DESIGN-BUILD MANUAL Georgia Department of Transportation Office of Innovative Program Delivery
Georgia Department of Transportation Office of Innovative Program Delivery DESIGN-BUILD MANUAL Original Date: September 1, 2010 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 TABLE OF CONTENTS TABLE OF CONTENTS................................................................................................................................ 2 1. INTRODUCTION ................................................................................................................................. 3 2. AUTHORITY ........................................................................................................................................ 3 3. RESPONSIBLE GDOT OFFICES............................................................................................................. 3 4. DEFINITIONS ...................................................................................................................................... 4 5. PRELIMINARY PROJECT SELECTION ................................................................................................... 5 6. CHIEF ENGINEER’S APPROVAL ........................................................................................................... 6 7. FHWA APPROVAL AND AUTHORIZATION .......................................................................................... 6 8. REQUEST FOR QUALIFICATIONS (RFQ) .............................................................................................. 6 9. LETTER OF INTEREST (LOI)/STATEMENT OF QUALIFICATIONS (SOQ) ............................................... 7 10. EVALUATION OF LOI/SOQ.................................................................................................................. 7 11. SELECTION OF FINALIST/SHORTLIST .................................................................................................. 7 12. REQUEST FOR PROPOSAL (RFP) ......................................................................................................... 7 13. STIPEND ........................................................................................................................................... 10 14. CONFLICT OF INTEREST ................................................................................................................... 10 15. RFP ADVERTISEMENT ...................................................................................................................... 10 16. LETTING ........................................................................................................................................... 10 17. ALTERNATIVE TECHNICAL CONCEPTS .............................................................................................. 11 18. TECHNICAL PROPOSAL EVALUATIONS............................................................................................. 11 19. AWARD OF THE CONTRACT ............................................................................................................. 11 20. NOTICE TO PROCEED ....................................................................................................................... 11 21. DESIGN-BUILD CONTRACT ADMINISTRATION ................................................................................. 12 22. PROJECT ACCEPTANCE .................................................................................................................... 12 23. REPORTING ...................................................................................................................................... 12 24. DOCUMENT HISTORY ...................................................................................................................... 12 APPENDICES GEORGIA CODE 32-2-81 RULES OF THE STATE DEPARTMENT OF TRANSPORTATION CHAPTER 672-18 GOVERNING THE DESIGN-BUILD PROCEDURES Page 2 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 1. INTRODUCTION Design-Build (DB) combines design engineering and other preconstruction services with construction services into a single contract. DB is regulated at GDOT by state statute, FHWA regulations, and by State Transportation Board Rules. DB projects allow the contractor to participate in the project’s design in an effort to reduce costs, improve communication and expedite project delivery. The purpose of this document is to compliment the Georgia Code Section 32-2-81 and the Board Rules, Chapter 678-18, by providing an overview of the process that GDOT will follow for project selection, procurement, and management of transportation projects that are delivered through DB contracting. This Manual will also provide general information for developing a project scope, assessing risk, advertising Request for Qualifications (RFQ) and Request for Proposals (RFP), evaluating technical proposals, and awarding DB contracts. This Manual will be periodically updated as GDOT continues to administer DB projects. All inquiries related to this Manual should be forward to GDOT’s State Innovative Program Delivery Engineer. 2. AUTHORITY All transportation DB projects will comply with the requirements set forth in Georgia Code Section 32-2-81, and the Board Rules, Chapter 678-18, which is referred to in this document as the DesignBuild Rule. All Federal-Aid DB projects will comply with the procedures set forth in all applicable Code of Federal Regulations (CFR) including, but not limited to, 23 CFR Parts 627, 635, 636, 637,771, 710; and 49 CFR Part 24. 3. RESPONSIBLE GDOT OFFICES The Office of Innovative Program Delivery (IPD) will be responsible for the overall administration of the DB Program. This includes, but is not limited to, coordinating with the Chief Engineer regarding DB project selection, proactively communicating with other GDOT Offices, local governments, and FHWA during all phases of the DB project, development of the DB procedures and guidelines, as well as development of boilerplate DB documents. Changes to any of the DB documents will require approval of the State IPD Engineer or a designee. The Innovative Program Delivery Project Manager (IPD-PM) serves a critical role in the effective execution of the DB contract. The IPD-PM will be responsible for coordinating with all GDOT offices, as necessary, during the development of the RFP. After the project is awarded, the IPD-PM will be responsible for proactively coordinating with the Office of Construction, the District Construction Office, and the Area Office during the administration of the DB contract. During the non-land disturbing phase of the DB contract the IPD-PM will ensure that DB submittals are complete and contain all required information, and will coordinate their reviews with all applicable GDOT offices. The IPD-PM will also be responsible for facilitating these reviews in a timely manner, and in accordance with the review times allowed under the DB contract. Subsequently, the IPD-PM will continue with the project management role during the land disturbing phase of the DB contract by attending regular project meetings, facilitating reviews of plan revisions on construction (as necessary), assist with monthly pay application reviews, working to resolve design or permitting related matters that may be encountered on construction, and serving as a resource to the District Construction Office. Page 3 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 The Office of Transportation Services Procurement (TSP) will be responsible for advertising the Request for Qualifications (RFQ), facilitating evaluations of the Letter of Interest (LOI)/Statement of Qualifications (SOQ), providing answers to questions during the RFQ phase, and issuing any notifications for the selection of finalists or shortlist to DB Firms. The process for the exchange of information during this phase of procurement will be included in the RFQ, and any proposing DB Firm found to be in violation will risk disqualification. The Office of Construction Bidding Administration (CBA) will be responsible for issuing the Notice to Contractors, coordinating with FHWA if necessary, obtaining authorizations, advertising the DB Request for Proposal (RFP), bid opening at letting, and facilitating the execution of the DB contract document with the awarded DB Firm. Instructions on the process for the exchange of information during this phase of procurement will be included in the RFP, and any proposing DB Firm found to be in violation will risk disqualification. All other GDOT offices will provide support to IPD during the administration of the DB contract in accordance with their respective duties. 4. DEFINITIONS The following terms are in addition to those provided in the Design-Build Rule, and will have the following definitions unless the context thereof indicates to the contrary: 1. “Communications”: Exchanges between the Georgia Department of Transportation (GDOT) and submitters, before or after receipt of the bid and supporting technical proposals. 2. “Contract documents”: Project related specifications and any project related supporting material that is advertised through the Office of Construction Bidding Administration (CBA) as part of the Request for Proposal (RFP). 3. “Design-Bid-Build”: A project delivery method where design and construction are sequential and separate steps in the project development process. 4. “GDOT” (GDOT): The Georgia Department of Transportation. 5. “Intelligent Transportation System (ITS)”: Services which provide for the acquisition of technologies or systems of technologies (e.g., computer hardware or software, traffic control devices, communications links, fare payment system, automatic vehicle location system, etc.) that provide or contribute to the provision of one or more ITS user services as defined in the National ITS Architecture. 6. “Prequalification”: The process for determining whether a professional consultant or contractor is fundamentally qualified to perform a certain class of work or project. All consultants and contractors for DB projects must be prequalified by the Georgia Department of Transportation (GDOT). 7. “Request for Qualifications (RFQ)”: Refers to part one of the Design-Build (DB) procurement process which establishes the criteria for evaluating interested DB Firms. DB Firms desiring to submit bid proposals on DB projects shall submit a Letter of Interest/Statement of Qualifications (LOI/SOQ) in response to the RFQ setting forth the qualifications of the members of the DB Firms and providing any other information required by the RFQ. Page 4 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 8. “Selection of Finalist”: The selection of all qualified submitters who have successfully responded to an RFQ. 9. “Shortlist”: The narrowing of the field of submitters through the selection of the most qualified submitters who have successfully responded to a Request for Qualifications (RFQ). 10. “Solicitation”: A public notification of an owner's need for information, qualifications, or proposals related to identified services. 11. “Stipend”: A monetary amount established as a payment for work product to be paid to the Design-Build (DB) Firms who submitted responsive, yet unsuccessful proposals. Responsive is defined as containing all the information and level of detailed requested in the RFP. 12. “Technical proposal”: A document provided by the Design-Build (DB) Firm as required by the Request for Proposal (RFP) that is in addition to the bid. It may include, but is not limited to, the DB Firm’s detailed project schedule, total contract time, mobilization assumptions, construction staging assumptions, design assumptions, or an estimate with all material quantities and price assumptions used to form the basis of the bid. 13. “Technical Review Committee (TRC)”: A selected group of Georgia Department of Transportation (GDOT) staff who will evaluate the low bidder’s technical proposal for its responsiveness to the technical proposal requirements set forth in the RFP. 5. PRELIMINARY PROJECT SELECTION A. DB Project Criteria GDOT will consider the following criteria for determining when to use the DB methodology for project delivery: 1. Projects that need to be accelerated for the public benefit. 2. Projects where up-front contractor-engineer interaction will stimulate value engineering analysis in order to reduce project cost. 3. Projects with complex constructability issues. 4. Projects using specialty or innovative designs and construction methods or techniques. 5. Projects directly supporting economic development. 6. Projects to maximize the use of available funding (i.e. Federal, Bonds, etc.). 7. An emergency project where repair or design and construction need to be expedited for the public good. (Procurement for emergency projects may be expedited at the Chief Engineer’s discretion) 8. Projects involving software development or integration, and/or rapidly changing technologies. B. Potential DB Projects The State IPD Engineer, in collaboration with GDOT’s Construction Division and Engineering Division, will annually (or more frequently as needed) review the Construction Work Program (CWP) to identify candidate DB projects, and to evaluate the status of current approved DB projects. The State IPD Engineer will submit to the Chief Engineer for review a finding of public interest recommendation letter for each candidate DB project. This letter will note the type and scope of the project and the reasons for it being delivered through a DB contract. Page 5 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 C. Contracting Cap Per Georgia Code Section 32-2-81, GDOT is limited to contracting for no more than 30 percent of the total amount of construction projects awarded in the previous fiscal year. The 30 percent will sunset after July 1, 2014 and revert back to 15 percent. IPD is responsible for maintaining the list of candidate DB projects and ensuring that awarded DB projects do not exceed the contracting cap in any given fiscal year. 6. CHIEF ENGINEER’S APPROVAL The Chief Engineer will review the finding of public interest recommendation letter prepared by the State IPD Engineer for each candidate DB, and will provide a final written determination of acceptance of the project into the DB program. Upon approval by the Chief Engineer, a composite list of approved DB projects will be revised and included on GDOT’s Design-Build webpage. The list will be revised from time to time to reflect projects that are added or removed from the list. 7. FHWA APPROVAL AND AUTHORIZATION FHWA approval and authorization is required, prior to the advertisement of the RFP, for the following types of projects: Federal-Aid projects, projects linked to a Federal-Aid Highway project, or projects assigned to full federal oversight. Prior to any DB project’s award, the State IPD Engineer will provide the FHWA GA Division Administrator a letter outlining such items as the procurement schedule, proposing DB Firms, bids received, the Technical Review Committee (TRC) members, and the evaluation criteria for use to determine responsiveness of the low bidder. 8. REQUEST FOR QUALIFICATIONS (RFQ) An announcement for each DB project will be issued by GDOT’s TSP a minimum of 60 days prior to the date for submission of LOI/SOQ. A Public Notice Advertisement (PNA) for each DB project may be advertised in advance of the Request for Qualifications (RFQ). The PNA and RFQ will be posted on GDOT’s CBA and on the State of Georgia Department of Administrative Services (DOAS) websites at: http://tomcat2.dot.state.ga.us/ContractsAdministration/index.cfm and http://ssl.doas.state.ga.us/PRSapp/PR_index.jsp The RFQ will include at a minimum the tentative general scope and description, location, anticipated procurement schedule of the proposed project, as well as the LOI/SOQ evaluation criteria, shortlist criteria (if applicable), and the stipend qualification (if applicable). The RFQ will also include area class requirements, instructions for preparing the LOI/SOQ, additional terms and conditions, and certification form, if necessary. GDOT has established procedures governing the prequalification of Consultants and Contractors which can be found at http://www.dot.state.ga.us/doingbusiness/prequalification/Pages/default.aspx. All Contractors Page 6 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 and Consultants wishing to pursue DB projects must be prequalified by GDOT by the due date for submission of the LOI/SOQ in order to be eligible to continue in the procurement of the DB project. 9. LETTER OF INTEREST (LOI)/STATEMENT OF QUALIFICATIONS (SOQ) In response to the RFQ, proposing DB Firms will deliver the specified number of LOI/SOQ to TSP per the requirements that will be specified in the RFQ. As stipulated in the Design-Build Rule, GDOT must receive a minimum of three LOI/SOQ. If three SOQ submittals are not received, then GDOT will be required to re-advertise the RFQ if procurement as a DB project is to continue. 10. EVALUATION OF LOI/SOQ The evaluation criteria for the LOI/SOQ will be included in the RFQ. GDOT’s TSP will be the entity responsible for identifying GDOT evaluators, coordinating the evaluations, facilitating DB Firm interviews (if applicable), compiling the scores, and ranking and preparing the short list of DB Firms or preparing the selection of finalist letter to DB Firms. The LOI/SOQ submittals must address all stated criteria in the RFQ in order to be considered responsive. Criteria for evaluation will be governed by the selection criteria set forth in 48 CFR 36.602-1 and will generally include: professional qualifications; specialized experience and technical competence; capacity to accomplish the work in the specified timeframe; past performance; and other appropriate evaluation criteria as deemed important by GDOT. 11. SELECTION OF FINALIST/SHORTLIST Unless otherwise specified, GDOT will select all qualified DB Firms who submit a responsive LOI/SOQ. GDOT’s TSP will issue a selection of finalist notification to all DB Firms. GDOT may shortlist between 3 and 5 most qualified DB Firms for those projects that involve one or more of the following: complex design elements, extensive environmental mitigation, and multiple federal agencies involvement, coordination of a large number of utility relocations, railroad coordination, and right-of-way acquisition services. The method of selection will be identified in the RFQ. 12. REQUEST FOR PROPOSAL (RFP) The RFP will consist of the special provisions, and costing plans (if available). In addition, supporting information will be made available to DB Firms at the time of the RFP advertising via a GDOT readonly ftp site. Instructions to obtain this information will be included in the RFP, and may include, but is not limited to the following, if available: 1. Geotechnical information (BFI’s, WFI’s, Soil Survey, etc.) 2. Proposed pavement design, acceptable pavement typical section(s), existing pavement condition surveys 3. Survey control package 4. Traffic data 5. Digital Terrain Model (DTM) 6. Property information 7. Environmental Documentation 8. Overhead/Subsurface Utility Engineering (SUE) investigations 9. Memorandum of Understanding (MOU) for each utility owner found within the project’s limits Page 7 GDOT DESIGN-BUILD MANUAL 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. Date: September 1, 2010 Bridge inspection reports Bridge hydraulic reports Approved Concept Report Approved Right-of-Way Plans Design Exceptions and Design Variances Right-of-way information – potential impacts, appraisals, plan for acquisition Maintenance of traffic and constructability limitations Applicable project permits including ACOE 404, Coast Guard, etc. Value Engineering (VE) Report and VE Implementation Letter Costing Plan Review Report Readily available existing project plans Special Provision 999 for DB will be included in the RFP. Special Provision 999 will include, but is not limited to the following: submittal requirements necessary for GDOT to authorize land disturbance activities, mandatory scope requirements, important directives, design requirements, schedule requirements, permitting requirements, environmental commitments, utility requirements, Rightof-Way acquisition requirements and/or status, and an estimation of time that GDOT and FHWA will require to review and comment/accept submittals. The DB Firm shall adhere to all Standards required for design of roadway projects for GDOT that are included at GDOT’s R.O.A.D.S. Repository for Online Access to Documentation and Standards. In addition, some elements of GDOT’s Plan Development Process (PDP) may be completed prior to the RFP advertisement, however other elements of GDOT’s PDP may need to be completed by the awarded DB Firm prior to land disturbing activities being authorized by GDOT as per Special Provision 999. The IPD-PM will be responsible for compiling all items that will be included in RFP, determining which items will be the DB Firm’s responsibility, and coordinating the RFP advertisement with GDOT’s CBA. The IPD-PM will also be responsible for meeting with various GDOT offices and FHWA, as appropriate, when compiling the RFP in order to collaborate on the project scope needs, and staff availability needed to establish internal submittal review times. Prior to the RFP submittal to GDOT’s CBA, the IPD-PM may request a Costing Plan Review be facilitated by GDOT’s Office of Engineering Services which will allow all participating offices and FHWA an opportunity to review the RFP and to collaborate on strategies regarding risk allocation. A. Utilities and Railroads Utilities and their relocations are critical to any project, and must be addressed early in the DB contract. GDOT may include an Overhead/Subsurface Utility Engineering (SUE) investigation Quality Level B (QL-B) in each RFP which the proposing DB Firms will use to ascertain the probable impacts to the existing utility infrastructure within the project’s limits. Each proposing DB Firm is encouraged to evaluate how best to minimize or avoid impacts during the development of their bid and supporting technical proposal. GDOT will include an executed Memorandum of Understanding (MOU) with each utility owner who may have facilities within the project limits in the RFP. The MOU will identify the entity that will be responsible for the design and construction of the utility relocation(s). When utility relocation is the DB Firm’s responsibility, the DB Firm, through coordination with utility companies, shall determine utility conflicts and make arrangements for relocation or adjustments as required. The DB Firm will be responsible for coordinating with utility owners regarding “prior rights” and compensation responsibilities for utility relocations for GDOT’s further handling. Standard internal procedures will Page 8 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 be utilized for all utility relocation. Refer to GDOT’s Utility Accommodation Policy and Standards Manual for additional information addressing utility requirements. If a DB project is expected to impact a railroad then the IPD-PM must coordinate as early as possible with GDOT’s State Utilities Railroad Liaison Engineer during the development of the RFP. In addition, the impacted railroad owner(s) should be consulted during the development of the RFP to collaborate on the scope to which the DB Firm must perform under the DB contract. The GDOT IPDPM and GDOT’s State Utilities Railroad Liaison Engineer will ensure that the DB Firm is adhering to the scope of services with respect to railroad coordination, and will provide guidance, as necessary, during the administration of the DB contract. B. Rights-of-Way/Easements Procurement of Right-of-Way (ROW) should typically remain the responsibility of GDOT. However, in some cases it may be advantageous to have the DB Firm include the ROW acquisition services within the DB contract. The RFP may be advertised and the DB Contract awarded prior to the ROW activities commencing or being completed. Construction activities shall not begin on any portion of the DB project until all necessary ROW and easements are in possession of the State and/or a local government entity, and authorization is granted by GDOT. If GDOT and/or a local government entity is acquiring the ROW and if all parcels are not in possession at the time of the RFP advertisement, then GDOT will include in the RFP the anticipated date of possession for each outstanding parcel. If the DB Firm is to acquire the ROW then GDOT will include in the RFP the ROW acquisition scope of services. GDOT will not be responsible for any temporary easements that are necessary for construction equipment, materials, and/or operations on property not previously identified as property necessary to construct the project. The DB Firm will also responsible for securing borrow/waste pit locations, if necessary. The performance of all ROW services will be in full compliance with Title 49 Code of Federal Regulations, Part 24, Title 23 Code of Federal Regulations, Part 710, the Federal Uniform Act, all State Laws including, but not limited to, Georgia Code 22 and 32, and in accordance with GDOT’s Right-of-Way Manual of policies and procedures. C. Environmental In the event GDOT determines that the DB project will be procured and awarded prior to the approval of the NEPA document then the requirements set forth in 23 CFR Part 636.109 will apply. In this case, the RFP will include a provision which prevents the DB Firm from proceeding with Rightof-Way acquisition, final design or construction activities prior to the approval of the NEPA document, pursuant to the FHWA NEPA regulation at 23 CFR 771.113(a). In addition, the RFP will include a provision ensuring that no commitments are made to any alternative being evaluated in the NEPA process and that the comparative merits of all alternatives presented in the NEPA document (including the no-build alternative) will be evaluated and fairly considered. Finally, the RFP will include a termination provision in the event the no-build or no action alternative is selected at the end of the NEPA process. The following are considered as NEPA document approval: Categorical Exclusion (CE) classification, Finding of No Significant Impact (FONSI), or Record of Decision (ROD) along with GDOT’s Page 9 GDOT DESIGN-BUILD MANUAL authorization to proceed. information. Date: September 1, 2010 Refer to the GDOT Environmental Procedures Manual for additional 13. STIPEND For each DB project the State IPD Engineer will provide a recommendation to the Chief Engineer and Treasurer. At the discretion of the Chief Engineer, a stipend may be paid to unsuccessful shortlisted DB Firms who have submitted a responsive proposal. Stipend recommendations shall require the approval of both the Chief Engineer and the Treasurer. GDOT’s decision to offer stipends will be based on an analysis of the estimated proposal development costs, the complexity of the project, the level of risk associated with the project estimates and bid, the level of materials provided by GDOT, and the anticipated degree of competition during the procurement process. The stipend amount is eligible for Federal-aid participation. In general, the larger and more complex a project is and the less information provided by GDOT, the more justification there may be to institute stipends on the project. On such projects, stipends will be used to: 1. 2. 3. 4. 5. Payment for work product; Encourage competition; Encourage innovation; Compensate unsuccessful submitters for a portion of their development costs; and Ensure that smaller companies are not put at a competitive disadvantage. GDOT will specify their intent to either offer a stipend (including the amount and conditions) or to not offer a stipend in the RFQ. Upon receipt of the stipend, all rights for the use of the ideas submitted by the unsuccessful submitter are to be transferred from the submitter to GDOT and may be used by GDOT without restriction on the intended DB project, or any future project. Submitters may elect to waive the stipend for retention of intellectual property. In which case, all designs, calculations, drawings, samples, and other proposal material will be returned to the submitter. The RFP will clearly describe the process for distributing the stipend to qualifying DB Firms, including but not limited to, stipend amount, transfer of rights, verification of effort, and timing of payment. 14. CONFLICT OF INTEREST Refer to GDOT’s Policies and Procedures, 49 CFR, and 23 CFR Part 636.116 for information regarding Conflict of Interest. 15. RFP ADVERTISEMENT The RFP will be advertised through GDOT’s CBA website http://tomcat2.dot.state.ga.us/ContractsAdministration/index.cfm. which is found at 16. LETTING Each eligible DB Firm’s bid will be publicly opened on the day, time, and location noted in the RFP. In addition, each eligible DB Firm shall deliver to GDOT a technical proposal by the day, time, and location noted in the RFP. Technical proposals shall be submitted in separate packages and appropriately labeled, and shall include the required information per the instructions included in the RFP. Page 10 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 17. ALTERNATIVE TECHNICAL CONCEPTS GDOT may consider the use of Alternative Technical Concepts (ATC) consistent with 23 CFR 636.209. The ATC process may be used by GDOT if it will allow DB Firms the ability to suggest modifications to the RFP that would improve the project technically or reduce construction costs, thus allowing a better project without increasing its cost or to gain the benefit of a cost reduction without an adverse impact on project quality. If GDOT chooses to allow ATC on a DB project, the procedures for submitting and GDOT accepting the ATC will be included in the RFP. The extent to which the ATC information would be publicly shared by GDOT will also be included in the RFP. 18. TECHNICAL PROPOSAL EVALUATIONS The intent of the DB Firm’s technical proposal is to clearly document all assumptions that were made when preparing the bid. This includes, but is not limited to, any proposed changes to the advertised costing plans, pay item quotes, design assumptions, summary of quantities, detailed estimate, design costs, mobilization assumptions, construction staging assumptions, schedule assumptions, NEPA requirements, and utility relocation considerations. The requirements of the technical proposal will be included in the RFP. The Technical Review Committee (TRC) members will be established by the State IPD Engineer. The TRC will review the technical proposal of the lowest bidder in order to validate its responsive to the requirements set forth in the RFP. When complete, the State IPD Engineer will send a recommendation letter to GDOT’s Bid Review Committee; as well as a letter to FHWA GA Division Administrator outlining the process used to procure the specific DB project, procurement schedule, bids received and the TRC’s recommendation. If a DB Firm withdraws from consideration after GDOT issues the RFP, GDOT may continue its evaluation if at least two proposals are received. GDOT will select the lowest, responsive and responsible bidder. A technical proposal is considered non-responsive if it does not contain all the required information and level of detail, or is non-compliant with the design and/or construction criteria defined in the RFP. A technical proposal shall not be deemed to be non-responsive solely on the basis of minor irregularities in the proposal that do not directly affect the ability to fairly evaluate the merits of the proposal. In the event that major errors, major irregularities or major omissions in the lowest bid proposal are uncovered, GDOT shall retain the right to disqualify the lowest bid design-build firm and award the project to the next lowest, responsive and responsible bidder. 19. AWARD OF THE CONTRACT As noted in the Design-Build Rule GDOT will award the DB project to the lowest responsive DB Firm. 20. NOTICE TO PROCEED After award of the contract, GDOT will issue a conditional Notice to Proceed (NTP) which will allow the DB Firm to advance non-land disturbing activities. This may include, but is not limited to surveying and mapping, geotechnical studies, development of construction plans, development of ROW plans (if applicable), SUE investigations; and any other activity that is needed to complete construction plans, acquire the ROW (if applicable), or obtain permits and any other related documents. GDOT will authorize land disturbing activities for either the entire project or for any segment of the project after GDOT accepts the required submittals as listed in Special Provision 999. This Page 11 GDOT DESIGN-BUILD MANUAL Date: September 1, 2010 authorization will be provided through GDOT’s issuance of a letter indicating the DB Firm is Released for Construction. Utility work to be performed by the utility facility owner in accordance with the executed MOU shall not commence until a utility permit is issued by GDOT. 21. DESIGN-BUILD CONTRACT ADMINISTRATION DB project management continuity from pre-let to post-let phases is essential for the successful implementation of a DB project. The IPD-PM will ensure that GDOT’s administration of the executed DB Contract and internal GDOT activities are clearly coordinated, documented, and proactively managed. The appointment of the IPD-PM by the State IPD Engineer will take place no later than the time that the project is approved to be added to the DB Program. The IPD-PM will be responsible for administering the DB contract during the non-land disturbing phase. The IPD-PM will proactively coordinate with all participating GDOT offices, and FHWA, so to foster the achievement of GDOT’s goals and objectives which include GDOT’s authorization for the DB Firm to begin land disturbing activities. During the land disturbing phase of the DB contract the IPD-PM will perform project management duties as described in GDOT’s PDP. In addition, the IPD-PM will remain actively engage during this phase of the DB contract to ensure effective communication, continuity and successful project delivery. 22. PROJECT ACCEPTANCE The DB project acceptance and closeout will adhere to current GDOT procedures for construction projects. In addition to this requirement, DB project acceptance and closeout will not occur until the DB Firm submits and GDOT accepts the final “As-Built Plans.” 23. REPORTING As stipulated in the Georgia Code Section 32-2-81, not later than 90 days after the end of the fiscal year, GDOT will provide the Governor, Lieutenant Governor, Speaker of the House of Representatives, and Chairmen of the House and Senate Transportation Committees a summary containing all projects awarded during the fiscal year using the DB contracting method. 24. DOCUMENT HISTORY Original document publication date of September 1, 2010. Page 12 O.C.G.A. § 32-2-81 GEORGIA CODE Copyright 2010 by The State of Georgia All rights reserved. *** Current through the 2010 Regular Session *** TITLE 32. HIGHWAYS, BRIDGES, AND FERRIES CHAPTER 2. DEPARTMENT OF TRANSPORTATION ARTICLE 4. EXERCISE OF POWER TO CONTRACT GENERALLY O.C.G.A. § 32-2-81 (2010) § 32-2-81. "Design-build procedure" defined; procedures for utilization; receipt of letters of interest; limitation on contracting; summary projects (a) As used in this Code section, the term "design-build procedure" means a method of contracting under which the department contracts with another party for the party to both design and build the structures, facilities, and other items specified in the contract. (b) The department may use the design-build procedure for buildings, bridges and approaches, rail corridors, and limited or controlled access projects or projects that may be constructed within existing rights of way where the scope of work can be clearly defined or when a significant savings in project delivery time can be attained. (c) When the department determines that it is in the best interests of the public, the department may combine any or all of the environmental services, right of way services, design services, and construction phases of a public road or other transportation purpose project into a single contract using a design-build procedure. Design-build contracts may be advertised and awarded notwithstanding the requirements of paragraph (1) of subsection (d) of Code Section 32-2-61. However, construction activities may not begin on any portion of such projects until title to the necessary rights of way and easements for the construction of that portion of the project has vested in the state or a local governmental entity and all railroad crossing and utility agreements have been executed. (d) The department shall adopt by rule procedures for administering design-build contracts. Such procedures shall include, but not be limited to: (1) Prequalification requirements; (2) Public advertisement procedures; (3) Scope of service requirements; (4) Letters of interest requirements; (5) Request for proposals. Requests for proposal shall include the applicable percentage to be applied to each evaluation criterion and the relative weight to be assigned to each; (6) Criteria for evaluating technical information and project costs; (7) Criteria for selection and award process, provided that the rules shall specify that the criteria for selection shall consist of the following minimum two components: (A) A statement of qualifications from which the department will determine a list of qualified firms for the project; and (B) From the list of qualified firms as provided in subparagraph (A) of this paragraph, a price proposal from each firm from which the department shall select the lowest qualified bidder; provided, however, that a proposal will only be considered nonresponsive if it does not contain all the information and level of detail requested in the request for proposal. A proposal shall not be deemed to be nonresponsive solely on the basis of minor irregularities in the proposal that do not directly affect the ability to fairly evaluate the merits of the proposal. Notwithstanding the requirements of Code Section 36-91-21, under no circumstances shall the department use a "best and final offer" standard in awarding a contract. The department may provide for a stipulated fee to be awarded to the short list of qualified proposers who provide a responsive, successful proposal. In consideration for paying the stipulated fee, the department may use any ideas or information contained in the proposals in connection with the contract awarded for the project, or in connection with a subsequent procurement, without obligation to pay any additional compensation to the unsuccessful proposers; (8) Identification of those projects that the department believes are candidates for design-build contracting, with the understanding that in general this type of contract should have minimal right of way or utility issues which are unresolved; provided, however, the failure of the department to identify such projects does not prevent the department from using design-build contracting in extraordinary circumstances including emergency work, unscheduled projects, or where loss of funding might occur; and (9) Criteria for resolution of contract issues. The department may adopt a method for resolving issues and disputes through negotiations at the project level by the program manager up to and including a dispute review board procedure with final review by the commissioner or his or her designee. Regardless of the status or disposition of the issue or dispute, the design-builder and the department shall continue to perform their contractual responsibilities. The department shall have the authority to suspend or provide for the suspension of Section 108 of the department's standard specifications pending final resolution of such contract issues and disputes. This paragraph does not prevent an aggrieved party from seeking judicial review. (e) The department must receive at least three letters of interest in order to proceed with a request for proposals. The department shall request proposals from no fewer than three of the design-build firms submitting letters of interest. If a design-build firm withdraws from consideration after the department requests proposals, the department may continue if at least two proposals are received. (f) In contracting for design-build projects, the department shall be limited to contracting for no more than 30 percent of the total amount of construction projects awarded in the previous fiscal year. After July 1, 2014, in contracting for design-build projects, the department shall be limited to contracting for no more than 15 percent of the total amount of construction projects awarded in the previous fiscal year. (g) Not later than 90 days after the end of the fiscal year, the department shall provide to the Governor, Lieutenant Governor, Speaker of the House of Representatives, and chairmen of the House and Senate Transportation Committees a summary containing all the projects awarded during the fiscal year using the design-build contracting method. Included in the report shall be an explanation for projects awarded to other than the low bid proposal. This report shall be made available for public information. RULES OF STATE DEPARTMENT OF TRANSPORTATION CHAPTER 672-18 GOVERNING THE DESIGN-BUILD PROCEDURES TABLE OF CONTENTS 672-18-.01 Purpose of Regulations. 672-18-.02 Definitions. 672-18-.03 Prequalification Requirements. 672-18-.04 Public Advertisement Procedures. 672-18-.05 Scope of Service Requirements. 672-18-.06 Letters of Interest Requirements. 672-18-.07 Request for Proposals. 672-18-.08 Criteria for Evaluating Technical Information and Project Costs. 672-18-.09 Criteria for Selection. 672-18-.10 Criteria for Award Process. 672-18-.11 Criteria for Providing a Stipend. 672-18-.12 Criteria for Resolution of Contract Issues. 672-18-.13 Fiscal Year Summary Report of Design-Build. 672-18 -.01 Purpose of Regulations. The Department’s policy concerning design-build is to assure that projects utilizing this method of award are in the best interests of the public, are clearly defined projects, or provide a significant time savings in project delivery. 1 672-18 -.02 Definitions. The following terms, as used in this Chapter, shall have the following meanings unless the context thereof indicates to the contrary: (a) “Acceptable response”: A Letter of Interest with a Statement of Qualifications from a design-build submitter that includes only Department pre-qualified consultants and contractors for the scope of work advertised. (b) “CFR”: Code of Federal Regulations. (c) “Department": The Georgia Department of Transportation. (d) “Design-build”: means combining some portion(s) of the design and construction phases of a project into a single contract. (e) “Design-build firm”: A contractor and a design consultant (or design consultant team) working together to design and build the project. The design consultant will either be acting as a subcontractor to the contractor or as a joint venture member with whom a design-build agreement is executed. (f) “FHWA”: The Federal Highway Administration. (g) “FTA”: The Federal Transit Administration (h) “Letter of Interest”: Correspondence to be included with, or attached to, the Statement of Qualifications of the proposing design-build firms. (i) “Project”: A design-build project to be designed and constructed as described in the Public Notice Advertisement and the Request for Proposals. This type of project should have minimal right of way or utility issues which are unresolved prior to the issuance of Request for Proposals. Projects may be classified as buildings, bridges and approaches, rail corridors, and limited or controlled access facilities or projects that may be constructed within existing rights of way where the scope of work can be clearly defined or when a significant savings in project delivery time can be attained. (j) “Public Notice Advertisement”: An announcement by the Department for an upcoming design-build project(s). (k) "Request for Proposals (RFP)”: The RFP is the document that describes the procurement process, forms the basis for the final proposal and may potentially become an element of the contract. The Department will issue a RFP for the design-build project to all design-build firms that are deemed qualified based on their Letter of Interest and Statement of Qualifications. 2 (l) “Statement of Qualifications (SOQ)”: A component for selecting a list of qualified design-build firms for the project. For each consultant and contractor, the SOQ must include, at a minimum, documentation that the design-build firm is capable of satisfying the scope of services of the project as well as a copy of the Department issued Certificate of Qualification. (m) “Submitter": Any individual, partnership, association, corporation, firm or joint stock company, joint venture, limited liability corporation, their lessees, trustees, assignees or receivers as appointed by any court, who responds to a Department design-build advertisement and presents the Department with a Letter of Interest and Statement of Qualifications and, if short listed, presents the Department with a response (bid) to the Request for Proposals. 672-18 -.03 Prequalification Requirements. The Department has established a policy and procedure governing the qualifications of professional consultants (Transportation Online Policy and Procedure System - 4020) and contractors (Standard Specifications Construction of Transportation Systems – Section 102) to perform work. All contractors and consultants for design-build projects must be prequalified by the Department at the date of submission of the Letter of Interest and Statement of Qualifications to be eligible for short list consideration. 672-18 -.04 Public Advertisement Procedures. Public notice for Letters of Interest/Statement of Qualifications for design-build projects will be given by Internet. An announcement for a design-build project(s) will be made by the Department a minimum of 60 days prior to the date for submission of Letter of Interest/Statements of Qualifications and shall be posted on the Department Office of Contract Administration and on the State of Georgia Department of Administrative Services (DOAS) websites at: http://www.dot.state.ga.us/dot/construction/contractsadm/index.shtml and http://ssl.doas.state.ga.us/PRSapp/PR_index.jsp This public notice advertisement shall outline the tentative general scope(s) and description(s), location(s), anticipated procurement schedule(s) of the proposed project(s) as well as the Letter of Interest/ Statement of Qualifications evaluation and shortlist criteria and the stipend qualification (if applicable). 3 672-18 -.05 Scope of Service Requirements. The Department has established policy and procedure governing contracts to perform federal-aid and state-aid work for professional consultants (Transportation Online Policy and Procedure System - 4050) and contractors (Standard Specifications Construction of Transportation Systems – Section 104) to complete the scope of service requirements. Combined, those procedures include, at a minimum, the provision of all labor, materials, equipment, tools, and supplies required to design and construct the design-build project. Through the established policy and procedure the consultant’s specific scope of services and contractor’s specific scope of work, will be further defined on a project by project basis. The specificity will be provided in detail as part of the Letter of Interest/Statement of Qualifications advertisement of the project. The Department will evaluate the scope of the design-build project(s) and will list the required prequalification categories for professional services in the request for Letters of Interest/Statement of Qualifications advertisement. 672-18-.06 Letters of Interest Requirements. The Department has established policy and procedure governing the evaluation of Letters of Interest/Statement of Qualifications. Criteria for evaluation will be governed by the selection criteria set forth in 48 CFR 36.602-1 including: professional qualifications; specialized experience and technical competence; capacity to accomplish the work in the specified timeframe; past performance; and, other appropriate evaluation criteria. http://www.gpoaccess.gov/cfr/index.html Letters of Interest shall address all stated criteria in the advertisement for Letters of Interest/Statement of Qualifications in order to be considered complete. The Department must receive three or more acceptable responses from qualified design-build firms in order to proceed with the Request for Proposals phase. The Department will review all Letters of Interest against the advertised criteria in the public advertisement notice and from this review shall determine a list of all qualified design-build firms. The advertised criteria shall include, at a minimum: 1. All project specific qualifications necessary to satisfy both the construction and design portions of the scope of services, and 2. A copy of the Department-issued Certificate of Qualification for the entire design-build firm, including each member of the consultant team and each prime contractor, if a joint venture team is proposed. 4 The advertisement for Letters of Interest/Statement of Qualifications shall include information on the procedures that apply for consideration of a proposal and shall include the applicable percentage to be applied to each evaluation criterion and the relative weight to be assigned to each. Based on the responses provided in the Letter of Interest/Statement of Qualifications, the Department shall rank the Statements of Qualifications of the qualified Submitters. Based on these rankings, the Department may either accept all qualified design-build firms or short list the highest ranked designbuild firms to participate in the Request for Proposals phase of the procurement. 672-18-.07 Request for Proposals. Request for proposals (RFP) will be made to a minimum of three and maximum of five qualified design-build firms. At the Department’s discretion, RFP’s will be issued to either all qualified design-build firms submitting an acceptable response to the request for Letter of Intent/Statement of Qualifications or to a short list of the most qualified Submitters as determined by the Department. The RFP will clearly define all functions, design criteria, special provisions and responsibilities of the design-build firm and will clearly define the mandatory project scope elements, deliverables and the project schedule. The RFP will outline the terms and conditions of a project stipend (if applicable). As part of the RFP, and when available, the Department will provide any projectspecific documentation, drawings, files, reports, and other pertinent materials which would be of use to the short listed design-build firms. For projects that are FHWA and/or FTA full-oversight, the Department will obtain FHWA and/or FTA approval of the RFP prior to release. 672-18-.08 Criteria for Evaluating Technical Information and Project Costs. The Department will review the project cost proposals of the short listed design-build firms and any other technical information requested in the RFP. The Department may request that short listed Submitters provide the technical and support information used to develop their respective price proposals. This information may include, but is not limited to, costing plans, pay item quotes, design assumptions, summary of quantities, detailed estimate, design costs, mobilization assumptions and construction staging assumptions. The Department will compare the price proposals of the short listed design-build firms to the internal Department estimate. The Department shall validate the reasonableness and completeness of the price proposals in order to identify the lowest, qualified bidder. 5 672-18-.09 Criteria for Selection. The Department will establish and specify the shortlist selection criteria on a project-byproject basis. A general outline of the shortlist selection criteria will be included in the Request for Qualifications notice for each project. The Department will determine a list of qualified design-build firms for the project from the statement of qualifications submitted in response to the Public Notice Advertisement of the Letter of Interest. A Request for Proposal will only be made available if the Department receives three or more acceptable responses from qualified design-build firms. 672-18-.10 Criteria for Award Process. If a qualified or short listed design-build firm withdraws from consideration after the Department provides a Request for Proposal, the Department may continue its evaluation if at least two proposals are received from the remaining qualified or short listed design-build firms. Based upon the price proposal from each firm, the Department will select the lowest, qualified bidder. Under no circumstances shall the Department use a “best and final” offer standard in awarding a contract. A proposal will only be considered non-responsive if it does not contain all the information and level of detail requested in the Request for Proposal. No proposal will be considered unless it is accompanied by a Proposal Guaranty as mandated by Section 102.08 of the Department Standard Specifications Construction of Transportation Systems. A proposal shall not be deemed to be non-responsive solely on the basis of minor irregularities in the proposal that do not directly affect the ability to fairly evaluate the merits of the proposal. The Department may request that the design-build firms provide the technical support information used to develop the price proposal. In the event that major errors, major irregularities or major omissions in the lowest bid proposal are uncovered, the Department shall retain the right to disqualify the lowest bid design-build firm and award the project to the next lowest, responsive bidder. A design-build project may be awarded prior to receipt of any applicable environmental document, provided prior approval has been obtained from the appropriate lead Federal agency (FHWA or FTA). 672-18-.11 Criteria for Providing a Stipend At the discretion of the Department, a stipend may be paid to the design-build firms who submitted responsive, yet unsuccessful technical proposals (bids). The decision to do so shall be based on analysis of the estimated proposal development costs, the complexity of the project and the anticipated degree of competition during the procurement process. Stipend recommendations shall be made by the Department’s originating office for 6 which the project has been assigned and shall be determined on a project-by-project basis. Stipend recommendations shall require the approval of both the Chief Engineer and the Treasurer. The terms and conditions for stipends, if applicable, shall be included in the Request for Proposals. If a stipend is provided to an unsuccessful firm, the work produced by the firm for the project shall be provided to the Department for their use in connection with the contract awarded for the project, or in connection with a subsequent procurement, without obligation to pay any additional compensation to the unsuccessful firm. Documentation supporting actual technical proposal development costs may be requested. Design-build firms submitting a Letter of Interest/Statement of Qualifications, which were considered unqualified or which were not short listed by the Department, are not eligible for a stipend. 672-18-.12 Criteria for Resolution of Contract Issues. The Department has established policy and procedures governing resolution of contract issues. Criteria for resolution of contract issues are defined in the Department Standard Specifications Construction of Transportation Systems, Section 109.04, “Payment and Compensation for Altered Quantities”, Section 109.05, “Extra Work” and Section 105.13, “Claims for Adjustments and Disputes.” The resolution of contract issues for design-build contracts will follow these standards. 672-18-.13 Fiscal Year Summary Report of Design-Build. Not later than 90 days after the end of the fiscal year, the Department will provide the Governor, Lieutenant Governor, Speaker of the House of Representatives, and Chairmen of the House and Senate Transportation Committees a summary containing all projects awarded during the fiscal year using the design-build contracting method. The report shall include, but not be limited to, the project number, county, project description, name of design-build firm awarded the project, awarded amount, and an explanation for any projects awarded other than low bid. Design-build contracts that are part of a separate Public Private Initiative will not be included in this summary and are outside this Rule. This report will be made available for public information. 7
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