PIPS CM@R

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University Project Number: Error: Reference source not found of 6

University of MinnesotaRequest for Proposal

PIPS Construction Manager at Risk

<<Insert Project Name>>

University Project Number: <<xx-xxx-xx-xxxx>>

<<Insert RFP Issue Date>>

KEEP YELLOW HIGHLIGHTS ON

Regents of the University Of Minnesota(the “University”)

Capital Planning & Project Management

REQUEST FOR PROPOSAL (“RFP”)CONSTRUCTION MANAGER AT RISK SERVICES

Error: Reference source not foundProject Number: Error: Reference source not found

Throughout this RFP “Respondent” or “you” means the company responding to this RFP.

PRE-PROPOSAL MEETINGAND SITE VISIT

The University has scheduled a Pre-Proposal Meeting and Site Visit as follows:

<<Insert time, day and date>>

<<Insert pre-proposal meeting location including address and room number or place to meet>>

Attendance at this meeting is mandatory. The University will not accept Proposals from Respondents that do not attend the Pre-Proposal Meeting and Site Visit.

UNIVERSITY CONTACT FOR RFP INQUIRIES:

Kevin Sullivan via e-mail: [email protected]

The person named above shall be the only contact for all inquiries regarding any aspect of this RFP and its requirements.

DO NOT CONTACT ANY OTHER UNIVERSITY EMPLOYEE, REPRESENTATIVE, OR STUDENT REGARDING THIS RFP UNLESS INSTRUCTED TO DO SO IN THIS RFP OR IN WRITING BY THE UNIVERSITY CONTACT DESIGNATED ABOVE.

PROPOSAL SUBMITTALREQUIREMENTS

The University Must ReceiveYour Proposal No Later Than:

_______, 20__ at 2:00 PM (Minnesota time) per the time clock in

Purchasing Services

The University will not consider late proposals.

SUBMIT BY US MAIL OR DELIVERY:

One (1) signed bound original of your entire proposal, with all attachments, in an 8½ by 11 inch format, with one (1) identical paper copies and one (1) electronic copy on a PC-readable CD-ROM formatted in Adobe® Portable Document Format (.pdf) in a sealed envelope or package with Respondent’s name and address, University Project Number and RFP Title clearly marked on the outside, by US Mail or delivery to the University Contact at the following address:

Kevin Sullivan, Senior BuyerCapital Planning & Project ManagementPurchasing ServicesUniversity of Minnesota400 Donhowe Building319 - 15th Avenue SoutheastMinneapolis, MN 55455-1082

*Maps, driving directions, and parking information for the Twin Cities Campus of the University are available at: www1.umn.edu/pts/maps.htm

University Project Number: Error: Reference source not found Page 1 of 16Revised: 05-07-2009

TABLE OF CONTENTS

1.0 PROJECT INFORMATION..................................................................4

1.1 Background............................................................................................4

1.2 Project Description.................................................................................4

1.3 University-Provided Information.............................................................4

1.4 Hazardous Materials...............................................................................5

1.5 Contract Sum.........................................................................................5

1.6 Required Date of Substantial Completion and Certificate of Occupancy5

1.7 Tentative Schedule of Selection Process................................................5

1.8 Project Management Information System..............................................6

1.9 Evaluation of Proposals..........................................................................6

2.0 INSTRUCTIONS TO RESPONDENTS AND RIGHTS RESERVED BY THE UNIVERSITY...................................................................................8

2.1 Required Review of Documentation.......................................................8

2.2 Requests for Clarification and Information; Proposed Exceptions and Deviations........................................................................................................8

2.3 Pre-Proposal Meeting and Site Visit........................................................9

2.4 Communications Restrictions.................................................................9

2.5 Proposal Submissions - Format and Content........................................10

2.6 Response Date and Time.....................................................................10

2.7 Use of Pencil; Alterations to Proposal...................................................10

2.8 Duration of Offer..................................................................................11

2.9 Public Information and Trade Secrets; Use of Proposals by the University.......................................................................................................11

2.10 Expenses..............................................................................................12

2.11 University Right to Amend RFP............................................................12

2.12 Rights Reserved by University.............................................................12

2.13 Conflict of Interest................................................................................13

3.0 CONTRACT FORM AND REQUIREMENTS..........................................13

3.1 Form of Contract between the University and the Selected Respondent13

3.2 Subcontracting.....................................................................................14

3.3 Laws and Regulations; Governing Law.................................................14

3.4 Performance and Payment Bonds........................................................14

3.5 Liability and Insurance Requirements..................................................14


3.6 Builder's Risk Insurance.......................................................................14

3.7 Targeted Business & Urban Community Development........................15

3.8 Audits...................................................................................................15

3.9 Intellectual Property Indemnification...................................................15

3.10 Prevailing Wage Rates on Project Work Site........................................15

3.11 Post Award Activities............................................................................16

ATTACHMENTS

Important: All requests for responses from Respondents must be in one of the Attachments and not disbursed throughout the RFP.

All checked Attachments listed below are part of the RFP.

X Attachment A:

Company Profile and Declaration Forms

X Attachment B:

Addenda Acknowledgment Report Form

X Attachment C:

Targeted Business & Urban Community Development Forms

X Attachment D:

Construction Manager at Risk Addendum

X Attachment E:

Proposal Form

X Attachment F:

Risk Assessment and Value Added Plan Guide and Template

X Attachment G:

Past Performance Information Guide

X Attachment H:

Pre Award Phase Guide

X Attachment I:

Weekly Reporting System Guide


1.0 PROJECT INFORMATION

1.1 Background

READ, THEN DELETE THIS SHADED EXPLANATION FROM THE FINAL DOCUMENT.

Insert a short description of the Project background. (Why is the University undertaking this project?)

<<Insert>>

1.2 Project Description

The University is requesting Proposals for services for <<Insert a summary description of the project (including square footage, types of space, tenants, and project location)>> (the “Project”).

<<Insert the name of the A/E>> is the Architect/Engineer of Record for the Project.

Project Description/Overview:

READ, THEN DELETE THIS SHADED EXPLANATION FROM THE FINAL DOCUMENT.

<<Insert a summary of the intended scope of the Project, (build new facility; replace mechanical and/or electrical systems; fire/life safety and/or code required upgrades; etc.>>

1.3 University-Provided Information

The University has assembled the following information (also available to view online at http://www.cppm.umn.edu/purchasing/PIPS.html) about the Project (collectively, the “RFP Documents”) for review by the Respondent:

This RFP and all Attachments

<<Insert a list of additional RFP Documents for the Project. (Such as any Program, Predesign Documents, Feasibility Studies, or other related programming information associated with the Project.)>>

The following additional RFP Documents are available for Respondents to review at the University web site: www.cppm.umn.edu

The University’s Standards and Procedures for Construction

The University’s Exterior Design Standards

The University’s Payment and Performance Bond Forms

The Contract (as defined in Attachment D)


http://www.cppm.umn.edu/

http://www.cppm.umn.edu/purchasing/PIPS.html

<<List any other relevant documents that will be posted on the University web site with this RFP.>>

However, please note the RFP Documents are subject to change. The University will provide notice of any changes to the RFP as set forth in Section 2.11.

Any information provided to Respondents during the course of the RFP process, including the documents enumerated in this Section 1.3, is provided only for your use for preparing your Proposal. Respondents shall independently evaluate the information for their use in preparing the Proposal and shall be solely responsible for use or interpretation of the information.

1.4 Hazardous Materials

The Contract provides that if the selected Respondent encounters existing environmental contamination during any phase of the Project, the University will proceed with the abatement measures under separate contract.

1.5 Contract Sum

1.5.1 The University has established a budget for the Contract Sum (as defined in the Contract) in the amount of <<Insert dollar amount>> (current dollars, no escalation) including the Cost of the Work and Respondent's fee. The scope of services shall include providing cost estimating and value engineering in cooperation with the Architect/Engineer of Record and establishing a final scope of work and guaranteed maximum price.

1.6 Required Date of Substantial Completion and Certificate of Occupancy

The University requires the Project to be substantially complete by no later than <<Insert the intended date of Substantial Completion (e.g. July 1, 2010); or insert proposed contract duration period beginning on the date the authorization to proceed is issued to the CM (e.g. 24 months).>> The schedule required to meet this deadline must include all University reviews required by this RFP or the current form of the University's Standards and Procedures for Construction (available at www.cppm.umn.edu).

1.7 Tentative Schedule of Selection Process

The University’s intended schedule for selection of the Respondent is set forth below; however, the University reserves the right to modify this schedule by issuing an addendum to this RFP.

Delete events that do not apply to this RFP.

EVENT DATERFP Available for Distribution Error: Reference source not foundMandatory Pre-Proposal Meeting and Site Visit

<<8-15 days after Issue Date >>, location and time

Deadline for RFP Questions <<11-21 days after Issue Date>>


http://www.cppm.umn.edu/

RFP Responses Due <<15-28 days after Issue Date>> at 2:00 PM

Notification of Short-Listed Finalists <<5 days after Due Date>>Interviews of Short-Listed Finalists <<8-10 days after Due Date>>UMN identifies potential Best Value <<5-15 days after Due Date>>Pre-Award Kick Off Meeting <<5 days after Identification of Best

Value>>Pre-Award Meeting <<10 days after Kick Off Meeting>>Anticipated Award Notification to Selected Respondent

<<5 days after Pre-Award Meeting>>

1.8 Project Management Information System

The University may, at its sole option, direct the selected Respondent to use the University’s internet-based Project Management Information System (“PMIS”). The functionality of this software includes, but is not limited to, the processing of Plan Reviews, Purchase Orders, Change Orders, Contract Amendments, Payment Applications, Requests for Information, and Document Management related to the Project.

If the University chooses to use PMIS for the Project, the University will provide the selected Respondent with a login license and initial software training for the selected Respondent’s designated Project representative(s) at no cost to the selected Respondent. Except for licenses and initial training, the University assumes no responsibility for any real or potential costs associated with the use of PMIS by the selected Respondent.

1.9 Evaluation of Proposals

1.9.1 The University will review each proposal submitted in response to this RFP (“Proposal”) for responsiveness, completeness, signatures, and all required data before accepting the Proposal for further review. The University will evaluate Proposals against the evaluation criteria for the degree to which each Proposal meets the criteria.

1.9.2 The University will award this project to the best valued contractor. Contractors will be prioritized based on the items shows in Section 1.9.3

Past Performance Information (15 points): Past Performance Information is required on each of the critical team components listed below:

Construction Manager (Firm)Project Manager (Individual)Site Superintendent (Individual)

Respondents are required to prepare a list of past projects for each critical team component (as described in Attachment G). Respondents are also required to prepare and send out survey questionnaires to their past clients as described in Attachment G. If the respondent has already performed the


PPI process, the scores can be used for this project. However, it is the respondent’s responsibility to ensure that the University has PPI scores on the firm and critical individuals on file. The customer ratings, number of surveys received, and number of projects evaluated will all be factored into the final analysis (for each of the critical team components).

Risk Assessment and Value Added Plan (25 points): Respondents are required to submit a 2-page Risk Assessment and Value Plan as described in Attachment F. The document shall NOT contain any names or information that can be used to identify who the Respondent is. The University’s objective is to evaluate the plans without any bias. Any plan that contains names or information that can be used to identify who the respondent is, shall be marked as unresponsive. Respondents must use the template provided in Attachment F.

Schedule (5 points): Respondents are required to submit a project duration in the Proposal Form (Attachment E). The duration must be in calendar days and must be calculated from the date the Notice to Proceed is received until the project is fully complete (including all close out documents and final payment).

Targeted Business Group (5 points): Respondents are required to submit information required in Attachment C. This information will be evaluated based on University guidelines (see Section 3.7).

Safety Rating (5 points): As part of the Pre-Qualification process, the Respondent was required to have submitted a Safety Qualification Questionnaire, which was then evaluated by the University’s FM Safety Department. The resulting score of that Questionnaire will be taken into account when evaluating this project. The Respondent can view their firm’s Safety score on the right-hand side of the PIPS website located here. Only the Prime Contractor will be evaluated in this process. Safety scores of the sub-contractors will not be considered.

Cost / Fee (20 points): Respondents are required to submit information required in Attachment D.

Interview (25 points): The University may shortlist vendors prior to interviews (based on cost/fee, targeted business group rating, schedule, risk assessment and value added plan rating, and past performance information ratings). The University will interview critical individuals from the shortlisted firms, including:

The Project ManagerThe Site SuperintendentThe Estimator

The University will interview the individuals separately, but reserves the right to also interview as a group if necessary (as determined by the University). All proposed team members MUST be available for the interview on the date


http://www.cppm.umn.edu/purchasing/PIPS.html

specified in this solicitation. No substitutes or proxies will be allowed. Individuals who fail to attend the interview will not be given a score which may jeopardize the overall firm’s competitiveness. The University may request additional information from the shortlisted firms.

1.9.3 Evaluation criteria will be weighed as follows (the University reserves the right to add/delete/modify criteria and weights at the University’s sole discretion):

CATEGORY DESCRIPTION POINTS

A Attachment A (Responsiveness requirements) Pass/Fail

B Attachment B (Addenda acknowledgment) Pass/Fail

C Attachment C (Targeted Business Questionnaire) Pass/Fail

D Attachment D (Fee and Compensation Structure) Pass/Fail

E Attachment E (Proposal Form) Pass/Fail

F Interviews of Critical Individuals 25%

GRisk Assessment and Value Added Plan (Attachment F)

25%

H Past Performance Information (Attachment G) 15%

I Cost / Fee 20%

J Schedule 5%

K Targeted Business Evaluation 5%

L Safety Rating 5%

1.9.4 In order to be considered responsive, each Respondent must complete and submit all information required in Attachments A-G.

1.9.5 The University will judge and score each Respondent's Proposal based upon the indicated available points. The University may request additional information from Respondents. Each Proposal must include information that responds to each of the evaluation criterion, as specifically requested in the Attachments.

1.9.6 The University shall score each Proposal against the evaluation criteria in its sole discretion and, if the University awards a contract, it will award the contract to the Respondent whose proposal is the most advantageous to the University, as determined by the University in its sole discretion.

1.9.7 The University may require presentations or interviews.


2.0 INSTRUCTIONS TO RESPONDENTS AND RIGHTS RESERVED BY THE UNIVERSITY

2.1 Required Review of Documentation

Before submitting a Proposal in response to this RFP, the Respondent shall review and become completely familiar with the RFP Documents.

2.2 Requests for Clarification and Information; Proposed Exceptions and Deviations

2.2.1 Submit all communications with the University regarding this RFP to the University Contact by e-mail. Each communication must clearly state the Project Name and University Project Number in the subject line and include in the body of the message the number and title of the RFP Document and the applicable section reference that is the subject of the communication. Communications that do not follow this format will be assumed to be general mail, and may not receive timely attention.

2.2.2 The University Contact must receive requests for information or clarification from Respondents no later than the deadline set for such requests in this RFP. The University will send written responses to all such requests to all Respondents on the University’s Official Respondents list. The “Official Respondents List” shall consist of all persons or companies that have requested and have been sent a copy of the RFP by the University Contact and/or who have attended the Pre-Proposal Meeting and Site Visit. If appropriate, the University may issue a change responding to such a request in the form of an addendum to this RFP. No other communications shall be of any effect in changing or amending this RFP.

2.2.3 The University strongly discourages any exceptions to or deviations from the RFP Documents (including, but not limited to, the Contract). If a Respondent wishes to take exception to or propose a deviation from any term or condition in any RFP Document, Respondent must describe its exception or proposed deviation in detail, clearly and conspicuously in its Proposal, with reference to the RFP Document and the specific section number of the term or condition. If a Respondent does not clearly and conspicuously take exception to or propose a deviation from a specific term or condition, the Respondent shall be bound by every term and condition in the RFP Documents in the event of an award of the Contract to the Respondent. The University reserves the right to: 1) accept a Proposal with deviations or exceptions, 2) negotiate deviations or exceptions, or 3) reject a Proposal as non-responsive to the extent proposed exceptions or deviations are deemed unacceptable by the University in its sole discretion.

2.3 Pre-Proposal Meeting and Site Visit

2.3.1 The Pre-Proposal Meeting and Site Visit will be held at the time and place indicated in this RFP. Attendance at the Pre-Proposal Meeting and Site Visit is mandatory. The University will not accept Proposals from Respondents that do not attend.


2.3.2 Respondents are not required to declare their status as potential Respondents at the time of the Pre-Proposal Meeting and Site Visit. Potential Respondents that attend the Pre-Proposal Meeting and Site Visit may decide not to submit a Proposal.

2.3.3 The University will send written replies to all questions submitted during the Pre- Proposal Meeting and Site Visit to all Respondents on the Official Respondents List. The University will not accept questions after the deadline for RFP questions stated in Section 1.7.

2.4 Communications Restrictions

Respondents must not communicate with any University staff concerning the RFP except by e-mail through the University Contact pursuant to the procedure described in Section 2.2. If any Respondent attempts any unauthorized communication, the University may, in its sole discretion, reject that Respondent’s Proposal.

2.5 Proposal Submissions - Format and Content

2.5.1 Submit proposals in a sealed envelope or package with Respondent’s name and address, University Project Number and RFP Title clearly marked on the outside. All paper copies of Proposals shall be bound in an 8½ by 11 inch format (larger format charts and illustrations may be folded), in a manner that facilitates easy handling, photocopying, and reading by the evaluation committee (such as stapled or 3-hole punched, but not spiral bound) and in compliance with the proposal submittal requirements set forth on page 1 of this RFP. All pages, except pre-printed technical inserts, must be sequentially numbered within each document submitted as part of the Proposal. The Proposal must also include a Table of Contents and all completed Attachments checked on the Table of Contents of the RFP.

2.5.2 An identifiable tab sheet must precede each document submitted as part of the Proposal and each section of the Company Profile and Declaration (Attachment A) submitted with the Proposal.

2.5.3 The Proposal must include a transmittal letter from Respondent’s Firm/Company Principal on the Respondent's official business letterhead; the transmittal letter must identify all materials and enclosures being forwarded in response to this RFP, identify the individuals involved in the preparation of the Proposal and must be signed by an individual authorized to commit the Respondent to the scope of work proposed.

2.6 Response Date and Time

2.6.1 To be considered for selection, the University Contact must receive Proposals time stamped by the University Contact no later than the time and date of the submission deadline. Submission by fax, e-mail or other electronic transmission is unacceptable. The University assumes no responsibility for delays in the U.S. mail or courier systems, or delays due to weather conditions.


2.6.2 The University will not accept Proposals received after the submission deadline. Receipt by the University of a Proposal after the closing date and time as stated herein shall not be construed as acceptance of the Proposal. The University will log late Proposals as to date/time received. The University has no obligation to consider or return late Proposals.

2.6.3 If delivery of the Proposal is not made by courier or in person, the use of certified or registered mail is suggested. NOTE: Use of certified or registered mail does not relieve the Respondent of the responsibility to ensure the Proposal is timely delivered and date/time stamped as specified above.

2.7 Use of Pencil; Alterations to Proposal

The University will reject Proposals made in pencil. The University will also reject Proposals with alterations in cost figures used to determine price unless such alterations are initialed in ink by the person responsible for or authorized to make decisions as to the price quoted or other response made. Respondents shall provide proof of authorization to the University upon request. The use of "white-out" is considered an alteration.

2.8 Duration of Offer

Proposals submitted in response to this RFP are irrevocable for 90 days following the deadline for submission of Proposals. This period may be extended by written mutual agreement between a Respondent and the University.

2.9 Public Information and Trade Secrets; Use of Proposals by the University

2.9.1 All materials submitted in response to this RFP are subject to the provisions of Minnesota Statutes, Section 13.591, Subdivision 3(b), which reads as follows:

“Data submitted by a business to a government entity in response to a request for proposal, as defined in section 16C.02, Subdivision 12, are private or nonpublic until the responses are opened. Once the responses are opened, the name of the responder is read and becomes public. All other data in a responder’s response to a request for proposal are private or nonpublic data until completion of the evaluation process. For purposes of this section, “completion of the evaluation process” means that the government entity has completed negotiating the contract with the selected vendor. After a government entity has completed the evaluation process, all remaining data submitted by all responders are public with the exception of trade secret data as defined and classified in section 13.37. A statement by a responder that submitted data are copyrighted or otherwise protected does not prevent public access to the data contained in the response.


If all responses to a request for proposal are rejected prior to completion of the evaluation process, all data, other than that made public at the response opening, remain private or nonpublic until a re-solicitation of the requests for proposal results in completion of the evaluation process or a determination is made to abandon the purchase. If the rejection occurs after the completion of the evaluation process, the data remain public. If a re-solicitation of proposals does not occur within one year of the proposal opening date, the remaining data become public.”

2.9.2 After completion of the evaluation process, materials received will generally be considered public information and will be available for public inspection in accordance with the Minnesota Government Data Practices Act, Minnesota Statutes, Chapter 13, and the University's Records and Information Management policies and procedures. By submission of a Proposal, Respondent releases the University from any liability resulting from the University’s disclosure of such materials and the information contained in them.

2.9.3 If Respondent believes it is submitting information in its Proposal that constitutes 'trade secret information" within the meaning of Minnesota Statutes, Section 13.37, the Respondent should clearly mark each page containing such information as "trade secret" and submit such material in a separate envelope marked "confidential." This envelope should also include an attorney’s opinion for each item, indicating the legal basis for regarding it as trade secret information. Only legitimate trade secret information within the meaning of Minnesota Statutes, Section 13.37, as determined solely by appropriate officials of the University, may be protected from disclosure.

2.9.4 By submitting a Proposal, Respondent also agrees to defend any legal or administrative action seeking release of materials Respondent believes to be trade secret information and to indemnify and hold harmless the University, its Regents, agents and employees from any judgments or damages awarded against any of them in favor of any party requesting the materials, including any costs connected to that defense. If a request is made under Minnesota Statutes, Chapter 13 for release of any materials submitted by Respondent that Respondent deems to be trade secret information, the University will notify Respondent of such a request, but the University will have no obligation to commence or defend any action to prevent the disclosure of any materials, including materials Respondent believes to be trade secret information or otherwise confidential.

2.9.5 The University has the right to use the content of any Proposal received in response to this RFP unless Respondent presents a positive statement of objection to such use in the Proposal. In no event will such objection be considered valid with respect to the use of ideas, which are not the proprietary or trade secret information of the Respondent and so designated in the Proposal, or which were known to the University before submission of such Proposal, or which properly became known to the University thereafter through other sources.


2.10 Expenses

The University assumes no liability for payment of expenses incurred by Respondents in preparing and submitting Proposals in response to this RFP.

2.11 University Right to Amend RFP

2.11.1 The University reserves the right to amend all or any portion of the RFP Documents prior to its announcement of a selected Respondent and award of a Contract. If a change occurs in University requirements resulting in a decision to modify the RFP Documents, the University will communicate such change in writing as an addendum to the RFP to all prospective Respondents on the Official Respondents List. In such an event of a change, all responding Respondents will be afforded the opportunity to revise their Proposals to accommodate the RFP amendment.

2.11.2 Any addenda to this RFP will be sent by the University to Respondents on the Official Respondents List by certified mail or e-mail. Respondents will be responsible for meeting the requirements of all addenda and will be required to acknowledge receipt of all addenda by completion and attachment of Attachment B of this RFP to the Proposal.

2.11.3 To receive addenda and other information pertaining to this RFP, a Respondent must ensure it is on the University’s Official Respondents List and must designate a single mailing address and e-mail address for such communications by e-mail to the University Contact.

2.12 Rights Reserved by University

The University reserves the right to:

Reject any and all Proposals received in response to this RFP.

Select for contract negotiation, and award the contract to, the Respondent whose Proposal is the most advantageous to the University, as determined by the University in the exercise of its sole discretion whether or not the Proposal is the lowest cost Proposal.

Waive any irregularities, or inconsistencies in Proposals received.

Consider and/or accept a written modification (requested by the University) of a Proposal if the Proposal itself was submitted on time, and the modified Proposal is more favorable to the University.

Approve or disapprove any subcontractor proposed to be used by a Respondent.

Negotiate any aspect of a Proposal with any Respondent and negotiate with more than one Respondent at the same time.


Terminate negotiations and prepare and release a new RFP, or take such other action as the University deems appropriate if negotiations fail to result in a contract within a time acceptable to the University in its sole discretion.

Select more than one Respondent to perform various elements of the Project.

2.13 Conflict of Interest

Any contractual relationship with any University personnel in the 12 months immediately prior to the issuance of the RFP, any contact with University personnel regarding the RFP, the Project, or evaluation of Proposals submitted in response to this RFP, or any similar real or potential conflicts of interest, may, in the sole discretion of the University, be grounds for rejection of the Respondent's Proposal or termination of any Contract awarded.

3.0 CONTRACT FORM AND REQUIREMENTS

3.1 Form of Contract between the University and the Selected Respondent

3.1.1 The Contract between the selected Respondent and the University will be in the form described in Attachment D, subject to modification or negotiation as contemplated by this RFP.

3.1.2 The Contract will include by reference this RFP and any Attachments, such portions of the selected Respondent’s Proposal that the University desires to include in the Contract, and any modifications to the requirements of the RFP or to the Proposal resulting from negotiations between the selected Respondent and the University.

3.1.3 If, in the University's sole discretion, the selected Respondent and the University have not completed and executed the Contract within a reasonable period of time after selection of the Respondent, then the University reserves the right to terminate contract negotiations and select another Respondent.

3.2 Subcontracting

The selected Respondent may perform the Work through subcontractors approved by the University, provided the selected Respondent shall be responsible for the performance of any of its subcontractors. Use of any specific subcontractors in the performance of the Contract shall be subject to University consent. The selected Respondent must ensure that any subcontractors abide by all the terms and conditions of the Contract.

3.3 Laws and Regulations; Governing Law

Services, articles or equipment proposed and furnished by the selected Respondent shall comply fully with all local, State and Federal laws and


regulations. The internal laws of the State of Minnesota, without giving effect to its conflict of laws principles, shall govern the validity, construction and enforceability of this RFP, the Proposal, and the Contract. All suits, actions, claims and causes of action relating to the construction, validity, performance and enforcement of the RFP, the Proposal and the Contract shall be in the courts of record of the State of Minnesota and venue shall be in Hennepin County, Minnesota.

3.4 Performance and Payment Bonds

The University requires the selected Respondent to furnish to the University for the Project a Performance Bond and a Labor and Material Payment Bond on University-approved bond forms, which are available on-line at http://www.cppm.umn.edu/purchasing/bidding_docs.html. The Bonds shall be issued by a surety satisfactory to the University, licensed to issue bonds in the State of Minnesota, shall be rated by A.M. Best as A-minus or better, and listed in the current printing of the U.S. Treasury Department listing of "Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies." The amount of each Bond shall be within the limit set by the Treasury Department as the net limit on any single risk for the surety. There shall be no affiliation between the Contractor and the Bonding Agent or Agency.

3.5 Liability and Insurance Requirements

The University requires the selected Respondent to maintain insurance coverage of the types and in the amounts set forth in Attachment A, Section A3.2.

3.6 Builder's Risk Insurance

The University shall maintain a master “All Risks” Property Insurance Policy that insures the “Builder’s Risk” exposure for the interest of the University. The selected Respondent, Subcontractors, and Sub-subcontractors at any tier (the “All Risks Policy”). The All Risks Policy contains a loss deductible clause, in the amount of $200,000.00 deductible for each and every loss occurrence. The University requires the selected Respondent to procure separate insurance coverage, or self-insure, for the $200,000.00 deductible associated with each loss. The University shall not pay or be responsible for any portion of the $200,000.00 deductible. The University requires that the selected Respondent, its insurers, the Respondent's subcontractors and their insurers, waive all rights against the University and the University’s consultants, if any, for damages caused by fire or other causes of loss to the extent covered by the All Risks Policy. The University and its insurers shall not be required to waive subrogation against the selected Respondent or its subcontractors.

3.7 Targeted Business & Urban Community Development

3.7.1 Respondents are required to complete Attachment C1 - Targeted Business, Urban Community Economic Development and Small Business Questionnaire Form 00658-A-RFP as part of their Proposal. University Form 00658-B-RFP,


http://www.cppm.umn.edu/purchasing/bidding_docs.html

Attachment C2, provides guidelines for scoring the information provided by Form 00658-A-RFP. Respondent does not need to return Attachment C2 with the Proposal.

3.7.2 Respondent acknowledges that the Regents of the University adopted a policy to establish and implement Targeted Business, Urban Community Economic Development and Small Business Programs (the “TGB Programs”). Find a copy of this policy at: www1.umn.edu/regents/policies/administrative/TargetedBusiness.html

Respondent hereby acknowledges that it has a copy of this Regents’ policy. Respondent agrees that as a material consideration for the University entering into this agreement, Respondent will fulfill commitments with regard to the TBE Programs set forth on University Form 00658-A-RFP and upon the University’s request provide substantiation of compliance.

3.8 Audits

The books, records, documents and accounting procedures and practices of any Respondent the University selects for negotiation are subject to examination by the University as set forth in the Contract.

3.9 Intellectual Property Indemnification

The selected Respondent shall be deemed to warrant that any information Respondent submits to the University in connection with this RFP will not infringe or violate any patent, copyright, trade secret, or any other intellectual property right of any third party. By submitting information to the University, the Respondent shall be deemed to agree that, in the event any third party brings an intellectual property infringement claim against the University, the Respondent, at its expense, shall indemnify and defend the University against any loss, cost, expense, or liability (including attorneys' fees) arising out of such claim, whether or not such claim is successful against the University.

3.10 Prevailing Wage Rates on Project Work Site

In accordance with Regents’ policy, the selected Respondent shall pay, and shall require all subcontractors at any tier under the selected Respondent’s control to pay, laborers, workers and mechanics performing work directly on the Project work site at least the Prevailing Wage Rate, as defined in the Contract.

3.11 Post Award Activities

3.11.1 The selected Construction Manager shall submit weekly reports as described in Attachment I. The reports are due once the notice to proceed has been issued, until final payment is made.

3.11.2 Once the final project payment is made and the project has been complete, the University will evaluate the project based on on-time


http://www1.umn.edu/regents/policies/administrative/TargetedBusiness.html

completion, no cost change orders, and meeting the quality exceptions of the University. This rating will be incorporated into the firm/individuals PPI database, and will impact their ratings by 50%.


ATTACHMENT A

Company Profile and Declaration

Respondent must answer all of the following questions and provide all requested information. The University may reject any incomplete Proposal in its sole discretion.

RESPONDENT: WHERE NECESSARY, COPY THE FORMS IN THIS ATTACHMENT. USE ONLY THESE FORMS.

PROJECT NAME: Error: Reference source not found

PROJECT NUMBER: Error: Reference source not found

SUBMITTED BY:(Respondent Firm Legal Name)

(Name and Title of Officer Signing for Respondent)

(Signature of Officer)

(Contact Name, if different than Officer)

(Street Address)

(City, State, Zip Code)

(Phone Number) (Facsimile Number)

(E-mail Address)

University Project Number: Error: Reference source not found Page 1 of Attachment A

A 1.0 DECLARATION

I, ___________________________________________, hereby declare that I am the(Printed Name)

___________________________________ of _________________________________(Title) (Name of Firm)

(the “Respondent”) submitting this Company Profile and Declaration, and that I am duly authorized to sign this Company Profile and Declaration on behalf of the above named firm; all information set forth in this Company Profile and Declaration and all attachments hereto are, to the best of my knowledge, true, accurate and complete as of the submission date.

The Respondent further certifies as follows:

A 1.1 This Company Profile and Declaration is submitted as part of Respondent's Proposal (the “Proposal”) in response to the Request for Proposal (“RFP”) issued by the University of Minnesota (the “University”) with respect to the Error: Reference source not found Project Number Error: Reference sourcenot found.

A 1.2 Respondent has carefully examined all RFP Documents and understands all instructions, requirements, specifications, terms and conditions; and hereby offers and proposes to furnish the products and/or services described herein at the prices, fees and/or rates quoted in Respondent's Proposal, and in accordance with the requirements, specifications, terms and conditions of the RFP Documents.

A 1.3 The Proposal is a valid and irrevocable offer that will not be revoked and shall remain open for the University's acceptance for a minimum of 90 days from the Submittal Date and Time shown on the Page 1 of the RFP to allow time for evaluation, negotiation, selection, and any unforeseen delays, and Respondent acknowledges that, if its Proposal is accepted, Respondent shall be bound by all statements, representations, warranties, and guarantees made in its Proposal, including but not limited to, representations as to price, fees and/or rates, performance and financial terms.

A 1.4 Respondent has the necessary experience, knowledge, abilities, skills, and resources to satisfactorily perform the requirements, specifications, terms and conditions of the RFP Documents.

A 1.5 Respondent is in full compliance with all applicable Federal, State and local laws, rules, regulations and ordinances governing its business practices.

A 1.6 All statements, information and representations prepared and submitted in response to the RFP are current, complete, true and accurate. Respondent acknowledges that the University will rely on such statements, information and representations in selecting the selected Respondent, and hereby grants the University permission to contact any persons identified in this Company


Profile and Declaration to independently verify the information provided herein.

A 1.7 Submission of Proposal indicates the Respondent's acceptance of the evaluation technique and the Respondent's recognition that some subjective judgments may be made by the University as part of the evaluation.

A 1.8 No attempt has been made or will be made by the Respondent to induce any other person or firm to not submit a Proposal in response to this RFP.

A 1.9 No personnel currently employed by the University or under contract to the University participated, directly or indirectly, in any activities related to the preparation of the Respondent’s Proposal.

A 1.10Respondent has had no contractual relationships with any University personnel in the 12 months immediately prior to the release of the RFP. Respondent has had no contact with University personnel regarding the RFP, the Project, or evaluation of Proposals submitted in response to this RFP. If such contractual relationships exist or contacts have occurred, so state and include a statement identifying in detail the nature and extent of such contractual relationships or contacts and the personnel involved.

A 1.11The pricing, rates and fees proposed by the Respondent have been arrived at independently, without consultation, communication, or agreement, for the purpose of restriction of competition, as to any other Respondent or with any competitor; and unless otherwise required by law, the prices quoted have not been knowingly disclosed by the Respondent prior to award, either directly or indirectly, to any other Respondent or competitor.

A 1.12Respondent has obtained and reviewed a copy of the Contract defined in Attachment D.

A 1.13Respondent is not currently disqualified, de-listed or barred from doing business with the University of Minnesota or any federal or state agency. (If Respondent is currently disqualified de-listed or barred, Respondent is disqualified from responding to the RFP.)

A 1.14Respondent has visited the site and is familiar with the conditions under which the work will be performed.

This declaration was executed in _______________ County, State of _______________ on _______________________, 200___.

______________________________________________________________________________________(Signature)

Subscribed and sworn to before me, a notary public, this ______ day of _________, 200___.

______________________________________________________________________________________Notary Public


(Notary Seal/Stamp)


A 2.0 SURETY

Proposed Surety. Respondent proposes to use the following surety to issue payment and performance bonds for the Project:

________________________________________________(Insert Surety Name)

Respondent must submit this Part A2.0 to the University with Respondent’s Proposal, with the Surety Declaration in Section A2.8 signed by an authorized representative of the Proposed Surety.

If Respondent has used the Proposed Surety for less than ten years, list all sureties Respondent has used in the last ten years and indicate the number of years Respondent used such sureties. If Respondent is a joint venture, provide such information for each joint venture partner.

A 2.1 Is the Proposed Surety on the U.S. Treasury Department list of Approved Sureties, as required by the University? (See http://fms.treas.gov/c570/c570_a-z.html.)

__________ Yes __________ No

A 2.2 Is the Proposed Surety authorized to transact insurance business in the State of Minnesota, as required by the University?

__________ Yes __________ No

A 2.3 Is Respondent able to obtain bonding for the Project in the amount of the Contract Sum set forth in the RFP?

__________ Yes __________ No

If No, please explain.

A. 2.4 The University requires that the Proposed Surety be listed by A.M. Best with a rating of A-minus or better.

Indicate A.M. Best Rating: _______

A 2.5 Has any surety paid out any monies on claims on the performance bond issued by a surety for the benefit of an owner arising out of the construction activities of Respondent within the last ten years?

__________ Yes __________ No

If Yes, please explain.

A 2.51If Respondent is a joint venture, has any surety paid out any monies on claims on the performance bond issued by a surety for the benefit of an owner arising out of the construction activities of any joint venture within the last ten years?


http://fms.treas.gov/c570/c570_a-z.html

__________ Yes __________ No

If Yes, please explain.

A 2.6 What percentage of Respondent's total bonding capacity would be consumed by the Contract Sum established for this Project?

___________________________________________ %

A 2.7 State Respondent’s bonding limit per project: $_______________________.

A 2.8 State Respondent’s total bonding capacity: $_______________________.

A 2.9 Surety Declaration

Respondent: have your surety complete and execute this declaration and return it to you for submittal by you to the University with your Proposal. Do not have the surety submit this declaration directly to the University.

The undersigned declares under penalty of perjury that the information provided above, concerning __________________________________________________ (insert Respondent’s legal name) including Respondent‘s bonding capacity, is true and correct and that this declaration was executed in the County of ______, State of ___________ on _________, 200_.

(Signature of Surety Representative)

(Name and Title - Printed or Typed)

Representing

(Name of Proposed Surety)

(Firm Name)

(Address)

(City, State and Zip Code)

(Telephone Number) (Facsimile Number)(E-mail Address)


A 3.0 INSURER

Proposed Insurer. Respondent proposes to use the following insurer to issue required insurance policies for the Project:

_______________________________________________ (Insert Insurer Name)(If more than one, submit a separate form of Part A3.0 for each Proposed Insurer).

Respondent must submit this Part A3.0 to the University with Respondent’s Proposal, with the Insurer Declaration in Section A3.5 signed by an authorized representative of the Proposed Insurer.

A 3.1 The University requires that the Proposed Insurer for all required insurance be listed by A.M. Best with a rating of A-VII or better.

Indicate A.M. Best Rating: ________

A 3.2 The University requires that the Respondent maintain insurance in the following limits for the Project, with the University named as additional insured on a primary and non-contributory basis on all liability policies and a minimum 30 day notice of modification, cancellation or non-renewal. (Check Yes or No for all policies to be provided by the Proposed Insurer executing this form.) If Respondent does not maintain all the required insurance, Respondent is disqualified from responding to the RFP.

READ THEN DELETE THESE SHADED INSTRUCTIONS: Check with Rebecca Hintz in Risk Management to confirm the appropriate insurance requirements for this Project.

General Liability* Yes

No

General Aggregate (per project) $5,000,000Products/Completed Operations $5,000,000Personal/Advertising Injury $5,000,000Each Occurrence $5,000,000Fire Damage (any one fire) $50,000Medical Expense (any person or occurrence)

$5,000

Automobile Liability*Combined Single Limit – Bodily Injury/Property Damage $5,000,000

Worker’s Compensation Statutory

Employer's Liability*Each Accident $5,000,000Disease - Policy Limit $5,000,000Disease - Each Employee $5,000,000

Contractor’s Pollution LiabilityEach Occurrence or Claim $2,000,000


Aggregate $2,000,000

Builder’s RiskCoverage of University Deductible $200,000

* Respondent may use an Umbrella/Excess policy to supplement or provide the full policy limit specified.

A 3.3 If Respondent is a joint venture, can the joint venture entity itself obtain insurance in the required limits?

__________ Yes __________ No __________ NOT APPLICABLE

A 3.4 As noted in the RFP, the selected Respondent will be fully responsible for the $200,000.00 deductible under the University's All Risks Policy. Please describe how Respondent will insure this risk:


A 3.5 Insurance Declaration

Respondent: have your insurance carrier complete and execute this declaration and return it to you for submittal by you to the University with your Proposal. Do not have the carrier submit this declaration directly to the University.

The undersigned declares under penalty of perjury that all of the above insurer information is true and correct and that this declaration was executed in the County of ____________, State of ____________________ on _________, 200_.

(Signature)

(Name and Title - Printed or Typed)

Representing

(Insurer Name)

(Firm Name)

(Address)

(City, State and Zip Code)

(Telephone Number) (Facsimile Number)

(E-mail Address)

A 4.0 PROJECT APPROACH AND WORK PLAN


A.4.1 Describe any difficulties, challenges or risks your firm foresees in providing services to the University on this Project, how you expect to minimize those difficulties, challenges or risks. In addition, describe any value-added special services, product characteristics, or other benefits or advantages that will be afforded to the University in selecting the Respondent for the project. The Respondent MUST utilize Attachment F (Risk Assessment/Value-Added form) in completing this section (2 page maximum).

A.4.2 Identify any concerns you noted in your review of the RFP Documents (as defined in the RFP).

A.4.3 Value Engineering: Describe the process by which your firm performs value engineering so as to achieve an appropriate balance between costs, aesthetics, function and need. Indicate when value engineering occurs in the design and construction process.

A.4.4 Request for Information (“RFI”) and Shop Drawings: Describe your firm's approach to handling RFIs and Shop Drawings to ensure the timeliness of RFIs and Shop Drawings and the accuracy of Shop Drawings.

A 4.5 Section 3.7.4 of the General Conditions of the Contract describes a process for pursuing claims for “Concealed or Unknown Conditions.” Describe proposed alternative method(s) for sharing financial and construction risk and responsibility for “Concealed or Unknown Conditions,” if any.

A.4.6 Describe the point in the design process at which you will be prepared to commit to a Guaranteed Maximum Price (“GMP”) (i.e. completion of design development documents). Provide an example of the documentation you will use to verify the scope of work to establish the GMP.

A 5.0 CONTRACT SUM

Complete and attach Attachment D.

A 6.0 SCHEDULE

A 6.1 Attach a DRAFT Critical Path Method (“CPM”) Schedule for the Project and include a written, detailed description of your scheduling logic. The DRAFT schedule should identify tasks to be performed and/or deliverables to be provided and time frames to complete performance of the identified tasks and the expected time frame in which the project would be completed. The DRAFT schedule should describe any and all scheduling assumptions made in developing the schedule.

A 6.1.1 When preparing the DRAFT CPM schedule, assume the following:

.1 University project team reviews will occur as required by the current University Standards Distribution Matrix, which can be found as Appendix X on the University Capital Planning and Project


Management web site at www.cppm.umn.edu/standards.html. While progress on design can be made during the review periods, reviewers have two weeks to provide responses.

.2 Permitting is required for various components of this Project. The University's Project Manager will cooperate in the application for building and other permits. The selected Respondent will be required to obtain and pay for all required permits, assessments, and governmental fees, licenses, and inspections, excluding Sewer Availability Charges and Water Access Charges assessed by the Metropolitan Waste Control Commission.

.3 The Facilities Committee of the Board of Regents must review and approve schematic plans for the Project. The schedule shall include one month for this process.

A 6.2 State what events or issues could impede your ability to achieve the substantial completion date stated in Section 1.6 of the RFP:

A 6.3 Identify specific strategies to avoid and/or mitigate project construction delays. Provide an estimate of the earliest start date following execution of a Contract and indicate what could delay the start of the Project.


http://www.cppm.umn.edu/standards.html

ATTACHMENT B

ADDENDA ACKNOWLEDGMENT REPORT

Project Name: Error: Reference source not found

Project Number: Error: Reference source not found

From:(Respondent Firm Name and Address)

Submitted to: Regents of the University of MinnesotaCapital Planning & Project Management Purchasing ServicesAttn: Kevin Sullivan400 Donhowe Building319 - 15th Avenue SoutheastMinneapolis, MN 55455-1082

Respondent acknowledges receipt of the following addenda, and has incorporated the requirements of such addenda into the Proposal (LIST ALL ADDENDA ISSUED FOR THE PROJECT):

No. Date No. Date No. Date




_____________________________________________________Company Name

By: _________________________________________________

Print Name: ________________________________________

Title: _______________________________________________

University Project Number: Error: Reference source not found Page 1 of Attachment B

ATTACHMENT C-1

UNIVERSITY DOCUMENT 00658-A-RFPTARGETED BUSINESS, URBAN COMMUNITY ECONOMIC DEVELOPMENT AND

SMALL BUSINESS QUESTIONNAIRE



RESPONDENT'S NAME:

ADDRESS:

CITY, STATE ZIP:

TELEPHONE NUMBER:

CAMPUS:

C 1.0 Each Respondent shall include this document with its Proposal. The responses to the following questions will be scored in accordance with the Targeted Business, Community Economic Development and Small Business Scoring Guidelines, Document 00658-B-RFP attached as Attachment C-2. The University will reject any Proposal that does not include Document 00658-A-RFP.

C 1.1 Participation of women, minority, and disabled owned businesses equal to, or greater than 10% of the contract sum for new construction, or the renovation of a building where the construction cost is greater than $100,000 dollars is considered per se reasonable.

Proposed Targeted Business InformationName of Targeted Business Enterprises

Type of Work or Supplies Dollar Amount

.1 What percent of the contact sum will be supplied by women, minority, and disabled owned businesses? __________%

.2 What percent of the Respondent’s permanent workforce are minorities? ________%

.3 What percent of the Respondent’s permanent workforce are women? ________%

.4 What percent of the Respondent’s permanent workforce are disabled persons? ________%

University Project Number: Error: Reference source not found Page 1 of Attachment C-1

.5 What percent of the Respondent’s workforce for this contract will be minorities? ________%

.6 What percent of the Respondent’s workforce for this contract will be women? ________%

.7 What percent of the Respondent’s workforce for this contract will be disabled persons? _________

.8 If Respondent has more than 40 full time employees, they must include a copy of their Equal Employment Opportunity / Affirmative Action Policy Statement or Certificate with the Proposal? Did Respondent include EEO/AAP information?

Yes No

.9 If Respondent has less than 40 full time employees, they must include a letter indicating total number of full time employees for the past two calendar years. Did Respondent include a letter confirming total full time employees?

Yes No

.10 Describe the Respondent’s efforts to support programs designed to train residents of the targeted communities in Minneapolis, St. Paul, and/or Duluth that have been designated in accordance with Minnesota Statutes, Section 469.202 Respondent must include the following:

.1 Identify all programs including the location and/or neighborhood

.2 An estimate of the amount of money provided to each program within the past 12 months

.3 An estimate by hours of time provided to each program within the past 12 months

.4 An estimate of job offers made through each program during the past 12 months

.11 During the performance of this contract, Respondent will collaborate with the University to provide support for programs designed to help Targeted Businesses and residents of the targeted communities designated in accordance with Minnesota Statutes, Section 469.202.

Yes No


.12 The Office of Business & Community Economic Development has designed a training program to familiarize Respondent with the University’s Targeted Business Program. The training is computer based and is available at www.bced.umn.edu If Respondent has successfully completed all modules of this training program, an additional 5 points will be awarded. Did Respondent complete the BCED Computer Based Training?

Yes No

The University is committed to the policy that all persons shall have equal access to its programs, facilities, and employment without regards to race, color, creed, religion, national origin, sex, marital status, status with regard to public assistance, membership or activity in a local commission, veteran status, disability, sexual orientation, age or membership in any other protected class under state, federal, or local law.


http://www.bced.umn.edu/

ATTACHMENT C-2

TARGETED BUSINESS QUESTIONNAIRE SCORING GUIDELINES00658-B-RFP

1. Proposed percent of the Base Bid intended to be supplied by Targeted Businesses?

10.00% & above = 20 Points9.00 > 9.99% = 18 Points8.00 > 8.99% = 16 Points7.00 > 7.99% = 14 Points6.00 > 6.99% = 12 Points5.00 > 5.99% = 10 Points0.01 > 4.99% = 0 Points

2. What percent of the Respondent’s permanent workforce are minorities?

7.00 > 8.99% = 5 Points5.00 > 6.99% = 4 Points3.00 > 4.99% = 3 Points0.01 > 2.99% = 2 Points0% = 0 Points

3. What percent of the Respondent’s permanent workforce are women?


4. What percent of the Respondent’s permanent workforce are disabled persons?

3.00 > 5.00 % = 5 Points2.01 > 2.99 % = 2 Points0.50 > 2.00 % = 1 Point0.00 > 0.49 % = 0 Points

5. What percent of the Respondent’s permanent workforce for this project will be minorities?



6. What percent of the Respondent’s workforce for this project will be women?


7. What percent of the Respondent’s workforce for this project will be disabled persons?

3.00 > 5.00 % = 5 Points2.01 > 2.99 % = 2 Points0.50 > 2.00 % = 1 Point 0.00 > 0.49 % = 0 Points

8. Respondent has more than 40 full time employees and included a copy of their Equal Employment Opportunity Plan or Affirmative Action Policy Statement and/or Certificate with bid documents.

Submitted 5 Points

Not Submitted 0 Points

9. Respondent has less than 40 full time employees and included with bid documents a letter confirming total number of employees for the past two calendar years.

Submitted 5 Points

Not Submitted 0 Points

10. Respondent has adequately described on Document 658-A efforts to support programs designed to train residents of the targeted areas designated by each city pursuant to Minnesota Statute Section 469.202.

Yes 5 Points

No 0 Points

11. During the performance of this project, the Respondent will collaborate with the University to provide support for programs designed to help Targeted Businesses and residents of the targeted areas designated in accordance with Minnesota Statutes, Section 469.202.

Yes 5 PointsNo 0 Points


12. Respondent has successfully completed the Business and Community Economic Development on-line Computer Based Training?

Yes 5 PointsNo 0 Points

MAXIMUM POINTS AVAILABLE 70

A Respondent having 40 or more points will successfully demonstrate its commitment to the University’s policies.

A Specialty Contractor (i.e. roofing, HVAC, Elevator, etc.) having 30 or more points will successfully demonstrate its commitment to the University’s policies.

A Contractor proposing on projects outside of the 7 county metro area having 25 or more points will successfully demonstrate its commitment to the University’s policies.

If the value of a project is $5 million or more, Respondent must have a score of 30 or more points to successfully demonstrate its commitment to the University’s Targeted Group Business Program.


ATTACHMENT D

Construction Manager at Risk

PURPOSE OF REQUEST

The purpose of this RFP is to select a Construction Manager at Risk contractor to provide pre-construction and construction services for the Project. Said services are identified in this RFP and defined in the University’s form of construction management agreement, AIA A121- 2003 Construction Manager at Risk, and general conditions, AIA A201- 2007 General Conditions (together, the “Contract”). The Contract is part of this RFP and is available at http://www.cppm.umn.edu/proposals.html. By submitting a proposal, Respondent acknowledges and agrees that it received, read, understands, and shall be bound by and comply with the Contract.

The Respondent will provide pre-construction phase and construction phase services; provided, however, that use of the selected Respondent for construction phase services shall be subject to the Respondent and the University agreeing to a Guaranteed Maximum Price (“GMP”) for the work ultimately detailed in the construction documents.

PROJECT DELIVERY DESCRIPTION

The selected Respondent will actively participate with the University, the University’s Architect/Engineer of Record, and other design consultants in completing the construction documents based upon the information contained in or referenced in this RFP, including the RFP Documents listed in Section 1.3 of the RFP.

The selected Respondent will provide competitive, sealed proposals or bids to the University for all subcontracted work and materials from firms acceptable to the University, except as otherwise set forth below. The University will determine, with advice from the Architect/Engineer of Record and the Respondent, which proposals or bids will be accepted for the Project. The selected Respondent shall supervise and be responsible for all subcontracted work.

Those portions of the work (as ultimately described in the Construction Documents) that are self-performed by the selected Respondent’s own forces shall be managed as follows:

The Respondent shall competitively bid or request proposals from appropriate subcontractors, suppliers, and fabricators. The Respondent will be required to obtain at least two competitive, sealed proposals or bids for all portions of the work that the Respondent desires to self-perform, and shall deliver those competitive, sealed proposals or bids, along with the Respondent’s sealed self-performed work proposal or bid, to the University. The University shall then determine, with advice from the Architect/Engineer of Record and the Respondent, which of such proposals or bids will be accepted for the Project.

University Project Number: Error: Reference source not found Page 1 of Attachment D

http://www.cppm.umn.edu/proposals.html

The University, in its sole discretion, may allow the selected Respondent, as the Contractor, to self-perform work without obtaining competitive subcontract bids, if (1) the Contractor specifically identifies the Work the Contractor proposes to perform with its own forces in its Proposal, (2) the Contractor discloses its hourly wage rates in its Proposal (Attachment D-3), (3) the Contractor includes the cost of the Work it proposes to perform with its own forces as a separate line item in the GMP, and (4) the Contractor competitively bids materials and supplies.

Complete “Attachment D-3: Labor Rate for Self-Perform Work” if you propose to self-perform portions for the Work without competing for the work using a bid or Proposal process.

Program Statement: The selected Respondent will help the University define and prioritize the scope of work within the allocated budget – working collaboratively and in coordination with the Architect/Engineer of Record. The Respondent will review and check for constructability, schedule and budget in the Schematic, Design, Design, Development, and Construction Documents. The selected Respondent will manage the Project through all phases of construction.

After review of all submitted Proposals, the University may require an oral presentation from all Respondents that have been short-listed. Selected firms should be prepared to discuss and substantiate any of the areas of the Proposal it has submitted, its own qualifications for the services required, and any other area of interest relative to its Proposal. Respondents who are interviewed must have their proposed Project Manager, Project Estimator, and Project Superintendent in attendance at the oral presentation.

The University reserves the right to negotiate terms and conditions with Respondents. The University reserves the right to negotiate modifications to a Proposal with a single Respondent without obligation to negotiate similar modifications with other Respondents. The University shall have the right to accept or reject any unsolicited modifications to the Proposal.

University Project Number: Error: Reference source not found Page 2 of Attachment D

ATTACHMENT D-1Construction Manager at Risk

FEE AND COMPENSATION STRUCTUREPROJECT COST CALCULATION


PROJECT NUMBER:

Error: Reference source not found

Fees for Preconstruction and Construction Phase Servicesand Construction Manager’s Contingency

Complete the table below assuming a Guaranteed Maximum Price equal to the University’s budget for the Contract Sum of <<Insert budgeted dollar amount for the Project>> and a Substantial Completion Date of <<Insert intended date of Substantial Completion>>.

The purpose of this table is to establish the Construction Manager’s fees and contingency as percentages of the estimated Cost of the Work, which percentages will be incorporated in the Contract. The selected Proposer will be bound to the percentages stated for fees and the contingency. The actual Guaranteed Maximum Price will be established pursuant to Section 2.2 of the Contract. The percentages for fees and contingency will be converted to fixed amounts in the final Guaranteed Maximum Price.

Construction Manager’s Fee andCompensation Description

In Dollars Percent ofEstimated

Cost of the Work Estimated Cost of the Work

$___________ N/ALump Sum Amount for Preconstruction Phase Services $___________ N/AFee for Construction Phase Services

$___________ _________% Construction Manager’s Contingency

$___________ _________%Total Guaranteed Maximum Price $ <<Insert

GMP>>

University Project Number: Error: Reference source not found Page 1 of Attachment D-1

Notes

Compensation: Fees and the Cost of the Work:

Under the Contract, the University will pay the Construction Manager compensation consisting exclusively of the lesser of the Guaranteed Maximum Price or the sum of (1) Preconstruction Phase Services Fee, (2) the Cost of the Work and (3) the Construction Manager's Fee.

Section 6.1 of the Contract, “Costs to be Reimbursed,” lists items that are reimbursable as a “Cost of the Work” during the construction phase. Section 6.2 of the Contract lists items that are specifically not reimbursable under the Contract.

Section 6.1 includes in its definition of Cost of the Work items that will not be incorporated in the finished project, which items are commonly referred to as “overhead,” “general conditions,” or “general requirements.” The Contract requires the Construction Manager to include such items in the Guaranteed Maximum Price proposal and the Schedule of Values as “General Requirements.” The University will only pay for General Requirements items identified in Section 6.1 of the Contract or in the final Guaranteed Maximum Price proposal accepted by the Owner and incorporated in the Contract by execution of Amendment No. 1 pursuant to Section 2.2.8 of the Contract The University will not pay “overhead,” “general conditions,” or “general requirements” on a percentage basis.

Cost Limits

The University shall not pay more for any item payable as a Cost of the Work than the lesser of the actual cost the Construction Manager pays for the item or any cost limit established by any of the following:

(1) wages and labor rates stated by the Proposer in Attachments D-2 and D-2 of this RFP;(2) rates stated in the final Guaranteed Maximum Price proposal accepted by the University; or(3) if not stated in Attachments D-2 and D-2 or in the final Guaranteed Maximum Price proposal, the fair market value at the place of the Project.

Schedule of Values

The Contract requires the Construction Manager to prepare a schedule of values for the Guaranteed Maximum Price proposal with separate line items for all Cost of the Work items, including a separate line item for General Requirements costs, in a CSI-style format acceptable to the University. See the following page for an example of the mid-level breakdown to be used for the development of the schedule of values.


University of Minnesota Schedule of Values FormatUMN Budget

CodeCSI Budget Code Title

10 Construction Costs10 00 00 Pre-Construction Services10 01 00 General Requirements

Contractor's ContingencyContractor's Fee

10 02 00 Site Construction - Existing Conditions10 03 00 Concrete10 04 00 Masonry10 05 00 Metals10 06 00 Wood, Plastics, & Composites10 07 00 Thermal & Moisture Protection10 08 00 Openings10 09 00 Finishes10 10 00 Specialties10 11 00 Equipment10 12 00 Furnishings10 13 00 Special Construction10 14 00 Conveying Systems10 21 00 Fire Suppression10 22 00 Plumbing10 23 00 Heating, Ventilation, Air Conditioning - HVAC10 25 00 Integrated Automation10 26 00 Electrical10 27 00 Communications10 28 00 Electronic Safety & Security Systems10 31 00 Site and Infrastructure - Earthwork10 32 00 Site and Infrastructure - Exterior Improvements10 33 00 Site and Infrastructure - Utilities10 34 00 Site and Infrastructure - Transportation10 35 00 Site and Infrastructure - Waterway and Marine


ATTACHMENT D-2Construction Manager at Risk

FEE AND COMPENSATION STRUCTURE

PROPOSED TEAM/PROPOSAL BREAKDOWN


PROJECT NUMBER:

Error: Reference source not found

Provide the information requested in this Attachment D-2 assuming a Guaranteed Maximum Price equal to the University’s budget for the Contract Sum of <<Insert budgeted dollar amount for the Project>> and a Substantial Completion Date of <<Insert intended date of Substantial Completion>>.

The University will use the following cost information as a part of the Compensation and Fee Structure evaluation criteria and will incorporate the stated rates in the Contract:

1. Attach a schedule of hourly rates the Construction Manager will charge as a part of the Cost of the Work for Construction Manager's supervisory and administrative personnel under Section 6.1.2.2 or 6.1.2.3 of the Contract, identifying each person by name and title. The rates included in this schedule are to include the labor burden identified in Number 2 below.

2. Indicate the percent of wages for construction workers that the Construction Manager will charge under 6.1.2.4 of the Contract as full payment for costs paid or incurred by the Construction Manager for taxes, insurance contributions, assessments and benefits required by law or collective bargaining agreements, and for personnel not covered by such agreements, customary benefits such as sick leave, medical and health benefits, holidays, vacations, and pensions (commonly referred to as “labor burden”):

Labor Burden: _____________%

Attachment D-4 Table follows.


ATTACHMENT D—3


Labor Rates for Self-Performed Work(Trade Labor Only)



Provide the information requested in this Attachment D-3 assuming a Guaranteed Maximum Price equal to the University’s budget for the Contract Sum of <<Insert budgeted dollar amount for the Project>> and a Substantial Completion Date of <<Insert intended date of Substantial Completion>>.

The University will use the following cost information as a part of the Compensation and Fee Structure evaluation criteria and will incorporate the stated rates in the Contract:

1. Attach a schedule of hourly rates the Construction Manager will charge as a part of the Cost of the Work for construction workers directly employed by the Construction Manager to perform the construction of the Work at the site or, with the Owner's written agreement, at off-site workshops under Section 6.1.2.1 of the Contract, identifying each worker by title or job classification. The rates included in this schedule are to include the labor burden identified in Number 2 below.

2. Indicate the percent of wages for construction workers that the Construction Manager will charge under 6.1.2.4 of the Contract as full payment for costs paid or incurred by the Construction Manager for taxes, insurance contributions, assessments and benefits required by law or collective bargaining agreements, and for personnel not covered by such agreements, customary benefits such as sick leave, medical and health benefits, holidays, vacations, and pensions (commonly referred to as “labor burden”):

Labor Burden: ___________%

Attachment D-3 Table follows on the next page.

Company Name PROJECT:

LABOR RATE BREAKDOWN

Bidder: Effective Dates of Rates: From To

University Project Number: Error: Reference source not foundPage 1 of Attachment D-3

Note: Bidders are required to submit details for direct or self performed labor rates, with subcontractor information on separate sheets as necessary.

Trade Category: Union Affiliation:

Classification & Base Rates

** Fringe Benefits

($)

** Taxes ($)

** Insurance

($)

Subtotal ($)

Overhead ($)

Profit ($)

Loaded Hourly Rate ($)

Loaded Overtime Rate ($)

Loaded Double-

Time Rate ($)

Percentages 8.45%

General Foreman

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

Foreman

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

Journeyman

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

Apprentice ___Grade

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

Apprentice ___Grade

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

Apprentice ___Grade

ST $ $ $ $ $ $ $

OT $ $ $ $ $ $ $

DT $ $ $ $ $ $ $

** Use This Table for Fringe, Taxes and Insurance Breakdown

Fringe Benefits Benefits $/hr Taxes Taxes % Insurance**

* Insurance

%

Vacation $ FICA 7.65% Work Comp

Health & Welfare $

FUTA 0.80% Other

Please indicate if FUTA and SUTA Charges are stopped after income levels are reached or prorated over a course of the project

Pension $ SUTA Minnesota SUTA Rate is taxed on employees first $24K of earnings Annuity $ Other

Education/Training $ Total 8.45% Total FUTA rates is taxed on first $7K of employee income Industry $

Other $ Insurance: Flat rate applied to Overtime differential costs

Other $ Overhead: Flat rate applied to Overtime differential costs

$ All rates, percentages, and fees are subject to audit, verification and negotiation

Total $ Sheet must be filled out completely, and needs to show all rates and percentage.

1 Form may not be altered, changed, or modified unless prior written approval is received from the University of Minnesota Buyer listed in this Request for Proposal.

2 If labor overhead/profit is included in your workers compensation rate, please breakout and list it in overhead/profit column

3 Define what is included in your overhead percentage if listed

4 Attach a copy of Union wage rate agreement for each trade

5 Labor Burden Calculations should be based on taxable wages only ( Base Wages and Vacation)

6 There should be no markup on overtime for Insurance Costs and FUTA and SUTA CostsForm Updated

7 Overhead costs should not increase with overtime and double time 1/12/2009


ATTACHMENT D-4


Labor Rates for Non-Trade Project Management (Project Manager, Superintendent, Project Estimator, etc.)



Project Management Labor Rate Calculation BreakdownSTRAIGHT TIME RATES Project Name and Number

OCCUPATION

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Sup Proj Mgr

Title Title Title Title

STRAIGHT TIME RATESA. Base Rate

$ Per B. Taxable

Benefits:C. SUB-TOTAL 0.00 0.00 0.00D. Insurance 0.00 0.00

Liability Insurance

0.00 0.00 0.00

Workers Compensation

0.00 0.00

E. Payroll Taxes:% FICA 0.00 0.00 0.00%Federal Unemployment (FUTA)

0.03

%State Unemployment (SUTA)

F. Sub-Total C+D+E

0.00 0.00 0.00

G. Other Benefits (As Applicable)PensionHealth & WelfareIndustry FundCar AllowanceCell PhoneTravel (Mileage and etc.)PhoneTraining FundUnemployment FundApprenticeship Training FundVacation FundHoliday PayLegal Pay


Health Safety Fund

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Name

Percent

Time on

Project

Supplement EmploymentScholarshipOther Benefits (List Below)

G. Total Benefits 0.00 0.00 0.00H. SUB-TOTAL

F+G0.00 0.00 0.00

I. Subcontractor Fee – x% CH&P

0.00 0.00 0.00

J. Straight Time Billing Rate:

0.00 0.00 0.00

(Subtotal H & I)

INSTRUCTIONS FOR ATTACHMENT D-4General instructions for Attachment D-4 are to list occupation classification across the top of the form to develop straight timebilling rates,. Use photocopies of this form if there are more occupations than available spaces.OCCUPATIONS – are to include those personal who be included in your Project Management Staff Include all labor classificationsintended to be billed.

PM Staff are considered salaried employees and cannot change for over time.

STRAIGHT TIME RATES – No overtime rates will be paid for PM StaffBase Rate $ Per Hour – shall be actual wage rate paid to labor classificationVacation and Holiday Allowance – rate per hour per union or mutual agreement.Insurance – indicate percentage of item A plus B and resulting cost per hour. Furnish detailed breakdown in proposal letter.Taxes – indicate percentage of item A plus B and resulting cost per hour.Union/Fringe Benefits – cost per hour based on union or mutual agreement. See note above (OCCUPATIONS).

PROPOSER__________________________________________________________ DATE ______________________

Rates Applicable for Period: ___________________________through _________________________________


ATTACHMENT E

PROPOSAL FORM

This form must be completed as part of your submittal.

Name of Firm:

Name of Project Manager:

Name of Site Superintendent:

Name of Estimator

Project Duration (Pre-Construction Only): (Calendar Days)

Note: This duration should only include the time to perform pre-construction services only

Project Duration (Substantial): (Calendar Days) Note: The Project Duration Substantial should include the total time from the Notice To Proceed to substantial completion.

Project Duration (Total Time): (Calendar Days) Note: The Project Duration Total should include the total time from the Notice To Proceed to final project payment. This should include time to obtain permits, warranties, long lead items, complete punch list items, commissioning, and final payment, etc)

University Project Number: Error: Reference source not foundPage 1 of Attachment E

ATTACHMENT F

RISK ASSESSMENT/VALUE ADDED (RAVA) PLAN GUIDE AND TEMPLATE

IntroductionThe purpose of the Risk Assessment and Value Added (RAVA) plan is to identify if a construction manager can quickly calculate the risks on a future project in terms of cost, time, and client expectation (of quality and performance). The RAVA plan is used to:

1. Assist the client in prioritizing firms based on their ability to understand the risk of a project.

2. Provide high performing vendors the opportunity to differentiate themselves from their competitors due to their experience and expertise.

3. Minimize the effort of experienced companies who are competing for the project.4. Provide a mechanism for the high performers to regulate the low performers by

ensuring that if they are not selected, the selected company will have to minimize all risks that they have identified.

Vendors should keep in the mind that the RAVA plan is only one step in the selection process. If all the RAVA plans are the same, the RAVA plan will have little impact in the selection (other factors, such as past performance and interview will dictate the selection). The RAVA plan will become part of the contract.

RAVA Plan FormatThe format for the RAVA plan is attached. The RAVA Plan should clearly address the following items:

1. List and prioritize major risk items that are unique to this project. This includes areas that may cause the project to not be completed on time, not finished within budget, generate any change orders, or may be a source of dissatisfaction for the owner.

2. Explain how the builder will avoid / minimize the risk. If the vendor has a unique method to minimize the risk, they should explain it in non-technical terms.

3. Propose any options that could increase the value (expectation or quality) of their work.

In order to minimize any bias by the evaluation committee, the RAVA Plans must not contain ANY names (such as contractor or manufacturer names, personnel names, project names, product names, or company letterhead). The RA Plans should not contain any marketing information. Any RAVA plan that contains any names or marketing information may be subject to disqualification.

The University’s goal is to make the selection process as efficient as possible. Efficiency is to minimize the effort of all participants, especially those who will not get the project. Therefore, the RAVA plan should be a brief and concise overview of the major risks on the future project. The RAVA plan must not exceed 2 pages.

Value Added ItemsVendors should also list any value or differential they are bringing to the project. However, since the company cannot use names, the differences must be identified in terms of cost, time, or quality.

University Project Number: Error: Reference source not foundPage 1 of Attachment F

Risk Assessment Plan

Please prioritize the risks (list the greatest risks first). This template must be used. All of these risks/solutions should be included in your base bid.

Major Risk Items

Risk 1: Solution:

Risk 2: Solution:

Risk 3: Solution:

Risk 4: Solution:

Risk 5: Solution:

Risk 6: Solution:

Risk 7: Solution:

Risk 8: Solution:

Risk 9: Solution:

Risk 10: Solution:

You may add/delete the risk tables as necessary (but do not exceed the page limit stated in the solicitation).


Value Added Options

Contractors should identify any value added options or differentials that they are proposing, and include a short description of how it adds value to the project. Identify if the items will increase or decrease schedule, cost, or expectation. You may add/delete the value tables below as necessary.

Item 1: Impact: Cost

($)Schedule (Days)


($)Schedule (Days)


($)Schedule (Days)


($)Schedule (Days)


($)Schedule (Days)


ATTACHMENT G

Past Performance Information Guide

Section 1 - Overview

The University of Minnesota will be analyzing past performance information on respondents and their critical team components. This information will be used to assist the University of Minnesota in selecting the best-valued respondent on a particular project.

To assist the client in identifying the highest past performance of a contractor or individual, the following process will be used (as outlined in the figure below):

1. The respondent will prepare a list of past client that will be sent surveys (called a “Reference List”)

2. The respondent will prepare survey forms (Attachment G - page 8) and send them to their past clients

3. The clients will send their surveys back to the respondent4. The respondent will compile all of the surveys and submit the surveys, with

their associated Excel Reference List, with their proposal5. The ratings will then be averaged together to obtain a firm’s past performance

rating

Figure 1: Survey Process

University Project Number: Error: Reference source not found Page 1 of Attachment G

1

2

3

5

4

Prepare & Email Reference List

Inform Past Client About SurveyPrepare Survey FormFax Surveys to past clientsEnsure that surveys are returned

University of Minnesota Compiles

Information

Faxes back to Vendor

University of

Minnesota

Vendor or Individual

Prepare & Submit Survey Scores

Past Customer

SECTION 2 – HOW TO CREATE AND SUBMIT A REFERENCE LIST

1. All critical key components, identified in section 3.7 of this RFP, must create a list of past users that will evaluate their past performance. This will be referred to as a “Reference List”.

2. The “Reference List” must be submitted on a MS Excel spreadsheet. A template can be downloaded at: www.pbsrg.com (click on “PIPS”, click on “University of Minnesota”)

3. The “Reference List” must contain two sheets: “Past Project List” and “Vendor or Individual Profile”

4. The “Vendor or Individual Profile” sheet requests information about the critical team component (vendor or individual) being surveyed. If the “Reference List” is being submitted for a company, then you will fill in the vendor information. If the “Reference List” is being submitted for an individual, then you will fill in the individual information. Do not fill in both.

Figure 2: The “Vendor or Individual Profile” Sheet Contains Basic Information on the Entity Being Surveyed

5. The maximum number of past projects that will be given credit is twenty-five (25) for each firm and ten (10) for each individual. The minimum number of past projects is one (1).

6. Credit will be given to vendors/key individuals with more high performing surveys (Figure 3).

No

CriteriaVendor A

Vendor B

1Average customer satisfaction ratings (1-10)

9.5 9.5

2 Number of different jobs surveyed 25 1

3Number of different customers surveyed

25 1

N Criteria Individu IndividuUniversity Project Number: Error: Reference source not found Page 2 of Attachment G

http://www.pbsrg.com/

o al A al B


9.5 9.5



10 1

Figure 3: Number of Returned Surveys Will Impact Competitiveness

7. Vendors/key individuals may submit more references at any time to increase their (1-10) ratings. If the vendors/key individuals exceeds the limit on the “Number of different jobs” and “Number of different customers”, those numbers will be capped as shown in Figure 4.

No

CriteriaVendor

J (Actual)

Vendor J (Credite

d)


9.27 9.27



31 25

Figure 4: Surveys Will Be Capped if They Exceed the Maximum Credit Limit

8. The “Past Project Info” sheet (Figure 5) requests information on each past project that will be surveyed. This includes the following (all data fields are required and must be accurate):

CODE - A unique (different) number assigned to each project FIRST NAME - First name of the person responding to the questionnaire LAST NAME - Last name of the person responding to the questionnaire PHONE NUMBER - Current phone number for the reference (including area

code). FAX NUMBER - Current fax number for the reference (including area code). USER NAME - Name of the company or institution that the work was performed

for. PROJECT NAME - Name of the project (i.e. Bird High School A-Wing) DATE COMPLETED - Date when the project was constructed. (i.e. 5/31/1995) COST OF PROJECT - Awarded cost of project (i.e. $50,000)

Figure 5: The “Past Project Info” Sheet Contains Information on the Past Projects Being Surveyed

9. The “Reference List” must contain past projects where the construction is 100% complete. Projects that are substantially complete or on-going may not be submitted (no credit will be given for projects that are not complete). If


vendor/key individual has completed a design, but the construction has not been completed, the project may not be listed or surveyed. Only completed construction projects can be surveyed.

10.The “Reference List” should contain the vendors or individuals “best” past projects. Do not submit references for past clients that may give you low ratings. It is the vendor’s/key individual’s responsibility to ensure that their past references are highly satisfied and will provide very high ratings. Important note: Once a survey is returned to the University, it will not be deleted (so it is the vendor’s/key individual’s responsibility to ensure that they do not receive low ratings).

11.The past projects do not have to be similar to any type of project. You should submit the vendors/key individuals best past projects.

12.The “Reference List” must contain different projects. You cannot have different people evaluating the same job. However, you are allowed to have one person evaluate several different jobs.

13.The past client/owner must evaluate and complete the survey. You cannot have other vendors (contractors, subcontractors, Respondents) evaluate your performance.

14.The vendor/key individual is responsible for contacting their past clients and informing them about the importance of the survey and the deadline for submission. The City may contact the references for additional information. If the reference cannot be contacted, there will be no credit given for that reference.

15.The PPI process is a one-time function. The vendor/key individual does not have to repeat this process on future projects (once they have established their PPI scores). The vendor/key individual may be allowed to add more projects to their “Reference List” at any time (as long as they submit an updated “Reference List”). The vendor/key individual is responsible for verifying that their information is accurate prior to submission.

16.The file should be saved as the Vendor/Key Individual Name followed by “Ref List” (For Example: “ABC Design Ref List” for a Vendor or “Lenny Johnson Ref List” for an individual).

17.The “Reference List” must be emailed to: a. Eduardo Luna [[email protected]] c. Kevin Sullivan [[email protected]]

SECTION 3 – HOW TO CREATE AND SEND OUT SURVEYS

1. The vendor/key individual is responsible for creating and sending out a survey questionnaire to each of their past clients. The survey questionnaire can be downloaded from the website (www.pbsrg.com)


2. Important Note : There are two types of surveys: one for construction services and another for design/consulting services. Please be sure to use the correct survey form.

3. The vendor/key individual should input the required information on the survey questionnaire:

a. Survey ID (Code) b. Past clients contact information c. Project information d. Name of the vendor and/or individual being surveyed

4. All the information on the survey form must match the information in the “Reference List” (see Figure 6).

Figure 6: The Information On The Survey Form Must Match Your Reference List

5. Recommendation: To save work in the future, the vendor should list the following individuals (that worked on that particular past project) on every survey questionnaire as shown in Figure 7.


Project Manager Site Superintendent

Figure 7: Vendors Should List All Critical Individuals On Every Survey

6. Do not list more than one individual for the same position (i.e. If Joe Smith was a Project Manager on the project, you cannot list another individual as a Project Manager on that same project).

7. The vendor/key individual should also modify the return information at the bottom of the survey with a contact person and an accurate fax number. Remember, the survey will be sent from your past client to you (so you must enter a valid fax number).

8. All returned surveys MUST be evaluated and signed by the past client. If a survey is not signed, it will NOT be counted.

9. The vendor/key individual is responsible for making sure that their past clients receive the survey, complete the survey, and return the survey back to the vendor/key individual.

10.The past client/owner must evaluate and complete the survey.

11.The past client/owner must sign the survey form to prove that they completed the survey.

12.All of the returned surveys should be packaged together and submitted with your submittal. The scores of the submitted surveys will be used to compile the average Past Performance Information rating for the vendor/key individual during the evaluation of the proposal. It is the vendor’s responsibility to submit the individual key components Reference List before the RFP due date. If this is not


done, the individual key components will not receive a PPI score during the evaluation of the project, which may jeopardize the vendor’s overall score.

13.The University of Minnesota may contact the reference for additional information or to clarify survey data. If the reference cannot be contacted, the survey will be deleted and no credit will be given for that reference.

SECTION 4 – ADDITIONAL INFORMATION

1. Once surveys are received, the University will enter the customer satisfaction ratings into a spreadsheet. All of the surveys that are returned in the proper format will be entered. The University will then average all of the surveys responses, to obtain an average rating for each criterion. The University will also calculate the number of different jobs and different customers that returned a survey (Figure 8).

Figure 8: Calculating the Vendors/Individuals PPI Scores

2. Important note: Once a survey is returned to the University, it will not be deleted (so it is the vendor’s/key individual’s responsibility to ensure that they do not receive low ratings).

3. The University may contact the reference for additional information or to clarify survey data. If the reference cannot be contacted, there will be no credit given for that reference/survey.

4. The University will not include/count surveys if:a. The past client states that the project is not completeb. If the construction is not completec. The raters name, client’s name, or project name do not match the name in

the “Reference List” (excluding minor discrepancies)d. The person who rated the survey is not the same person listed in the

“Reference List”e. If the rater does not sign the survey


5. The vendor/key individual may update their PPI scores at any time by submitting a new “Reference List” and by sending out additional surveys.

6. The vendor/key individual may request to see their overall PPI score along with a list of clients that have/have not returned a survey. Please go to the website (www.pbsrg.com) to issue the request. Please note that the requests are processed in the manner in which they are received and may take up to 3-weeks to process.

7. For additional information, please visit the website (www.pbsrg.com), or contact us by email:

a. Nacole Kaai [[email protected]]b. Eduardo Luna [[email protected]] c. Kevin Sullivan [[email protected]]

Survey Questionnaire – University of Minnesota

(Construction Services)

Survey IDTo:

(Name of person completing survey)

Phone: Fax:

Subject: Past Performance Survey of:

(Name of Company)

(Name of Project Manager)

(Name of Site Superintendent)

The University of Minnesota is implementing a process that collects past performance information on firms and their key personnel. The information will be used to assist the University in the selection of firms to perform various projects. The firm/individual listed above has listed you as a client for which they have previously performed work on. We would appreciate your taking the time to complete this survey.

Rate each of the criteria on a scale of 1 to 10, with 10 representing that you were very satisfied (and would hire the firm/individual again) and 1 representing that you were very unsatisfied (and would never hire the firm/individual again). Please rate each of




the criteria to the best of your knowledge. If you do not have sufficient knowledge of past performance in a particular area, leave it blank.

Client Name:

CompletionProject

Name:Date:

NO

CRITERIA UNIT

1Ability to manage the project cost (minimize change orders)

(1-10)

2Ability to maintain project schedule (complete on-time or early)

(1-10)

3 Quality of workmanship (1-

10)

4Professionalism and ability to manage (includes responses and prompt payment to suppliers and subcontractors)

(1-10)

5Close out process (no punch list upon turnover, warranties, as-builts, operating manuals, tax clearance, etc. submitted promptly)

(1-10)

6 Communication, explanation of risk, and documentation (1-

10)

7Ability to follow the users rules, regulations, and requirements (housekeeping, safety, etc…)

(1-10)

8 Overall customer satisfaction and comfort level in hiring vendor/individual again

(1-10)

Printed Name (of Evaluator) Signature (of Evaluator)

Thank you for your time and effort in assisting University of Minnesota in this important endeavor.

Please fax the completed survey to: <<Insert Fax Number>>


ATTACHMENT H

PRE AWARD PHASE GUIDE

Overview

The Pre-Award Phase is carried out prior to the signing of the contract. The client’s objective is to have the project completed on time, without any cost increases, and with high customer satisfaction. At the end of the project, the client will evaluate the performance of the respondent based on these factors, so it is very important that the respondent preplans the project to ensure there are no surprises.

It is the respondent’s responsibility to ensure it understands the client’s subjective expectations. It is not the client’s responsibility to ensure that the respondent understands what their expectations are. The respondent is at risk, and part of the risk is understanding the client’s expectations.

The Pre-Award Phase provides the respondent with a final opportunity to protect itself, by allowing the respondent to carefully pre-plan the project before an award is made. The pre-planning should include all coordination and identification of all risks that cannot be controlled by the respondent.

In many cases, one of the respondent’s biggest risks (in terms of delivering on-time and with no change orders) is the client. Therefore, it is in the respondent’s best interest to identify any issues or concerns ahead of time during the pre-award phase. The respondent should minimize their risk by creating documentation that puts them in control and eliminates any outside interference that could hinder them from performing.

Pre Planning and Coordination

Once you are notified that you are the potential best-valued contractor, you will receive the following documents:

A list of all risks identified by the other respondents that proposed A copy of your interview statements (if applicable) A list of any client issues or concerns (if applicable)

The client requires that the respondent attend a Kick Off Meeting to discuss the objectives of the Pre-Award Phase. A short video tutorial is also available online (www.pbsrg.com), which provides information on the Pre-Award Phase. It is strongly suggested that you watch the video and perform the following functions:

Re-visit the site to do any additional investigating. Coordinate with all parties that will be involved with the project. Identify what

concerns they have and determine solutions to resolve their concerns. This may include consultants, subcontractors, and material suppliers (to ensure that there are no inconsistencies with the requirements or delivery schedules.)

Identify where the risk lies on the project and make sure that all identified risks can be minimized.

Identify any actions required by the client or client’s representatives.

University Project Number: Error: Reference source not found Page 1 of Attachment H

The Quality Control Plan

The objective of the respondent’s Quality Control (QC) plan is to identify risk that the respondent does not control or risk that is impacted by factors that the respondent does not control. The respondent must also identify how they will attempt to minimize the risk. If the respondent does not identify the risk that they do not control, then the respondent is stating the risk (stated or not stated) is under their control and a part of their contract to meet the intent of the client.

If there is anything wrong with the drawings/specifications/requirements, it is the responsibility of the respondent to identify if they cannot meet or understand the requirement. Any issues must be put in writing. If it is not identified, it is the respondent’s responsibility to meet the intent of the client.

Risks from all the other respondents are provided to the potential best value contractor to ensure that they are identifying all the risks that they do not control. This forces the respondent to do what a best value contractor would do, to think in the best interest of the client.

The quality control plan should address the concerns of the client. The identification of these concerns is more of a clarification of the understanding of the client’s intent in the best value (PIPS) process. It in no way changes the technical scope or amount of work of the respondent, but merely confirms that the respondent has understood the intent of the client. This is one of the major objectives of negotiation, to confirm that the respondent who is being hired understands the client’s intent.

The QC Plan must include the following items as a minimum:

1. A project financial summary. This must include: a. A summary of changes agreed upon during the pre-award phase and

its associated cost for the project:i. Original Project Costii. Value Added Optionsiii. Any Additional Cost iv. Project Total Cost

b. All risk items are carried into the base bid and should include no additional cost.

c. Respondent value added options should state whether they were accepted or declined.

2. A Schedule of Values for the total project Cost. See the following page for an example of the mid-level breakdown that is to be used for the development for the schedule of values.


University of Minnesota Schedule of Values Proposal Form

UMN Budget Code

CSI Budget Code TitleProposed Cost

10 Construction Costs 10 00

00 Pre-Construction Services $10 01

00 General Requirements $Contractor's Contingency %Contractor's Fee %

10 02 00 Site Construction - Existing Conditions $

10 03 00 Concrete $

10 04 00 Masonry $

10 05 00 Metals $

10 06 00 Wood, Plastics, & Composites $

10 07 00 Thermal & Moisture Protection $

10 08 00 Openings $

10 09 00 Finishes $

10 10 00 Specialties $

10 11 00 Equipment $

10 12 00 Furnishings $

10 13 00 Special Construction $

10 14 00 Conveying Systems $

10 21 00 Fire Suppression $

10 22 00 Plumbing $

10 23 00

Heating, Ventilation, Air Conditioning - HVAC $

10 25 00 Integrated Automation $

10 26 00 Electrical $

10 27 00 Communications $


10 28 00 Electronic Safety & Security Systems $

10 31 00

Site and Infrastructure - Earthwork $

10 32 00

Site and Infrastructure - Exterior Improvements

$

10 33 00

Site and Infrastructure - Utilities $

10 34 00

Site and Infrastructure - Transportation $

10 35 00

Site and Infrastructure - Waterway and Marine

$

Total Project Cost $0.00

3. A complete project schedule. This must include:a. A detailed breakdown of all project activities (including time to obtain

the contract, permits, punch lists, final walk through, and final payment).

b. All significant activities that require actions by suppliers and subcontractors.

c. All significant activities that require actions by the client.

4. A complete list of all risks identified in the risk assessment plan and interview along with solutions to the risks. This includes the list of all risks identified by the other respondents with solutions to each risk.

5. A complete list of factors which are outside the control of the respondent. This should include the following:

a. Identify what the action or risk isb. Identify what the respondent has done, or will do, to minimize the riskc. Identify what may happen if the risk still occursd. Identify what actions the client should take to minimize the risk

6. Project Action Item Checklist(s):a. A list of action items (or actions required by client, contractor, supplier,

subcontractor, etc.). This must include what the action is, a due date, a person that is responsible for making the decision, and a proposed decision or best option.

i. For Clientii. For Contractor - Quality Assurance iii. For Supplier and Subcontractoriv. Detailed list of site preservation, restoration, and minimized site

disruption (if applicable)

7. A project and emergency contact list.

A Power Point template for the QC Plan can be found here: http://www.cppm.umn.edu/purchasing/pips/Resources/Vendor%20QC

%20Template.pptThe password to open the file is “pips”.


http://www.cppm.umn.edu/purchasing/pips/Resources/Vendor%20QC%20Template.ppt

http://www.cppm.umn.edu/purchasing/pips/Resources/Vendor%20QC%20Template.ppt

Pre-Award Meeting

The pre-award meeting is held at the end of the pre-award phase and is used to present a summary of what was developed and agreed upon during the pre-award phase. The pre-award meeting is not a question and answer session. The respondent must not wait for the meeting to ask questions. All coordination and planning with the client should be done prior to the meeting.

The respondent should give a presentation, which walks the client through the entire project and summarizes all of the coordination/planning done during the pre-award period. The respondent should bring their team and all the documents specified in the Quality Control Plan. The respondent should come with documents explaining what the client is responsible for in this project and should identify exactly what they want from the client with due dates. The respondent must convince the client that they have minimized all risks and will not be surprised once the project begins. The pre-award meeting presentation (and meeting minutes, if applicable) will become part of the contract along with the other documents stated in the Pre-Award Document.

REMEMBER: The Pre-Award Phase provides the respondent with a final opportunity to protect itself, by allowing the respondent to carefully pre-plan the project before an award is made. If the respondent does not identify a risk or risks that they do not control, then the respondent is stating the risk (stated or not stated) is under their control and a part of their contract to meet the intent of the client.


ATTACHMENT I

WEEKLY RISK REPORTING SYSTEM GUIDE

Overview

The Weekly Risk Reporting System (WRRS) is a companion to the Quality Control (QC) Plan that is created by the best value Respondent during the Pre-Award Phase. The report serves as a tool for the University in analyzing the performance of each project based on risk. The WRRS is expected to take minimal effort (approximately 10 minutes per week). The WRRS does not substitute or eliminate weekly progress reports or any other traditional reporting system (that the Respondent may do).

The purpose of the WRRS is to allow the Respondent to manage and document all risks that occur throughout a project. Risk is defined as anything that impacts project cost or project schedule. This includes risks that are caused by the contractor (or entities contracted by the contractor), and risks that are caused by the University (scope changes, unforeseen conditions, etc). The University Project Manager may also require the Respondent to document risks that may impact customer or client satisfaction.

Submission

The weekly report is an excel file that must be submitted on the Friday of every week. The report is due every week once the Notice to Proceed is issued, until the project is 100% complete (and final payment is made). Please contact the CPPM Project Manager if you have not received an electronic version of the spreadsheet (once the NTP has been issued). The report must be emailed to:

<<PM – PM E-mail>> ASU < [email protected] ><<PC – PC E-mail>> UMN < [email protected] ><<Director – Director E-mail>> <<FM Project Manager – FM PM E-mail>>

The completed report must be saved using the date and name of the project given by the client (Format: YYMMDD_ProjectName_Project ID; For example, ‘Polk Project’ for the week ending Friday, March 1, 2005, should be labeled ’050301_PolkProject_01-123-45-6789’). This will facilitate CPPM in analyzing all projects on a weekly basis. Weekly Reports are to be emailed (by midnight C.S.T. of each Friday).

Online Guide and Tutorial

A short video tutorial is also available online (www.pbsrg.com), which provides information on the reporting system. Respondents are required to watch this video prior to completing/submitting the weekly reports.

The weekly report consists of scope changes or unforeseen events that are risks to the project in terms of cost, schedule, or client satisfaction including any issues that could potentially develop into a risk. When a new issue is identified, it is added to

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the project risks, along with the following: Identification date (date the risk was identified), plan to minimize the risk, resolution due date, impact to critical path or schedule (in days), and impact to final cost (in dollars).

Prior to submitting the report, the Respondent must contact the CPPM Project Manager if there are any risks or potential risks identified. The CPPM Project Manager is required to provide a satisfaction rating based on the identified risk and the Respondents plan to mitigate the risk. The rating is based on a scale of 1-10 (10 being completely satisfied and 1 being completely dissatisfied). The CPPM Project Manager may modify their satisfaction ratings at any time throughout the project. When a risk is resolved, the actual date of resolution must be listed.

The Respondent is also required to submit a detailed project schedule (including the NTP date, Substantial completion date, and Final completion date) in the weekly report. The schedule report must contain the Respondents original schedule along with the current estimated schedule.

Note: The Weekly Reports will be analyzed for accuracy and timely submittals by the resident engineer or project manager. Upon completion of the project, the Respondent will be evaluated based on their performance on the project. This includes (but is not limited to): overall quality, on-time completion, no cost change orders, no complaints, and submission of accurate weekly reports. The final rating will be used to modify the Respondents Teams PPI scores by 50%. The modified rating will be used for competition on future projects.

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PIPS CM@R

Technology

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