapping for land QBS is endorsed for procurement of profes- 1. Engineering of roads, bridges and public cover, photogrammetric mapping for GIS cen- sional services by many other professional facilities; terline coverages, disaster recovery assessment organizations including the American Institute 2. Water resources planning and design; and similar work. Since many laws and regu- of Architects (AIA), American Society of 3. Natural hazards assessment, including lations have not kept up with these advance- landslide assessment, dam site/reservoir Civil Engineers (ASCE), National Society of ments in the marketplace, these Guidelines are assessment and flood hazard mapping; Professional Engineers (NSPE), American Public intended to help clarify procurement processes 4. Emergency services applications; Works Association (APWA), American Council as they apply to current practice. 5. Municipal planning; of Engineering Companies (ACEC), Design 6. Disaster recovery; Professionals Coalition, (DPC), American Water While some applications of current photogram- 7. Transportation planning; and, Works Association (AWWA), American Bar metric mapping technologies may not have a 8. Route planning for power distribution fa- direct tie to architecture or engineering, they cilities. Association (ABA), Management Association for Private Photogrammetric Surveyors (MAPPS), share a very similar level of reliance on the American Congress on Surveying and Mapping professional practitioner to implement sound VI. Qualifications-based (ACSM), and Council on Federal Procurement judgment, professional expertise and profes- Selection as the Accepted of Architectural and Engineering Services sional ethics in order to develop mapping prod- Method for Procurement of (COFPAES), as well as agencies such as the ucts that can be relied on to make decisions that U.S. Army Corps of Engineers. These organi- impact public welfare. While these tasks may Professional Services zations all endorse QBS as the best means of not require the same level of accuracy required Although many selection methods exist that promoting competition for professional servic- for architecture, engineering and surveying ap- can be followed by clients and profession- es. Competition among professionals is healthy plications, there is still an expectation of a level als, one that has long been endorsed by the and desirable and ensures that project dollars of quality and standard of performance that re- ASPSRS and has received widespread support are well spent. QBS provides a level playing quires a professional level service. in other professions is qualifications-based se- field that promotes fair and open competition, With regard to a regulatory standard, states lection (QBS). QBS is an objective, fair and guaranteeing that only skilled, experienced, typically use the test of actual potential for competitive process used by owners to select and able professionals are selected before price harm to public health, safety and welfare to professionals based on professional qualifica- is negotiated and determined. As a result, cli- determine the minimum level of activities tions and capabilities in relation to the work ents acquire the services of the most qualified that should require a license. However, from required; scope of work and cost of services are proposer possible while obtaining a price that a procurement guidelines perspective, the bar then negotiated to best meet project require- is fair and reasonable. should not be placed at the minimum level. ments. Nothing in this section or in this docu- Rather, procurement guidelines should set the ment is intended or should be read to prohibit It is also significant that the American Bar standard to achieve what is in the best interest any project owner, client or professional from Association Model Procurement Code for of the public, and what is most likely to ensure participating in any selection competition of State and Local Government endorses QBS a successful project. their choosing, within the limits and regula- for surveying and mapping services. When the tions of existing and applicable laws. Nation’s leading attorneys in government ac- Procuring photogrammetry services is vastly quisition evaluated all available methods, they different from procuring products, basic sup- QBS is widely accepted for procurement of recommended QBS for geospatial services. It plies or even construction services. Often, the architecture, engineering and related profes- is also noteworthy that Congress specifically photogrammetric mapping professional is the sional services. Federal law, as prescribed in defined QBS as a competitive procedure in the only professional involved in the process that 40 U.S.C. 1101, commonly referred to as the landmark Competition in Contracting Act in fully understands the specifications, accura- Brooks Act, and state laws in more than 40 1983 and has retained that law ever since. cies, methodologies and approach that will states, require QBS procurement methods for support the intended end use of the data. As architecture, engineering and related surveying Many professional photogrammetric mapping and related remote sensing services are directly such, a photogrammetric mapping professional continued on page 1350

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Procurement Guidelines.indd 1349 12/4/2009 2:29:57 PM continued from page 1349 continued from page 1348 to best perform the work, an acceptable scope of work and fair and reasonable cost are who is familiar with all aspects of the project negotiated. If a fair and reasonable cost cannot be agreed on with the top ranked proposer, should play an instrumental role in determining negotiations are initiated with the next most qualified service provider. The process con- the project specifications. Determining what to tinues until a fair and reasonable price can be negotiated. The Brooks Act process is not include in a comprehensive request for propos- the only selection process that emphasizes qualifications; however, it is the model used for al (RFP) for geospatial mapping data is a com- most state and federal QBS procurement laws and is the most widely accepted by profes- plicated task. As a result, RFPs are often vague sional organizations. and missing key information. When an RFP n The Brooks Act qualifications-based selection (QBS) process is required by law, 40 U.S.C. lacks sufficient detail, each proposer compet- 1101, and implemented in the Federal Acquisition Regulation (FAR) (48 C.F.R. 36.6) for ing for the work will most likely interpret it dif- all federal procurement of architecture, engineering and related surveying and mapping ferently. Consequently, proposals vary widely services. Other federal laws may require state and local governments to use QBS when in scope and detail, creating an “apples and or- expending federal grant funds. Moreover, several states have mini-Brooks Acts. n Contracting and procurement personnel should contact the state licensing board for survey- anges” disparity in project details. When price ing and/or engineering in the state(s) in which the work is to be performed to confirm what is one of the key selection criteria, proposers aspects of existing surveying, mapping and engineering statutes apply to their projects. often use the lowest-cost approach, which often In many states, specific aspects of photogrammetric mapping and related remote sensing means discounting advanced technologies, the services are considered surveying and require a license to practice. Many states also have best techniques, and the most effective overall a mini-Brooks Act that requires qualifications-based selection for the procurement of all project design. QBS improves the procurement architecture, engineering, surveying and mapping services, as defined by state law. process and, in so doing, improves service to n State laws vary widely in their definitions of surveying and mapping. Some statutes specifi- private entities, public agencies and end us- cally license photogrammetry and related remote sensor-based geospatial mapping prac- ers/taxpayers and ultimately provides the best tices. Others regulate certain aspects of this kind of mapping under the broader definitions value and most fair and reasonable cost to the of surveying or engineering. client. n FAR Part 36 includes many (though not all) of the professional geospatial mapping services addressed by these Guidelines. Services licensed as “surveying” under state law in the state QBS, as outlined by the Brooks Act, is widely where the work is being performed require Brooks Act procurement. The U.S. Army Corps used for architecture, engineering and survey- of Engineers also publishes a comprehensive definition of services subject to the Brooks ing services procurement. Professional organi- Act in the Engineering Federal Acquisition Regulation Supplement (EFARS). Further, in zations and federal, and state lawmakers have the absence of specific statutory language or precedent for enforcement addressing profes- long recognized that these kinds of services sional geospatial mapping services in a given jurisdiction, ASPRS considers the National critically affect the public welfare. The QBS Council of Examiners for Engineering and Surveying (NCEES) Model Law, Model Rules procurement approach best protects the taxpay- and associated NCEES documents to be the best definitive guideline for determining which geospatial services should be considered “surveying” services. It should be noted that the ers’ and clients’ interest and at the same time NCEES Model Law and Model Rules are only guidelines for the purpose of assisting state best safeguards public health and safety. The governments in the implementation and interpretation of state licensing laws. The Model professional level photogrammetric mapping Law and Model Rules do not represent enacted legislation and do not have any specific services outlined in these Guidelines share legal authority, unless so enacted in a given state. many characteristics with, are of similar nature n ASPRS has endorsed Brooks Act and similar QBS processes for procurement of all profes- to, and are of similar importance to the public’s sional photogrammetry and related geospatial mapping services, including both surveying health, welfare and safety as the engineering, and non-surveying services, since at least 1986. The Brooks Act QBS process is widely ac- architecture, surveying, planning, natural re- cepted by other professional organizations; encourages innovation and design; encourages sources, emergency/disaster recovery services competition among the most qualified proposers; fosters a relationship of trust between the and other services that they support. client and provider; and is designed to ensure the most appropriate scope of work at a fair and reasonable cost. Further, in many states, licensed professionals are prohibited from For these reasons, ASPRS endorses QBS submitting a cost or bid for public work. In these states, procurement methods that do not procurement methods and recommends the follow QBS procedures may eliminate many of the most qualified proposers from compet- Brooks Act or similar QBS procurement pro- ing. cess be used for procurement of professional n It is recognized that professional photogrammetry and related remote sensor-based geo- photogrammetry and related geospatial map- spatial mapping services may be procured within the scope of a more extensive project, ping services. wherein the specific professional geospatial mapping services would be considered inci- dental to the project. Regardless of the method of procurement for the larger project, or the size of the geospatial mapping component of the project, ASPRS recommends that VII. Federal and State these Guidelines be implemented for all subcontracted photogrammetry and related remote sensor-based geospatial mapping services. Regulations Affecting n ASPRS recognizes that QBS is not required by law in all cases, particularly for services Procurement and Licensure acquired by organizations not subject to federal or state procurement laws, or in cases ASPRS recognizes that the practice and pro- where the proposed services do not meet state or federal definitions of surveying and map- curement of many aspects of professional pho- ping as related to architecture and engineering. ASPRS recognizes there will be instances togrammetric services are regulated by federal, where an organization will choose to use an alternative procurement method other than a state and local laws. These Guidelines are not QBS process. In those cases, ASPRS recommends that specific minimum guidelines be intended to be an interpretation of local, state implemented: continued on page 1352 or federal law, nor are they intended to im-

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Procurement Guidelines.indd 1350 12/4/2009 2:29:57 PM ply that all professional level services defined map or comparable GIS data layer deliver- as surveying by individual states and, in the ab- herein require a licensed professional. These able. This includes many remote sensing and sence of such definition, by the NCEES Model Guidelines outline those services which, in the photogrammetric services, such as controlled Law and Model Rules. In some circumstances, opinion of ASPRS, are professional in nature aerial photography, stereo feature extraction, FAR 36.6 may apply to a broader range of ser- and therefore warrant consideration for pro- orthophotography, lidar surveys and similar vices, depending on the definition of surveying curement methods that use qualifications, and tasks. and specific licensing requirements applicable not cost, as the initial and primary selection NCEES documents are considered by ASPRS in the state or states in which the work is to be criteria. to be the best definitive guideline for determin- performed. Many states regulate and, by statute, require a ing which geospatial services should require a Many states and local jurisdictions have enact- license for some aspects of professional photo- professional license. In the absence of specific ed laws and rules, based on the federal Brooks grammetric services. Services outlined in this statutory licensing language or precedent for Act, which require the use of QBS for procure- document may or may not be covered by licen- enforcement in a given jurisdiction, procure- ment of A/E services for local jurisdictions and sure statute for a given state. ment personnel are encouraged to use the state agencies. Other federal laws may also re- NCEES Model Law and Model Rules as guide- quire state and local agencies to use QBS when State licensing laws must be considered in the lines to evaluate which services may potential- expending federal grant funds for A/E, includ- procurement of professional geospatial map- ly be regulated under state law. However, the ing surveying and mapping, services. A refer- ping services. For instance, many states require NCEES Model Law and Model Rules are only ence summarizing some of these federal grant a license to practice specific aspects of photo- guidelines for the purpose of assisting state fund requirements is provided in the references grammetric mapping and other geospatial map- governments in the implementation and inter- section. Furthermore, many state registration ping services. Definitions and regulations vary pretation of state licensing laws. The Model boards require their licensees (architects, en- widely from state to state. State statutes may Law and Model Rules do not represent enacted gineers and surveyors) to adhere to the rules refer specifically to photogrammetric mapping legislation and do not have any specific legal of QBS when responding to procurement an- or may regulate mapping under broader defini- authority, unless so enacted in a given state. nouncements issued by agencies covered by tions of surveying or engineering. Contracting the public law or state/local equivalents. In personnel who are more accustomed to the pro- The NCEES Model Law was developed to states where such laws and rules apply, licens- curement of other types of goods and services, address licensing, not procurement. The term ees who do not obey those rules when respond- even including more conventional engineering “professional services” is broader than, and not ing to procurement announcements can be in- or surveying work, are not always knowledge- synonymous with, “licensed” or “regulated” dividually disciplined by their licensing board. able about state laws that apply to geospatial services. The procurement recommendations mapping services. Contracting and procure- outlined in these Guidelines are not limited The recommended decision process for deter- ment personnel should contact the state licens- to those “licensed” services identified by state mining the procurement approach that is the most ing board for surveying and engineering in the licensing laws or NCEES Model Law recom- appropriate for a specific procurement scenario state(s) in which the work is to be performed mendations. These Guidelines recognize that is outlined in Figure 1, Professional Geospatial to confirm what aspects of existing survey and there are many geospatial mapping applica- Services Procurement Decision Model. engineering statutes apply to their projects. tions that require professional knowledge and Procurement practices need to comply with skill that are not directly tied to engineering, state licensing laws. architecture or surveying, and that may not be VllI. Guidelines for Other regulated by licensing laws. Qualifications- Procurement Methods State legislatures periodically review and based selection is recommended for all profes- ASPRS recognizes that the QBS process is not modify their licensing laws, and state licens- sional geospatial mapping services and not just required by law in all cases, particularly for ing boards periodically modify regulations in those services that require a professional li- services acquired by organizations not sub- order to address developing technologies and cense. It should also be specifically recognized ject to federal or state procurement laws, or evolving professional practices. To support this that licensed individuals are not necessarily in cases where the requested services may not process, the National Council of Examiners for more qualified to perform a specific “profes- be intended to determine authoritative loca- Engineering and Surveying (NCEES) has de- sional service” than unlicensed individuals; tions, and therefore may not meet the NCEES veloped a Model Law and associated Model qualifications evaluation criteria should be ap- or State Law definitions of surveying services Rules that serve as a guide when modification plied fairly and appropriately to all qualified that are often subject to A/E and QBS procure- of applicable statutes is deemed appropriate. service providers. ment laws. The NCEES Model Law and Model Rules consider the application and intent of the work, Federal procurement laws are implemented ASPRS has long recommended that the Brooks and not the tools used, as the determining fac- in the Federal Acquisition Regulation (FAR). Act or similar qualifications-based selection tor in distinguishing between mapping services Surveying and mapping services are included methods be used for procurement of profes- that should be licensed and other mapping ser- in the federal definition of architecture and sional photogrammetry and related remote vices that do not require a license. The NCEES engineering services that are subject to FAR sensor-based geospatial mapping services. model identifies “surveying” services as any 36.6 and which require Brooks Act QBS pro- However, ASPRS recognizes there will be in- work, regardless of the tool used, that deter- curement. It is the opinion of ASPRS, that FAR stances when an organization will choose to mines or establishes an authoritative location 36.6 would, at minimum, apply to all federal use a procurement method where initial price or measurement of features on or relative to the procurement of photogrammetry and related submittals influence which proposer is selected Earth, as represented by the resulting “survey,” remote sensor-based services that are defined for negotiations. continued on page 1352

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Procurement Guidelines.indd 1351 12/4/2009 2:29:58 PM continued from page 1351 continued from page 1350 In those cases, ASPRS emphasizes the impor- 1. Qualifications should be the primary selection factor and should not be influenced by tance of implementing procurement criteria cost. that ensure that qualifications, not cost, is the 2. The scope of work must be well defined and have been developed by a professional primary selection factor. ASPRS recommends who is qualified to ensure that the scope of work will best serve the public interests. 3. Projects that have a significant element of design, and where the service provider’s the following guidelines be applied to any pro- professional judgment and experience are required to develop the scope of work, curement method that does not adhere to the should not include cost as a selection criteria. process outlined by the Brooks Act or a similar 4. If cost data are to be required for the selection process, they should be submitted sepa- QBS statute or process: rately and considered only after proposers are ranked based on qualifications. 1. Qualifications should always be the pri- 5. A qualified professional (either on the client’s staff or hired as a consultant) needs to be mary selection factor. involved to ensure the work best meets the end user and public interests. 2. Qualifications rankings should not be in- n These Guidelines for are intended to apply equally to future technologies and are not fluenced by cost. intended to be limited to existing technologies or “tool-based” definitions. 3. The scope of work must be well defined and have been developed by a profes- sional who has extensive knowledge of the work to be performed and is qualified to ensure that the scope of work will best Myths and Misinformation Concerning Qualifications-Based serve the client’s interests. 4. Projects that have a significant element of Procurement design, and where the service provider’s professional judgment is relied on to de- 1. The QBS process lacks competition based on price velop the scope of work, methodology or This assertion is clearly false—the final determination by the procuring organization in a approach, should always use QBS and QBS selection is based on price. should not include cost as an initial selec- tion criteria. The QBS process involves a review of the submitting professional’s or firm’s technical 5. A registered, certified or otherwise quali- qualifications and experience as only the initial step in the procurement. The second fied professional with specific knowledge step involves ranking the top three to five firms based on their experience, knowledge, or expertise with the services being pro- professional qualifications, geographic location, past performance, and other appropriate cured (either on the client’s staff or hired factors. Third, the top ranked firm is then invited to submit a fee proposal. This price as a consultant) should have a significant submittal is the final determining factor in the solicitation. role in the review of both the technical The procuring organization works from a budget and most often an internal estimate of proposal and any cost proposals in order the expected costs to evaluate the price proposal. If the top ranked firm cannot propose the to ensure that the work best meets the end project for a price that is fair and reasonable as determined by the internal estimate—in user and public interests. the sole judgment of the procuring organization—then the project is not awarded to that 6. If cost data are to be considered in the se- firm and the process is repeated with the next most highly ranked firm, and so on until a lection process, they should be submitted successful contract is reached. There is tremendous pressure on the proposer to arrive at separately and considered only after pro- an acceptable price arrangement with the procuring organization--this is the direct result posers are ranked based on qualifications. of the fact that the procuring organization has the ultimate control in the negotiation as they can always move on to the next most highly ranked firm. IX. Subcontracted Services In the QBS process, there is also significant price competition based on not only average It is recognized that professional geospatial hourly rates by classification, but also other such items as overhead rates, allowable costs, as well as direct expenses and reasonable profit. It is this competition that dictates the mapping services may be procured within the proposer use the most viable methods and technologies to accomplish the scope of work. scope of a more extensive project, wherein the specific professional geospatial mapping- ser 2. Relying on QBS only (to the exclusion of any cost whatsoever), opens up vices would be considered “incidental” to the potential pricing abuse. project. In cases where the total dollar value of the geospatial mapping component of the QBS is the reform to pricing abuse--not the source of such abuse. project is small, it is understood that other It is important to remember that QBS is the norm for the acquisition of professional procurement processes may reasonably apply. services in the United States; price competition for professional services is the abnormal. However, regardless of the method of procure- The Federal government and more than half of the States have QBS laws that apply to ment for the larger project, or the size of the professional architecture, engineering, surveying and mapping services. QBS has been so geospatial mapping component of the project, successful at the Federal level that it is recommended by the American Bar Association in ASPRS recommends that these Guidelines be its model procurement code for State and local government (see Guidelines for reference). applied to all professional geospatial mapping That Code specifically includes surveying and mapping in the scope of services for which subcontracts. QBS is recommended. The Code, including its QBS provision, was developed by the best procurement attorneys in the Nation. In many cases, a State or locality adopts the Model Code after they have had a bidding scandal. continued on page 1354

Procurement Guidelines.indd 1352 12/4/2009 2:29:58 PM for orthophoto or photogrammetric map- START HERE ping with an expectation of geospatial accuracy is considered a professional service. Flight coverage, equipment/cali- Surveying under YES bration requirements, flight altitude, flight State Law? window, overlap and other acquisition

Part 36 Brooks Act specifications directly affect the quality QBS process is required. and accuracy of all subsequent mapping tasks. NO 3. Directly Georeferenced Aerial Image Acquisition (airborne-GPS, Inertial YES Measurement Unit/IMU or similar technologies). These technologies in- Surveying by QBS procurement For a Federal NCEES Model Law YES according to state or volve the direct determination, during im- Project? definition? local law is required. age acquisition, of some or all of the im- age georeferencing parameters. Imagery NO acquisition for which specific coordinate and orientation parameters are required as NO a deliverable implies an expectation of ac- Subject to State or curacy and requires professional services Local “mini-Brooks YES Act” laws or to ensure reliable results that will support regulations? intended applications. Otherwise directly tied to Architecture YES 4. Aerial Triangulation. This process com- or Engineering? bines the ground control with the sensor metric parameters, and then applies pre- NO cise photogrammetric measurements to accurately georeference the imagery. The NO accuracy and reliability of the aerial tri- angulation process affects all subsequent

Brooks Act or similar mapping tasks. YES QBS process strongly recommended. 5. Determination of Topographic, Elevation Professional Services by Model, or Planimetric Feature Mapping. Guidelines definition? Point and feature extraction from remote- Procurement methods ly-sensed data for the purposes of map- appropriate for NO Product or Technical ping topographic features, planimetric Services apply. features or development of elevation Figure 1. Professional Geospatial Services Procurement Decision Model and terrain models have an expectation of accuracy and affect subsequent deci- sions and activities that affect the public low provides examples of services for which X. Specific Examples of welfare. Feature extraction requires pre- ASPRS recommends qualifications-based pro- cise photogrammetric orientations and Professional Photogrammetric curement. measurements, specific knowledge and Services 1. Ground Control. Remote sensing imag- skill using the photogrammetric mapping This section provides examples of specific task ery is often combined with the geospatial technologies and a broad understanding items that meet the definition of “professional” coordinates of identifiable points, known of the intended applications. Professional photogrammetric services. Some implementa- as ground control, to accurately georef- expertise is critical to adequately repre- tions of the tasks listed may be considered sur- erence the imagery using photogram- sent planimetric, topographic and eleva- veying by state law, depending on the nature of metric techniques. Defining the location, tion model features within expected ac- the work and end use of the data; other imple- distribution, accuracy requirements and curacies. mentations may not meet state law or NCEES number of ground control points is criti- 6. Digital Orthophoto Mapping. A digital definitions of surveying, but still require the cal to achieving the required geospatial orthophoto by definition is an image that level of professional expertise and ethical con- accuracy for subsequent mapping tasks. has been differentially rectified to within duct that define professional service. In the Selection of the appropriate geospatial a specific 2-dimensional (2D) geospatial opinion of ASPRS, projects and contracts that datum and map projection is also essen- accuracy and resolution. Rectifying and include any of the following services should tial. georeferencing remote sensing imagery always use procurement methods that rely on 2. Flight Layout for Orthophotography to systematically correct for image ori- qualifications as the primary selection criteria; and Photogrammetric Mapping. Aerial entation parameters, distortion, and earth the most widely accepted example of which imagery that is intended to be the source is the Brooks Act QBS process. The list be- surface topography requires rigorous continued on page 1354

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Procurement Guidelines.indd 1353 12/4/2009 2:29:58 PM continued from page 1353 continued from page 1352 knowledge of photogrammetric mapping The QBS process relies on price as the final determining factor--it merely puts the qualifications portion of the selection process first. No matter how highly rankeda principles and technologies. Production professional or firm’s qualifications are, they will not be awarded a contract without an of orthophotography is considered a pro- agreed price which best meets the specific needs of the procuring organization. True, the fessional level service if the resulting QBS process is not designed to achieve the cheapest possible price. Low bid processes are orthophotography is to be published for notorious for pricing abuse, including change orders and pricing changes at a later time use by the public or other professionals when it is discovered that actual project requirements exceed what was proposed for the in any application where the reliability original cost. The purpose of QBS is to avoid these problems by acquiring services that of the geospatial accuracy is of critical will best serve the intended purpose of the project at a price that is “fair and reasonable.” importance. Such uses may include plan- Typically, the procuring organization has very specific guidelines for preparing a price ning, engineering, natural resources, agri- proposal. This includes backup information such as average expected hourly rates, audited culture, disaster recovery, emergency ser- overhead rates, anticipated direct expenses, travel, etc. as detailed for each category of vices, and development of other mapping service. Once the procuring organization and the proposer deemed most qualified agree layers or other similar applications. on a scope of services, the negotiation occurs based solely on pricing. As a result, any 7. Lidar Acquisition and Processing. attempted price abuse would be very transparent, given the level of detail and information Lidar is an active remote sensor that held by both sides in the negotiation. emits short wave electromagnetic energy Finally, and perhaps most importantly, at the conclusion of a QBS project, typically a (light), records the reflected return sig- written evaluation of the firm’s performance is produced by the procuring organization—in nal, and provides a direct measurement essence a Report Card. These report cards are recorded and are required to be shared with of the location and elevation of features any organization procuring professional services from the firm in the future. As a result, on the Earth. The lidar sensor must be as part of the first step in evaluating a firm’s qualifications, the procuring organization continuously georeferenced during its has the ability to determine how the firm has performed on prior similar projects, thereby creating a living history of the firm’s ability to perform both technically and on budget. operation by use of airborne-GPS and IMU. Extensive knowledge of all these 3. In a price competition, ethical firms should be able to provide the same prod- systems, their calibration and operational uct and service at the same price they would have offered through the QBS integration, and related mathematics and process. If that were not true, then you are admitting that QBS will inflate physics necessary to post process the data prices and supply products and services that go beyond what is required. are essential for accurate 3-dimensional (3D) measurement and representation of Without evaluating qualifications independent of cost, how do you determine which firms are ethical or not? And what precludes unethical firms from under-bidding a project, the Earth’s surface. Lidar may be em- cutting corners or proposing a substandard approach, unless qualifications are the primary ployed from a ground station, aircraft, selection factor? moving vehicle or other platform. 8. Radar Measurements for Topographic For a price competition, the procuring organization awards the contract based primarily Mapping. This well established technol- on a proposer’s statement that they can do the work and will meet the accuracies at the ogy is similar to lidar in being an active proposed price. The firm’s proposal may demonstrate a minimum level of qualifications, system that directly measures features on but in fact they may or may not have adequate staff and may or may not truly have the the Earth. Modern remote sensing radar capability to meet the client’s quality expectations for the price proposed. They may be systems emit polarized long wave elec- expecting to outsource the work without direct control over the results or may be overly tromagnetic (radio) energy, with the abil- optimistic about the capability of outdated or other low cost technology to yield the results ity to penetrate cloud cover, and record the client is seeking. These types of problems are common and are difficult to avoid with solicitations that weigh cost on a similar basis as key qualifications criteria. the return signal to create an image of the landscape below. Radar systems have The QBS process fosters a partnering relationship between a professional/firm and the been extensively developed so that they procuring organization, with the mutual goal of ensuring the proper service is provided are now measurement systems as well. at a reasonable price. Typically the organization has guidelines in place to ensure that all Utilizing complex technologies such as costs are understood, and that all proposed services are within the scope of the project. synthetic apertures and interference pat- As a result, neither prices nor scope are inflated—in fact the procuring organization will tern measurements, radar topographic likely be the first to say “no, we are outside the scope of the work”, or “no, this is the level data have been collected from aircraft, of effort that we want for this particular task”. satellites, and the Space Shuttle. This 4. QBS favors established firms and is unfair to new firms with new approaches. technology requires specialized knowl- edge in its use and application for geo- There are clearly isolated cases where, in order to lower risk on a very high-risk project, spatial mapping. the procuring organization may favor a firm with a strong track record in that particular 9. Image Interpretations and Thematic type of practice to the exclusion of other firms which may be new to the profession. Mapping. Image interpretation and the- However, high risk projects are not the norm and history shows that new firms, often comprised of key principles that have left larger more experienced firms, are clearly matic mapping services involve elements competitive even though the first discriminator is qualifications. Further, there are many of thematic accuracy rather than geo- continued on page 1356 spatial accuracy. These applications of remote sensing technology would not be

1354 December 2009 Photogrammetric Engineering & Remote Sensing

Procurement Guidelines.indd 1354 12/4/2009 2:29:58 PM considered surveying by the Model Law they develop and become common-place in the 3. There is minimal risk of harm to the pub- definition and, in the absence of a specific mapping community. lic. state law that may include these services, 4. The client is responsible for final quality would not be subject to the federal laws control and can easily verify that the data that govern architecture and engineering XII. Technical Services and meet contract specifications. procurement. However, these services do Products Examples of technical photogrammetry and re- share the elements of knowledge, skill, ASPRS recognizes that there are applica- mote sensing services include: expertise, professional judgment and po- tions for geospatial mapping technologies and 1. Reference mapping that does not have tential impact to the public welfare that imagery that do not fall within the scope of published coordinates or a coordinate define a professional level service. While professional level services as outlined herein. grid; not services subject to Model Law licen- Alternate, and in some cases, less stringent 2. Aerial photography or mosaics for refer- sure, these services would be considered procurement requirements may be appropriate ence or resource use (not georeferenced); professional level services as defined in in those instances. Specifically, this applies to and, this document. technical level services and product sales. Each 3. Digitizing, scanning or formatting of ex- is discussed below. Detailed criteria for distin- isting photogrammetry or remote sensing guishing between professional services, tech- data, where the data are to be published XI. Future Technologies nical services and product sales are outlined in only for referential, and not authoritative, Geospatial mapping, remote sensing and pho- Table 1, Comparison of Professional Services, purposes. togrammetry are very dynamic fields. As new Products and Technical Services. technologies become available in the future, photogrammetric mapping professionals will Technical Services Product Sales Professional and technical services contracts continue to develop new ways of implementing Not all geospatial services require indepen- are not the only means of acquiring geospatial photogrammetry and remote sensing principles dent professional judgment or have the same data. Increasingly, geospatial data products are and processes to produce geospatial mapping element of impact to the public that warrants being produced and sold on a product sales and data. professional level work. This includes services nonexclusive license basis. Typically, these are Within the past two decades, new sensors, new wherein the data are not to be presented to the highly standardized data products produced software and vastly improved computer pro- public in any way that would imply an expec- to a range of specifications as set by the pro- cessing capabilities have dramatically trans- tation of authoritative positional or thematic vider. Examples of geospatial data commonly formed the level of automation in photogram- accuracy and where misrepresentation of po- sold via a nonexclusive license basis include metric mapping. Many tasks that had required sitional or thematic accuracy will not result in orthophotography, satellite imagery, image a highly skilled technician with many years of potential harm to the public or to the business control points, Digital Elevation Model (DEM) training can now be either partially or fully au- purpose of the client. Resource or habitat re- data, road network data, oblique imagery, radar tomated to the extent that a much less skilled lated aerial photography acquisition that is not generated terrain elevation data and other map- individual can perform that same task. This geo-referenced, image processing for display ping products. trend will undoubtedly continue. only purposes and processing or formatting of existing data for referential purposes fall into There is significant overlap in geospatial data The professional nature of a service should be this category. Nevertheless, knowledge of geo- that can be purchased as a product and geo- evaluated based on the nature and intended use spatial services, accuracy specifications, and spatial data that are provided through services of the deliverables, regardless of the technolo- the impact on the public, is required to make contracts. It is not the technology required, the gies or tools used. The level of automation or a determination as to whether or not the ser- level of standardization applied, or the sophis- standardization does not by itself distinguish vices requested require professional expertise. tication of the deliverable specifications that professional services from technical services Therefore, ASPRS recommends that a qualified distinguishes between products and services. or products. Professional services often imple- professional, with expertise in geospatial map- ment automated or standardized processes. Table 1, Comparison of Professional Services, ping, be actively involved in such evaluations. Professional services are distinguished from Products and Technical Services, provides a technical services in that the nature of the deliv- Services that meet all of the following criteria detailed comparison of those characteristics erables for professional level work requires the would be considered technical services: that distinguish products and services. overall supervision of a qualified professional. 1. The client/purchaser is a qualified pro- In general, products are produced to a limited Although aspects of the work may be automat- fessional, is taking responsibility for all range of specifications that are determined by ed, professional knowledge, skill and expertise project design, layout, specifications and the provider. Also, products are usually offered is required for project design, supervision of au- quality control assurance and assumes all under a license agreement that typically in- tomated processes and final quality assurance. liability that the final products and deliv- cludes limitations on what the data can be used erables will meet project requirements. As new technologies develop and become com- for or how it can be distributed. In contrast, 2. The data are not going to be presented to mon-place in the mapping community, it is the services are provided by individuals within a the public in a manner that would state or intent of these Guidelines that the same general proposer or project team to meet specifications otherwise imply an expectation of accu- criteria applied herein to assist in evaluating that are set by the client. While the service pro- racy for the measurement or location of the professional nature of current technolo- vider often provides significant input through features on the Earth. gies be applied equally to new technologies as the negotiation and development of a technical continued on page 1356

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Procurement Guidelines.indd 1355 12/4/2009 2:29:59 PM continued from page 1355 continued from page 1354 scope of work, the client makes the final de- procurement programs that are specifically designed to “incubate” small firms—after all, it is often to the procuring agencies’ benefit to ensure a growing field of expertise in termination as to approach, methodology and critical professional services. This is especially important for small business concerns. final deliverables. Under services contracts, re- sulting geospatial data deliverables and infor- mation are owned by the client. When procur- 5. QBS is a closed door process that stifles competition and innovation; QBS ing services, the client is not solely purchasing precludes a fair comparison between different approaches and firms, which is deliverables, but is purchasing the entire pro- essential to fostering innovation and making an informed client decision. cess, including the ability to take advantage of These statements are not only false; they ignore the fact that price-based competition is the expertise, knowledge and capability of the itself a closed-door process that stifles competition and innovation. First, agencies that service provider to develop the final approach typically use QBS have more firms competing for their contracts, with a greater range of and specifications. technical ability, than do agencies that use other procurement methods. Second, when an For certain applications, geospatial data entity uses price to select a firm, it is often closing the process and limiting competition products are well suited to meet the user’s to firms that operate on a low bid basis. Third, price competition itself precludes “a fair comparison between different approaches and firms;” rather price competition requirement(s). However, knowledge of geo- focuses on price, not the approach, innovation, experience and/or past performance of spatial services, accuracy specifications, and the professional/firm. potential impact on the public is required to make a determination as to whether or not a Most procuring organizations that use QBS will tell you one of the primary benefits of geospatial data product is best suited to meet QBS is the innovation it brings. Since a firm is selected based on their technical expertise and professional qualifications, they are afforded an opportunity to make suggestions the user’s requirement(s). Therefore, similarly and provide technical input during the negotiation process, step one of which is agreeing to the evaluation of professional / technical to a technical scope of services. This process facilitates transparent discussion, often services, ASPRS recommends that a qualified face-to-face, weighing the pros and cons of new approaches and is much more inviting professional be actively involved in this deci- of innovation and new technologies than a cost-based process in which proposers are all sion process. required to price the exact same rigid scope of work and detailed specifications. For cost- Once it has been determined that a product is based solicitations, questions are often restricted to a very formal paper-based process and it is often impossible to have a candid discussion with the procuring organization the best way to meet the user’s requirements, about options for alternatives to the RFP scope. there are many factors to consider in procure- ment. Geospatial data products can vary widely Examples of QBS facilitating innovation abound, including: multi-year mapping contracts in terms of specifications, licensing terms, when firms first adopted GPS technology, or airborne GPS technology, or inertial motion cost, and delivery schedule, among other fac- units for aerotriangulation; implementation of digital cameras in the second year of five- year imagery contracts; the use of lidar, both airborne and ground based, for topographic tors. Detailed guidance on the procurement of surveys; the use of lidar (lidargrammetry) for establishing breaklines for terrain modeling. geospatial data products is beyond the scope of All of these processes have been successfully introduced midway through various multi- this document. Procurement personnel are en- year QBS contracts, and all have either reduced cost to the agency and/or improved the couraged to research information provided by quality of deliverables. No other procurement process provides for similar flexibility and product providers, industry groups and profes- opportunity for innovation. sional organizations, such as the ASPRS and other groups, to identify key issues that should 6. Most local jurisdictions and regional Government agencies do not have the be considered in purchasing geospatial data luxury of devoting staff resources and time needed to develop a comprehen- products. sive base of potential remote sensing providers. Cost information contained in proposals provides a starting point for groups with limited experience and in-house resources. XIII. Implementation Steps When an organization has limited in-house­ resources and experience, it is almost for Professional Services always the best time to take advantage of the experience and expertise available through Procurement partnering, which is fundamental to the qualifications-based processes and is almost There are several distinct steps in implement- completely absent from price-based processes. ing the procurement of professional services. If an organization does not have adequate staff resources to develop and evaluate Many states and professional organizations qualifications from a list of potential firms for competition, how does it follow that that have resources available that outline the organization has the experience or resources needed to adequately establish or adopt Request for Proposal and professional services a strict scope of work and/or critically evaluate price proposals? Or have sufficient procurement process in detail for engineer- expertise to determine if the price and proposed scope of work they are getting is even ing, architecture and surveying. Most of these suitable to meet their minimum requirements, much less provide the best value to their handbooks and processes can be applied equal- organization? ly to the procurement of photogrammetry and Many States provide procurement resources to help local jurisdictions with limited related remote sensing work. capability. Some of these are identified in the References section of the Procurement Guidelines. Professional organizations can also help disseminate requests for One suggested resource is the American Public continued on page 1358 Works Association Red Book, “Selection and Use of Engineers, Architects and Professional

1356 December 2009 Photogrammetric Engineering & Remote Sensing

Procurement Guidelines.indd 1356 12/4/2009 2:29:59 PM Table 1. Comparison of Professional Services, Products and Technical Services Offering Type/ Professional Service Product Technical Service Differentiators Level of Standardization Varies High Standardization High Standardization Service varies from client to client Provider offers a set of standard Provider offers a standardized service. and from project to project. Service features from which the client may Specific methodology prescribed solely by client. standards are established in some choose. Service provider exercises only a minimal level of vertical markets. independent judgment. Service provider exercises independent professional judgment and quality control. Specifications Set by Client with critical input from Set by Provider Set by Client; may or may not have input from service provider service provider Ownership In most cases, the client owns all In most cases, the provider In most cases, task is to support subsequent work resulting work and deliverables. owns the source information and by the client and client owns all resulting work deliverables are offered under and data. license to the client. Certification / Warranty Typically certified by a professional No professional seal or No professional seal or certification. Client is in responsible charge of the certification. Warranty may be solely responsible for quality control and for work, such as a land surveyor, offered by provider that the product verifying that deliverables meet specifications and photogrammetrist, engineer or meets specified standards. expectations. GIS professional. Professional registration or licensure may or may not be required to oversee the work, depending on applicable state licensure laws. Protection of Public Welfare Professional liability may apply Product liability applies No professional liability Provider is responsible for quality Product developer is responsible Client is responsible for quality control, ensuring control and ensuring services and for ensuring deliverables meet services and deliverables meet expectations and deliverables meet specifications and stated specifications and ensuring services and deliverables protect the standards. Provider is expected to requirements. best interest of the public. comply with ethical and professional standards to protect public interest. Procurement Method Qualifications based selection Primarily cost based Either an evaluation of both cost and qualifications or qualifications based Pricing Typically negotiated between Published pricing. Total price Estimates may be negotiated based on labor provider and client based on level of determined as a function of units hours times hourly rate or as published pricing effort and negotiated rates. May be times a standard price of the unit. per unit. contracted as fixed price or as cost plus fixed fee.

Citation: Adapted from information developed by the National Research Council licensing study and a derivative Products vs. Services matrix devel- oped by the MAPPS Board of Directors.

Consultants, Guidelines for Public Agencies.” cess should be tailored to the nature and mag- 1. Pre-proposal research Another is the American Bar Association nitude of the services desired. However, these Organizations should carefully evaluate Model Procurement Code. In addition, many resources provide very good general guidance their project requirements and conduct re- states have formed QBS coalitions that can be on specific steps, evaluation criteria and pro- search so that they can clearly define what valuable resources. These organizations have cesses that should be considered. services and deliverables are needed to sup- state specific resources available and also have Owners and procurement personnel are re- port their intended applications. Some re- staff available to assist organizations or answer ferred to the resources described above for sources and actions to consider are: specific organizations questions. The Michigan detailed information about the professional • Conferences and professional or- QBS Coalition publishes a handbook entitled services procurement process. Following is a ganizations -- Encouraging key “Detailed Workbook for Qualifications-based general summary of some key steps that should personnel and technical staff to Selection.” Other state coalitions provide simi- be implemented for the procurement of pho- participate in professional organiza- lar resources. The References section of this togrammetry and related remote sensor-based tions and to attend conferences and document provides references and links to professional services. seminars can be a good way to net- selected procurement resources. To the extent work with professionals and to gain laws and regulations permit, details of the pro- continued on page 1358

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Procurement Guidelines.indd 1357 12/4/2009 2:29:59 PM continued from page 1356 continued from page 1357 qualifications and many Federal agencies will share their lists of providers. These sources specific knowledge on how remote give the procuring organization access to all the best firms in the profession. They can sensing technologies can be used to advertise and any firm can provide an adequate response, presuming that the procuring support the types of work done by organization can adequately define their scope of services. the organization. Using cost as the starting point more often than not results in the ending point being the • Other groups and professionals with- starting point—no further consideration is given. Why? Because typically most firms in the organization -- Often, particu- can demonstrate a minimum level of competence on paper and there is a misperception larly for procurement of GIS data, that the organization is saving money by taking the lowest cost. However, that presumes photogrammetric mapping and relat- that each cost proposal was for the same service, done with an equal level of expertise, ed remote sensing data are intended and with equal quality deliverables. In fact, that may or may not be the case and most to support many uses throughout an likely, especially in the case of organizations with limited resources, the organization organization. Engineering, survey- never knows for sure. A typical scope of work rarely includes enough details to ensure ing and other professionals within a completely equal comparison of price submittals. This is particularly true in the case the organization may have specific of organizations that borrow or modify RFP’s from similar projects. Typically, unless a knowledge or requirements that professional photogrammetrist (either in-house or outside consultant) is involved in the process, the only knowledge point is price. could benefit the project. The pri- mary purpose of GIS procurement 7. Work product specifications are well defined for many mapping products and of photogrammetry and remote sens- services. ing data may not always be intended for engineering or other uses and it While this statement as related to “geo-based” products may be true, with respect to services, it clearly is a myth; mapping services by their geo-based nature involve widely may not always be practical to ac- varying locations, conditions and external factors. Mapping is thus a professional service commodate the higher accuracies resulting in a deliverable rather than a product. A product is something produced to required to support this work; how- the manufacturer’s own specifications, typically warranted or guaranteed to meet the ever, the costs and benefits of options advertised specifications, but not produced to the client’s unique requirements. QBS that could benefit all users should be would not be appropriate to procure any geo-based product. considered. As a simple example, the specification for aerial photography of a 1-foot pixel may in fact • “Brown bag” or informal presenta- require different acquisition strategies and variable unit costs. For example, in the Rocky tions by professionals, colleagues or Mountains these factors vary compared to the flatlands of Kansas, or in the crowded air professional organizations -- Many space of a large metro area compared to a wilderness or desert area. Cost is impacted consultants and/or other profession- by factors other than “well defined” specifications. There are numerous, more complex, als experienced in photogrammetry examples of unique project-based factors that must be accounted for, and this statement and remote sensing work are often holds true for digital orthophotography, lidar, planimetric mapping and the wide range of available to provide informal pre- photogrammetric mapping services. sentations to organizations or groups QBS should not generally be used for products. Rather it is a process designed specifically of organizations. Local chapters of for the acquisition of professional services, where there is more than one way to achieve professional organizations can be a the project objectives. Professional services acquired through QBS processes can include resource to help organize this kind certain products; for example, the procuring organization could hire a firm to perform land- of activity. use/land-cover habitat or species type mapping of a particular area and the remote sensing • Review of other RFPs and other or- firm could have, as one of their direct expense items in the proposal, the acquisition of ganizations’ work -- A lot of good certain satellite information to be used as an intermediate or source deliverable. In other words, a firm can utilize a product as a source document for providing some additional general information can be attained professional services under QBS, and deliver that source document as one of several through evaluation of similar work deliverables; however it is generally inappropriate to employ a QBS process to purchase by other organizations. However, it existing (off-the-shelf) data for terrain modeling or standardized satellite data. is critical to note that, except in the most standardized situations, rarely 8. “Best value” qualifications weighted and technical-plus-price procurements al- does the scope of work or project low all parties to know what they are getting up front, without turning it into a design for one project directly apply low-bid procurement. to another. Organizations must care- There is no question that qualifications weighted and technical-plus-price procurements fully perform their own evaluation are always better than a low-bid procurement. Most procuring organizations recognize of their specific project, circum- there is value in seeing more than a price proposal. However, going one step further a stances and intended applications QBS process provides even greater opportunity for innovation and therefore presents for the data in identifying their proj- even better value than either of these other types of procurement. The bottom line: ect requirements and approach. QBS is qualifications / technical approach THEN price, a sequential process; that is the best approach as it permits communication, exchange of views, a partnership between professional and client, and a negotiation of price-quality trade­offs to come up with the 2. Identify project requirements and best approach to meet the client’s budget. develop a general scope of work continued on page 1360 • Organizations need to identify the scope of project requirements need-

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Procurement Guidelines.indd 1358 12/4/2009 2:29:59 PM Table 2. Examples of Professional Photogrammetric Services Service Type Professional Service Technical Service Surveying, as Defined by NCEES May not be Surveying, Model Law and Model Rules Depending on State Law Aerial imagery (Not IMU or airborne GPS data that are represented Controlled aerial photography Resource photography or mosaics Rectified) to meet a specific accuracy. Conventional aerial (conventional, IMU or airborne with no published coordinates or geo- photography for photogrammetric mapping GPS) when used solely to produce reference data. where service provider is responsible for project purely referential imagery that is not Conventional aerial photography design. represented to comply with a specific where all flight layout and project Controlled aerial photography, service provider accuracy standard. design is the sole responsibility of the provides ground control or aerotriangulation. client or professional in charge. Orthophotography and Orthophotography or rectified imagery that is Imagery that is rectified solely for Approximate scale enlargement or Rectified Imagery published or represented to meet a specific referential purposes and is not rubber-sheeted imagery for display accuracy. represented as a survey product or only purposes and where there Includes the majority of all common applications expected to comply with a specific is no expectation of accuracy or of orthophotography. Specifically would accuracy standard. professional judgment. include any orthophotography or other rectified As the terms “orthophotography” and imagery when used for engineering, planning, “rectified” imagery imply true map emergency response and disaster planning, scale accuracy, a clear disclaimer natural resources and related work where the that the final deliverables cannot be geospatial accuracy influences decisions that used for the measurement or location affect public welfare. of features is required to distinguish this work from a Model Law surveying service. Feature Extraction Vector and feature data that are published or Vector and feature data extracted Feature extraction solely for referential represented to meet a specific accuracy. solely for referential purposes, not purposes and where the client or Includes the majority of all planimetric, represented as surveying information a professional representing the topographic and digital terrain model feature or data and not expected to comply client is responsible for all project extraction from imagery, lidar or other remotely with a specific accuracy standard. design, quality control and final map sensed data. Specifically includes applications Includes referential GIS layers publication. for engineering, planning, natural resources such as inventory maps, resource and related work where geospatial accuracy management boundaries, GIS influences decisions that affect public welfare. centerline data and similar applications; must be accompanied by an appropriate disclaimer stating that the mapping should not be used for measuring or locating features. Lidar, Radar and Data are represented to meet a specific Terrestrial scanning or other terrain Terrain model processing solely for Photogrammetry for accuracy. Includes the vast majority of model development solely for display referential purposes and where the Terrain Modeling applications for terrain modeling, including or referential purposes. client or a professional representing photogrammetry, airborne lidar, ground based the client is responsible for providing lidar, and radar. the initial terrain data and for all project design, quality control and final map publication. Digitizing, Scanning, Published for use by the public and represented Scanning, digitizing or formatting Scanning, digitizing or formatting Processing Existing as survey or mapping data depicting the existing mapping data, not intended of existing mapping data to client Photogrammetry or authoritative location of features or boundaries. to be survey data, but where the specifications where minimal Remote Sensing Maps service provider is expected to professional judgment or interpretation and Data exercise professional judgment and is required. interpretation to ensure final products are suitable for intended purpose. Image Interpretation and Only if boundaries or feature locations are Thematic mapping or image Routine classification of features Thematic Mapping published or represented as meeting a interpretation where final deliverables where minimal professional judgment specific geospatial accuracy statement to have an element of thematic accuracy or interpretation is required. depict the authoritative locations of features or that requires professional judgment boundaries. and expertise. This includes a majority of thematic mapping projects.

continued on page 1360

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Procurement Guidelines.indd 1359 12/4/2009 2:30:00 PM continued from page 1359 continued from page 1358 Qualifications weighted and technical-plus-price most often results in price being ed to support intended applications considered in parallel rather than sequentially, with none of the value-added benefits of and end uses. It is critical to consult the communication and partnering. Rather than just a low price assigned to a potentially with all potential end users the proj- vague and broad scope of technical services, a QBS proposal allows for an extremely ect is intended to support in order to detailed price proposal addressing a carefully negotiated scope of work. ensure specifications and accuracies meet all intended purposes. Key fac- 9. Price competition results in the most cost-effective overall approach. QBS re- tors to identify include: Project area, sults in inflated costs and/or services that exceed the actual project require- environmental conditions (vegeta- ments. tion, time of year, time of day, tides, These statements represent a canard that opponents of QBS often use, but for which there river levels, etc.) for acquisition, is no documented proof to justify the claim. In fact, several studies on this issue (as accuracies required, primary deliv- documented by ACEC and other QBS resource materials) show that price competition costs erables, what information or other more than QBS due to the time and effort the client has to put into writing specifications, resources will be provided by the evaluating bids, managing the contract, and incurring in-house quality control/rework owner, schedule benchmarks and costs all to make up for the lack of trust in a professional that could have been achieved by additional or unique requirements using QBS. There is an old expression that “quality will be remembered long after price has been forgotten”. The long-term, life cycle cost of the project is what must be factored. such as funding strategies or bud- As John Ruskin said almost 200 years ago, “There is hardly anything in the world that geting. someone cannot make a little worse and sell a little cheaper, and the people who consider • QBS procurements -- For QBS pro- price alone are that person’s lawful prey. It is unwise to pay too much, but it is also unwise curement, the initial scope of work to pay too little.” for the Request for Proposal can be The statement “QBS results in inflated costs and/or services that exceed the actual project general in nature. The scope of work requirements” is a myth. Cost effective past performance and documented references to needs to be of sufficient detail that that effect, are a key factor in any QBS selection. In addition, “scope creep” is a common responders can identify the equip- factor evaluated during the performance review at the conclusion of the project. Why ment that will be used, key person- would a company with a track record for excellence propose services that exceed the actual nel and staff requirements, overall project requirements, thereby risking being marked as a poor performer, unless it made approach and similar qualifications the project more cost efficient? And with performance evaluations and past references information. A specific project de- being available to future potential clients, any company that did attempt this kind of cost sign and scope of work will be ne- inflation would not rank well in future qualifications-based selection processes. In fact, gotiated after the initial selection is inflated services through a low price submittal for a cost-based selection and utilization of made. This is an efficient and cost future change orders when it is discovered that the initial scope of work was not sufficient effective process, as organizations is a much more likely scenario than for this kind of scope creep to occur through the QBS process. do not need to hire additional con- sultants or incur extensive in-house 10. Relying on independent judgment and independent oversight by the contractor or other costs to develop a detailed is fundamentally flawed when the industry players themselves dispute how the project design and scope of work. terms and concepts in the industry language are to be interpreted. • Non-QBS procurements -- If cost If you consider photogrammetry and remote sensing to be an “industry” that produces estimates are solicited, the scope products from vendors, the statement is true. However, these Guidelines address the of work needs to be much more provision of professional services by professional practitioners. This is the perfect case narrowly defined and must include for holding an individual professional accountable. You can have lawyers disagree on detailed specifications and require- language; you can have doctors disagree on diagnoses; however, they are all accountable ments for the work to be performed. for their own actions and interpretations in their own practice—so too the professional The exact specifications required photogrammetrist. are project dependent. While oth- er RFPs can be used as a guide, a 11. Since so many of the quality/process aspects are not standardized, relying on qualified professional needs to be a contractor to police itself is a recipe for uneven bidding and uneven perfor- involved to both identify what de- mance. sign criteria need to be specified and This statement, rather than being a myth, actually makes the perfect case for QBS. What what those design criteria are. If an other procurement method absolutely insures a highly ethical professional is in charge and organization does not have this ca- everyone is on the same page? This is true whether we are talking technically, innovatively, pability in-house, QBS selection of cost- and schedule-wise, agreeing on deliverables, etc. a consultant to provide these servic- Another point to consider--inspection or quality control of a mapping project to monitor es may be required. In either case, contract compliance is much more difficult than inspection of manufactured products. while this process may incur addi- The project’s geographic scope is often immense and the only effective way the procuring tional in-house or external costs, it organization can check for accuracy is to retrace the entire map. Even a trained eye cannot is an essential step if cost submittals find a map’s critical flaws that could threaten the public’s safety or its pocketbook in future continued on page 1362 are to be evaluated fairly.

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Procurement Guidelines.indd 1360 12/4/2009 2:30:00 PM 3. Advertisement of intent to procure • Project Management and Key those requirements. Communications and de- services Personnel -- Considerations include velopment of a final scope of work should at • If the procurer is a public agency, 1) background and training, 2) num- least address the following factors: this is usually done by publishing ber of years experience with current • A general discussion of the project notices and advertising according to proposer, 3) participation and in- is important so that the professional the organization’s established pro- volvement in professional organiza- photogrammetrist will have a solid cedures. tions, 4) involvement with projects understanding of the background of • If the procurer is a private entity, listed as project examples, and 5) the project. the process is often less formal. individual experience related to pro- • A disclosure of the purpose of the Contacts can be made directly with posed work and that demonstrates project is necessary. This will assist professional service providers iden- an understanding of the specific the photogrammetrist in the design tified through referrals or from other work to be performed. of the photogrammetric procedures sources. • Project understanding, methodology to be employed. • Many local jurisdictions and other and approach. • Further discussions should involve organizations maintain professional • Ability and capacity to meet proj- final negotiations for the scope of the services rosters that can be used to ect requirements -- This includes 1) project in order to define the area to identify interested and qualified staff resources including the location be covered, map specifications as to proposers to be contacted when where key personnel are going to be scale and accuracy, control surveys requesting proposals for specific performing the work, 2) equipment and deliverables, data formats and services. Typically, these rosters capabilities, and 3) other project deliverables, field checks, quality require annual or periodic submit- concurrent project commitments. control procedures, etc. tals from interested proposers that • Quality assurance and quality con- • Schedule expectations must be include a Statement of Interest or trol procedures. clearly stated and negotiated. Statement of Qualifications speci- • Past performance -- Past perfor- • The client should mention any cost fying the categories of service the mance criteria should be broad in constraints or budget limitations that service provider is interested in and scope and include 1) demonstrated may be imposed on a project. enough minimal qualifications in- ability to meet deadlines and bud- • An understanding should be reached formation to allow the organization gets, 2) evaluation of accepted/ between the client and the profes- to determine what proposers meet rejected deliverables and demon- sional photogrammetrists as to mu- minimum criteria for work in a spe- strated ability to meet project qual- tual responsibility on the project, cific service category. ity requirements, and 3) disclosure clearly outlining expectations both of any projects where the contract for what tasks the client is responsi- 4. Submittal and Evaluation of Quali- was terminated by either the owner ble for (and the schedule for timely fications. or the provider and reasons why. 4) completion of those tasks) and what Project references, including those This can be done on a formal written basis, tasks the service provider is respon- provided by the proposer or refer- as is the case with most public agencies. In sible for. ences determined through research the case of procurement by private clients, of other similar work the service this is usually done on a personal basis and 6. Negotiation of price and contract. provider has performed. can be quite informal. An evaluation should This final step should address the then be made to determine the professional following: mapping proposer judged to have the best 5. Communication between client • Basis of final price as 1) cost plus talent for the project. Some factors to con- and mapping professional to negoti- fixed fee, 2) time and material, 3) sider include: ate a detailed scope of work. lump sum, 4) Cost plus percent of • Project team experience and ex- This is the single most important step of the cost, or 5) other. pertise -- Owners should evaluate procurement process. For QBS procurement, • Payment schedule as monthly bill- a broad spectrum of related expe- this is a straight-forward process as QBS ing, retainage, lump sum, terms (30 rience and expertise and not limit facilitates and early understanding of proj- days preferred), etc. evaluations to only a few selected ect scope and requirements. For non-QBS • Insurance requirements. references or project examples. procurements where a price bid is submitted • Other contracting considerations. Considerations include 1) a listing based on a detailed scope of work defined and the number of years of experi- solely by the client, it is necessary to involve 7. Project implementation consider- ence of all proposers included on the a qualified professional in the detailed design ations and approval of deliverables. project team, 2) organization chart and development of the RFP scope. For either For non-QBS procurements, and depending and relationship between prime pro- process, it is critical that the client do suffi- on the size and characteristics of the project, poser and proposed subcontractors, cient research to have a clear understanding in-house capabilities of the owner and other 3) project examples related to pro- of what their project requirements are and to considerations, it may be beneficial to hire posed work. have a general understanding of the available a third party for independent quality control options and “ballpark” costs needed to meet continued on page 1362

Photogrammetric Engineering & Remote Sensing December 2009 1361

Procurement Guidelines.indd 1361 12/4/2009 2:30:00 PM continued from page 1361 continued from page 1360 years. Unlike materials, a map cannot be adequately sampled before and thoroughly and review of final deliverables. For QBS tested after production. The client or owner is totally dependent upon the integrity of procurements, specific quality control steps the mapping professional -- for even a bad mapping plan can look good. It often takes (including those to be provided by the owner months or years before errors and problems are discovered. and those to be provided by the contractor) The accuracy of a map depends upon the manner and the conditions under which the would typically be negotiated as part of the work is performed and not just on the accuracy of closures or spot checks. A map could scope of work. Another factor to consider, pass final tests and checks within specified tolerances, but still have hidden problems regardless of procurement process selected, because of poor project design, lack of quality control oversight during production, and/ is the requirement for “pilot area” deliver- or poor oversight of interim processes. ables early in the project. This allows the By requesting bids, a client assumes the responsibility for defining the scope of the owner to confirm and finalize all aspects of services required and thus does not take any advantage of the knowledge and background the scope of work deliverables early in the of the qualified professional engaged in providing such services. Few administrators, project. and even engineers, are knowledgeable in mapping, and their inadequacy in this regard is apparent in their requests for bids. The knowledgeable person is aware of the indeterminate nature of mapping. The reputable professional, if he is to bid, must Supporting Documents either attempt to anticipate the many possible problems, determine which problems he • Executive Summary (Side Bar) feels will occur, and bid accordingly, or bid so high that he can include every possible • Comparison of Professional Services, condition (in which case he undoubtedly will not be the successful bidder). If an honest Products and Technical Services (Table 1) attempt is made and unforeseen conditions occur, the professional faces the decision • Examples of Professional Photogrammetric to adhere to the specifications thereby producing an inferior product (which he cannot Services (Table 2) ethically do), request a change order which will certainly drive costs higher, or perform • Professional Geospatial Services Procure- the work to the best of their ability thereby operating at a loss—an approach not likely ment Model (Figure 1) taken by many who expect to remain in business. In nearly every case the client is the ultimate loser. References 12. A much better approach than solely relying on qualifications-based selection ASPRS, 1987. Guidelines for procurement for quality work is to utilize independent QA/QC. of photogrammetric services from private professional sources, PE&RS, 53(2), pp. This is a case of treating the symptom rather than the disease, and will most assuredly 207-212. increase overall end-to-end project costs. For example, if a price competition results in a less than favorable technical outcome for the project, augmenting the price competition process with outside QA/QC support may be sufficient to identify some of the problems Applicable QBS Laws and General that require rework. However, it will likely not identify all of them, and regardless the Information Brooks Act (40 U.S.C. 1101), FAR 36.6: results will almost never be as good as if it were done right the first time. http://www.acquisition.gov/far/current/html/ It is far better to use a fully responsive procurement process that results in hiring a highly Subpart%2036_6.html ethical and responsible professional from the beginning. With QBS there is a detailed American Public Works Association Position scope of services and the reasonable expectation (because qualifications and past Statement http://www.apwa.net/Documents/ performance were primary factors in their selection) that the company will adequately Advocacy/Positions/Advocacy/Qualifica- perform quality assurance to ensure satisfactory delivery of the project. And further, tions_Based_Selec_Prof_Svs_Consult. pdf the client holds the professional fully accountable through the performance evaluation-- which is the professional’s life blood for future work. You have built-in protection. American Council of Engineering Compa- nies description of QBS requirements for However, if the original selection is based on price, and then an independent QA/QC projects funded by federal grants contractor is hired to ensure quality, often this adds 10% to 15% to the total cost of the http://www.acec.org/advocacy/committees/ project (you are paying someone to do the job you would have already paid someone qbs_matrix_8-16-04.cfm to do under QBS). QBS provides for the selection of an experienced and qualified American Council of Engineering Companies professional in the first place. When all the additional administrative costs of handling general QBS resources page the bids, potentially hiring a consultant to write the scope, doing all the extra contract http://www.acec.org/advocacy/committees/ management, and then bringing in an outside QA/QC consultant are added together and qbs.cfm factored in with the increased project risk of a price-based competition, doing the project U.S. Army Corps of Engineers Engineer FAR right the first time with QBS is clearly the “best value.” Supplement (EFARS definition of survey and mapping, refer to section 36.601-4) http://www.hq.usace.army.mil/cepr/efars/ part36.pdf

Professional Services Procurement Resources American Public Works Association “Red Book” on Qualifications-Based Selection Guidelines for Public Agencies (Document can be purchased from: http:// www.apwa.net/bookstore/)

1362 December 2009 Photogrammetric Engineering & Remote Sensing

Procurement Guidelines.indd 1362 12/4/2009 2:30:00 PM American Bar Association Model Procure- quality of a result and is distinguished from represented by the geospatial maps, ment Code for State and Local Govern- precision, which relates to the quality of the data or information. ment operation by which the result is obtained. (Document can be purchased from: http:// • Photogrammetry: The art, science, and www.abanet.org) • Authoritative: Highly reliable; Final technology of obtaining reliable informa- Michigan QBS Coalition, Workbook for word and basis on which other determi- tion about physical objects and the envi- QBS Procurement nations are made. ronment, through processes of recording, http://www.qbs-mi.org/QBS_reference_PDF. measuring, and interpreting images and • Authoritative location: An authoritative cfm patterns of electromagnetic radiant en- location is a location that can be relied on ergy and other phenomena. Accuracy and Professional Standards as the basis for making other determina- • Photogrammetry and related remote Information tions. Mapping data represented to meet a sensing: This term is used throughout the National Standard for Spatial Data specific accuracy requirement is consid- Accuracy (NSSDA) ered to represent authoritative locations. document to clarify that the ASPRS defi- http://www.fgdc.gov/standards/projects/ Establishing or determining the authorita- nition of photogrammetry is not limited to FGDC-standards-projects/accuracy/part3/ tive locations of features and boundaries conventional photographic imagery, but chapter3 is considered the practice of surveying. also includes imagery and measurements ASPRS Code of Ethics Refer to NCEES materials cited in the acquired using lidar, radar, multi-spectral http://www.asprs.org/membership/certification/ references section for further clarification imagery and other remote sensors. appendix_a.html and examples of how this term applies to • Orthophotograph: A photograph pre- ASPRS Certification Program surveying and mapping. http://www.asprs.org/membership/certification/ pared from a perspective photograph by index.html • Deliverables (geospatial, mapping): removing those displacements of points Maps, data and information that must be APSRS Standards Page caused by tilt, relief and central projec- http://www.asprs.org/society/committees/ completed according to a specific scope tion (perspective). The removal of the re- standards/standards_comm.html of work and process and delivered under lief due to terrain change is often in zones the terms of an agreement or contract. and not specific. Sometimes called an or- Licensing Information • Direct Georeferencing: The direct mea- thophotomap, an orthophoto is georefer- ASPRS Licensure Committee surement of exterior orientation param- enced and is geometrically corrected such http://www.asprs.org/society/divisions/ppd/ eters, i.e. position (x/y/z coordinates) and that the scale is uniform: the photo has the licensing/licensure_comm.htm attitude (roll/pitch/heading) at the instant same lack of distortion as a map and can NCEES link to State Engineering/Survey- an aerial photograph is taken, to aid or re- be used to measure distances, locations ing Boards and the relationships between objects on http://www.ncees.org/licensure/licensing_ place aerial triangulation. The term is also boards applicable to the position and orientation the earth to within a specified accuracy. of airborne lidar or IFSAR sensors. Accuracy depends on process and project NCEES Model Law design parameters. http://www.ncees.org/introduction/about_ncees/ • Georeference: To associate imagery, fea- ncees_model_law.pdf ture data and information with a location • Product Sales: Sale of standardized NCEES Model Rules in physical space; that is, determining products, usually according to an estab- http://www.ncees.org/introduction/about_ncees/ and establishing the relationship of vec- lished pricing structure and often offered ncees_model_rules.pdf tor features, raster images and other geo- under license agreements for specific NCEES Multi-Organization Task Force graphical features to map projections or uses; specifications are established by Materials and Reports coordinate systems. the provider, though the purchaser may http://www.asprs.org/news/ncees/ be able to choose from several options. • Geospatial mapping: Mapping, informa- tion and data that identify the geographic Refer to Table 1 for a detailed description Glossary of Terms of product sales. This glossary represents a summary of defini- location and characteristics of natural or tions of selected key terms and phrases that constructed features or boundaries on the • Professional Services: Services that re- earth. are used throughout the Guidelines document. quire specialized knowledge and skill, re- Many of these terms are defined in greater de- • Geospatial accuracy: Accuracy of geo- quire independent judgment, and require tail within the full text of the document. This spatial mapping data and information. a level of professional expertise and ethi- glossary is intended to clarify potentially con- Map accuracies include both positional cal conduct to ensure that the work meets fusing terms in the context of procurement of accuracies and thematic accuracies: the best interests of the client and public. Refer to Table 1 for a detailed description professional photogrammetry and related re- Positional accuracy: Accuracy of the o of professional services. mote sensing services. This glossary is not in- horizontal and/or vertical coordinates tended to be a comprehensive list of definitions that define the location of features rep- • Qualifications-basedselection: of geospatial mapping terms and phrases. resented by geospatial maps, data or Qualifications -based selection (QBS) is • Accuracy: The degree of conformity of a information. an objective and fair competitive process used by owners to procure services based measured or calculated value compared to Thematic accuracy: Accuracy of the o on a professional’s qualifications in rela- the actual value. Accuracy relates to the feature characteristics or attributes tion to the work required. continued on page 1365

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Procurement Guidelines.indd 1363 12/4/2009 2:30:01 PM Case Studies: Applying the Guidelines for Procurement of Professional Services

Case 1 — IMU controlled aerial photography the imaging collection process is planned and overseen by a firm with appropriate photogrammetric professionals responsible for the project, Scenario: A firm is subcontracted to fly a project site with a digital and that firm takes delivery of the raw data from the image acquiring camera equipped with air-borne GPS and IMU to support 0.5’ pixel firm and performs final processing and/or verification of that data, then orthophotos at 1”=100’ map scale accuracies. The aerial photography the original image acquisition may be considered a technical service. subcontractor is responsible for all flight planning, acquisition and data However, if the imaging acquisition service is performed for an end reduction, including selecting and monitoring appropriate base stations user or agency which relies on the independent judgment of the image located at previously established survey control point and/or using ex- acquiring organization for the adequacy of the final deliverable, then it isting CORS data. Deliverables include digital images with direct geo- is a professional service. reference control, reduced and processed to the local state plane system at suitable accuracies to be used for the intended mapping work. The Alternatively, conventional photography with no GPS/IMU component contracting organization intends to use the photography for mapping would always be considered a technical service. In summary, air-borne purposes, using either their in-house capability or an outside consul- GPS/IMU data collection requires professional oversight of the opera- tant. tions in the acquisition chain, is professional in nature, and the location of that oversight in the acquisition chain dictates the type of appropriate Is it a professional service: Yes procurement process. The work involves making critical project design decisions regarding determining geodetic control requirements, selecting appropriate base Contracting considerations: If not a technical service, QBS or station locations, addressing datum/projection issues and processing re- similar alternatives are recommended according to ASPRS policy. QBS sulting control data to support a stated map accuracy standard. may be required in States that have a more strict or encompassing defi- nition of surveying than the Model Law. Is it surveying under the model law: Yes The geo-reference data, by virtue of being represented as being suit- able to support stated map accuracy standards, represents an “authorita- Case 2 — 0.5 meter Orthophotography tive location” (the basis on which other location related decisions are Scenario: A photogrammetry firm is contracted to provide 0.5 me- made). The geographic position and other photo elements, as repre- ter digital orthophotos, flown during leaf-off conditions and produced sented by that data, is relied upon to determine all future location based from photography that has a 0.5 meter or better ground sample dis- measurements and is therefore an “authoritative location.” Depending tance resolution. The client will retain full ownership of all deliverables on specific state laws, this work would likely need to be done under the and intermediate data. Final orthophotos are to be designed to meet a supervision of a professional with the proper license in the state where horizontal accuracy standard of +/- 6 meters at a 95% confidence level. the work is being performed. Field survey tests are not required. The contractor is responsible for all Contracting considerations: QBS or similar procedures are rec- project design and production tasks, including flight planning, control, ommended. QBS would likely be required for: Federal project, State determining a suitable DEM source and quality control. project (depending on specific State survey and QBS statutes), feder- Is it a professional service: Yes ally funded project (in some cases). The organization is purchasing a service for hire, rather than a product What if: The aerial photography firm is responsible only for acquiring that has been independently verified or carries a manufacturer’s warran- the data, according to a flight plan provided by or supervised by the ty and is available for resale to multiple organizations. The professional client (or the client’s consultant), and is not responsible for any project services contractor is responsible for making all critical project design design, survey control layout, GPS/IMU data reduction or other tasks decisions regarding flight altitudes, control, appropriate DEM sources related to having oversight and ultimate responsibility for the accuracy and all orthophoto production processes necessary to meet client ex- of the georeference data or suitability of the data to meet intended map- pectations for final deliverables. The contractor is directly responsible ping requirements? for the final outcome, quality and suitability of the deliverables to meet the clients’ needs as they have defined them. In this case, the firm is not performing surveying under the Model Law, since their deliverables are not represented as authoritative. It is the Is it surveying under the model law: Yes responsibility of the client or a professional consultant designing the The orthophotographs represent an “authoritative location” of features project and taking responsibility for the control to determine whether or (a location upon which other location based decisions are to be made) not the imagery and georeference data is suitable for the mapping prod- within the stated map accuracies. Although it is a very coarse accuracy ucts they intend to produce. However, digital imagery, IMU and GPS specification relative to the final pixel resolution (likely in order to al- data collection requires significant independent judgment and oversight low cost savings by using existing DEM sources), it is still a very spe- in order to be successful. Errors made in the collection process un- cific accuracy statement intended to allow end users to make authorita- questionably impact future work and may not be readily identifiable in tive decisions within the limits of the stated accuracies. Depending on initial quality control checks. In that regard, while it may not be survey- specific state laws, this work would likely require the supervision of a ing under the model law, the data acquisition would still require profes- professional with the proper license in the state where the work is being sional oversight and independent judgment and therefore is considered performed. professional in nature by the ASPRS Procurement Guidelines criteria. Contracting considerations: QBS or similar procedures are rec- The question of whether it is a professional service or a technical ser- ommended. QBS would likely be required for: Federal project, State vice for contracting process purposes depends on where in the acquisi- project (depending on specific State survey and QBS statutes), feder- tion chain the responsibility is undertaken for the final deliverables. If ally funded project (in some cases).

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Procurement Guidelines.indd 1364 12/4/2009 2:30:01 PM continued from page 1363 Case 2A — What If: A specific map accuracy is not required and • Remote Sensing: Gathering and processing information about an instead the County includes a disclaimer that the imagery is to be object without direct physical contact. used for referential purposes only and is not intended to be used to • Rectified imagery: Rectify -- to correct by calculation or adjust- locate or measure features on the map? ment. Rectified imagery is imagery that has been transformed and In this case, the services would not be considered surveying under processed to be projected onto a common surface. Historically, rec- the Model Law. However, this would still be considered a profes- tification was defined as the process of correcting a photograph for sional service. The contractor would still be solely responsible for displacement due to camera tilt only. Currently, the term is often project design and quality control to meet all other client expecta- used more generally to apply to a wider array of transformation pro- tions for final deliverables (other than geospatial locations to within cesses used to project imagery onto a common coordinate system. map accuracies). The contractor is still directly responsible for the final outcome, quality and suitability of the deliverables to meet the “Ortho-rectified” imagery is corrected for camera tilt, distortion and clients’s needs. terrain relief. “Rectified imagery” is a more general term and im- plies that a less robust transformation, which typically would not QBS or similar alternatives Contracting considerations: directly correct for terrain relief, was used. are recommended according to ASPRS policy. QBS would not be required in most cases. QBS may be required in States that have • Referential mapping: Mapping that does not represent authorita- a stricter or more encompassing definition of surveying than the tive locations or survey data. General mapping for reference pur- Model Law. poses only and not for the purpose of determining reliable locations Case 2B — What if: The client is not requesting a service for to be used as the basis for making measurements or other determi- hire, but is instead requesting a product that meets their general nations. Locations of features are approximate and are not expected requirements, with detailed product specifications specified by the to comply with a specific positional accuracy requirement. Refer to data provider. Use of the imagery will be granted to the contract- NCEES materials cited in the references section for further clarifi- ing organization under license, with ownership to be retained by the cation and examples for applying this term. data provider for future resale. • Technical Services: Standardized services for specific tasks that do In this case, the orthophotography being requested is a product, not a not require independent professional judgment, and where the cli- service. The contracting organization is solely responsible for deter- ent is responsible for ensuring that the scope of work and outcome mining whether or not the quality of the imagery and specifications, best meet client and public interests. Refer to Table 1 for a detailed as dictated by the data provider, are suitable for intended purposes. description of technical services. Contracting considerations: Product purchasing process- es would apply. These are not addressed in the Guidelines for Procurement of Professional Services.

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