SHA Design-Build Manual January 2013Maryland State Highway Administration Design-Build Manual •...

Deesign‐Buuildd MMannuaal

Jaanuarry 23, 22013

Maryland Staate Highway AAdministration Deesign-Build M Manual Table of Con ntents

TABLE OOF CONTTENTS

PART I - INTRODUCCTION TO DDESIGN-BUIILD ............................................................................ 1 CHAPPTER 1 - OVVERVIEW .. ..................................................................................................... 2

1-1 Purpoose ................................................................................................................... 2 1-2 Similaarities & Diffeerences ........................................................................................ 2 1-3 Use .. ........................................................................................................................ 3 1-4 Design-Build Objeectives .......................................................................................... 4 1-5 Authoority .................................................................................................................. 4

1-5.1 Federal Accquisition Reegulations (FFAR)........... ............................................ 5 1-5.2 SAFETEAA-LU............................................................................................... 5 1-5.3 Special Exxperimental Project No. 14 (SEP-14) .......................................... 5 1-5.4 Special Exxperimental Project No. 15 (SEP-15) .......................................... 6 1-5.5 FHWA Finnal Rule on DDesign-Buildd Contractingg .......................................... 6 1-5.6 Summary of SHA's Deesign-Build PProcess .................................................. 7

CHAPPTER 2 – T HE DESIGNN-BUILD DE CISION...... ............................................................... 9 2-1 Factors To Be Coonsidered ...................................................................................... 9

2-1.1 Time............................................................................................................. 9 2-1.2 Flexibility ...................................................................................................... 9 2-1.3 Innovationn/Creativity .................................................................................... 9 2-1.4 Complexitty of Maintennance of Traaffic (MOT) .. ............................................ 9 2-1.5 Current Sttatus of Design .......................................................................... 10 2-1.6 Approval RRequiremen ts ............................................................................ 10 2-1.7 Cost/Fundding ............................................................................................. 10 2-1.8 Miscellaneeous Requireements....... ............................................................. 10 2-1.9 Environmeental Risks/Issues......... ............................................................. 10 2-1.100 Complexitty of Utility RRelocations .............................................................. 10 2-1.9 Geotechniical Risks .................................................................................... 11

2-2 Projecct Identification .............................................................................................. 11 2-2.1 Project Gooals ............................................................................................. 11

2-3 Risk I dentificationn, Assessmeent, and Alloccation ................................................... 11 CHAPPTER 3 - ROOLES & RESSPONSIBILITIES ...................................................................... 16

3-1 Projecct Owner Beenefits.......................................................................................... 16 3-2 The PProject Owneer Responsibbilities (See Part IV alsoo) ........................................ 16 3-3 The DDesign Buildeer’s Respon sibility (See Part IV alsoo) ........................................ 17 3-4 Stakeeholder Identtification ...................................................................................... 17

PART II -- SHA'S PROOCUREMENNT PROCESSS ........................................................................... 18 CHAPPTER 1 – D ESIGN-BUI LD LOW-BIDD CONTRACCTING.................................................. 19

1-1 The PProcess .......................................................................................................... 191-1.1 Project IInnformational Meeting .................................................................. 19

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1-1.2 Schedule . ................................................................................................... 20 1-1.3 Request foor Informatioon/Addenda............................................................. 20 1-1.4 Technical Evaluation FFactors & Addjectival Rattings................................... 20 1-1.5 Evaluationn of Technicaal Proposalss............................................................ 21 1-1.6 Bid Opening............................................................................................... 22 1-1.7 Award andd Notice to PProceed................................................................... 22 1-1.8 Stipends..................................................................................................... 22

CHAPPTER 2 - COOMPETITIVE SEALED PROPOSALLS ......................................................... 24 2-1 The PProcess .......................................................................................................... 24

2-1.1 Project Infformational MMeeting ...... ............................................................. 25 2-1.2 Schedule . ................................................................................................... 25 2-1.3 Request foor Informatioon/Addenda............................................................. 25 2-1.4 Evaluationn Factors - RRFQ ......................................................................... 26 2-1.5 Alternativee Technical CConcepts (AATC)............ .......................................... 26 2-1.6 Confidentiial Meetings for ATCs... ............................................................. 26 2-1.7 Administraation Revieww of ATC..... ............................................................. 26 2-1.8 Technical Evaluation FFactors & Addjectival Rattings................................... 27 2-1.9 Evaluationn of Proposaals and Selecction ..................................................... 28 2-1.100 Award andd Notice to PProceed................................................................... 28 2-1.111 Stipends.. ................................................................................................... 29

PART III - PRELIMINNARY ENGINNEERING................................................................................... 31 CHAPPTER 1 – D ESIGN DEVVELOPMENTT, PLAN & EESTIMATE PPREPARATTION ............... 32

1-1 Design Developmment ............................................................................................. 32 1-1.1 Topographhic and Propperty Surveyys ................ .......................................... 32 1-1.2 Utility Dessignating andd Test Pits .. ............................................................. 32 1-1.3 Pavementt Design andd Geotechniccal Engineerring .................................... 32 1-1.4 Roadway Design........................................................................................ 33 1-1.5 Structural Design ....................................................................................... 33 1-1.6 Storm Draain Design ................................................................................... 33 1-1.7 Stormwateer Managemment Design ............................................................. 34 1-1.8 Erosion annd Sedimentt Control Deesign............ .......................................... 34 1-1.9 Maintenannce of Trafficc Design andd Construction Phasing........................ 34 1-1.100 Traffic Dessign............................................................................................. 35 1-1.111 Environmeental Designn............................................................................... 35 1-1.122 Landscapiing / Aesthetics Design. ............................................................. 36 1-1.133 Plats........ ................................................................................................... 36 1-1.144 Design Exxceptions ..................................................................................... 36

1-2 Plan PPreparation.................................................................................................... 36 1-2.1 Title Sheeet.................................................................................................. 37 1-2.2 Index of SSheets, Abbrreviations annd Conventioonal Signs .......................... 37 1-2.3 Typical Seection Sheetts ............................................................................. 37

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1-2.4 Geometry Sheets....................................................................................... 38 1-2.5 Roadway Plan Sheetss .............................................................................. 38 1-2.6 Roadway Profile Sheeets ........................................................................... 39 1-2.7 Structure SSheets ........................................................................................ 39

1-3 Specifications ........................................................................................................ 39 1-3.1 Communitty Relations & Public Ouutreach........ .......................................... 40

1-4 Consttruction Costt Estimates ................................................................................. 40 1-4.1 Estimate TType............................................................................................ 40 1-4.2 Estimate CConsideratioons........................................................................... 40

CHAPPTER 2 - PRRE-ADVERTTISEMENT RREVIEW PRROCESS............................................... 41 2-1 Prelimminary Investtigation ....................................................................................... 41 2-2 Utility Preliminaryy Investigatioon................ ............................................................. 42 2-3 Right--of-Way Neeeds Meeting ............................................................................... 42 2-4 Semi--Final Revieww ................................................................................................ 42 2-5 Final Review.......................................................................................................... 43 2-6 Plans, Specificatioons & Estimate.......................................................................... 43

CHAPPTER 3 – P ERMITS..... ................................................................................................... 43 3-1 Enviroonmental Peermits .......................................................................................... 43 3-2 DBT’ss Modificatioon Requirem ents ........................................................................ 44

PART IVV - PROJECTT EXECUTIOON .............................................................................................. 45 CHAPPTER 1 – D ESIGN-BUI LD TEAM CCOMPOSITIOON........................................................ 46

1-1 SHA’ss Role ......... ................................................................................................... 46 1-1.1 SHA Consstruction Perrsonnel ....... ............................................................. 46 1-1.2 SHA Desiggn Personneel ............................................................................. 46

1-2 Design-Builder’s RRole............................................................................................ 461-2.1 Design-Buuilder’s Consstruction Perrsonnel ....... .......................................... 47 1-2.2 Design-Buuilder’s Desiggn Personneel .......................................................... 47

1-3 FHWAA’s Role...... ................................................................................................... 47CHAPPTER 2 – D ESIGN-BUI LD SPECIF ICATIONS .............................................................. 50

2-1 Standdard Specificcations used on Design-Build Projeccts....................................... 50 2-2 Special Provisionss-Terms & CConditions (TTC) Section 2 – Bidding RRequirementss and Condiitions for Design-Build .. ............................................................. 50

2-2.1 Value Enggineering (VEE) ............................................................................ 50 2-2.2 Partneringg .................................................................................................. 50 2-2.3 Request foor Proposalss and Invitation for Bids. .......................................... 50 2-2.4 Project Deescription..................................................................................... 50

2-3 Special Provisionss-Terms & CConditions (TTC) Section 3 – Scope oof Workfoor Design-Buuild................................................................................................................. 50

2-3.1 Design-Buuild – Designn and Constrruction Scoppe of Servicees ................... 50 2-3.1aa General RRequirementss.............................................................................. 50 2-3.1bb Design Peersonnel Identified in Prooject...................................................... 51 2-3.1cc Design Quuality Controol Plan......... ............................................................. 51

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2-3.1dd Stormwateer Managemment & Erosioon Sediment Approvals........................ 51 2-3.1ee Coordinatiing Design SSubmissionss............................................................ 51 2-3.1ff DB Constrruction Pers onnel ......... ............................................................. 51 2-3.2 Administraation Sevices ............................................................................. 51 2-3.2aa Constructiion Inspectioon ............................................................................ 51 2-3.2bb Meetings . ................................................................................................... 52 2-3.3 Design Doocument Delliverables ................................................................ 52 2-3.3aa Coordinatiing Design DDocuments .............................................................. 52 2-3.4 Performannce Specificaations ......... ............................................................. 52

2-4 Special Provisionss – TC Section 7 – Paymment for Dessign-Build........................... 522-4.1 Contractorr’s Cost Breaakdown andd Schedule oof Payments ...................... 52 2-4.2 Method off Measuremeent........................................................................... 52 2-4.3 Monthly MMaterial Clearance ...................................................................... 53 2-4.4 CPM Scheedule........................................................................................... 53

CHAPPTER 3 – C ONTRACT AADMINISTRRATION ................................................................... 54 3-1 General Overvieww.................................................................................................. 543-2 Specification Revviews ........................................................................................... 543-3 SHA SStaff Authoriity and Relationships.... ............................................................. 543-4 SHA RResponsibili ty for 100% Design Elemments ................................................... 543-5 Consttruction Insppection......................................................................................... 543-6 Design Changes. ................................................................................................... 55

CHAPPTER 4 – C ONSTRUCTTION MANAAGEMENT OOPERATIONN ISSUES........................... 56 4-1 General Overvieww.................................................................................................. 564-2 Meetings................................................................................................................ 564-3 Management Schhedule and PPlans........................................................................ 564-4 Design Reviews.. ................................................................................................... 564-5 The AAdministratioon’s Role in DDesign Quallity Assurancce ...................................... 574-6 Doucuumentation CControl Systtem and Dai ly Record Keeping ............................... 574-6.1 Perforrmance Monnitoring ........................................................................................ 574-6.2 Monitooring Utilizattion of DBE’ s ............................................................................. 574-7 Monthhly Estimatess and Progreess Paymennts ............... .......................................... 584-7.1 Estabblishing Pay Items .......................................................................................... 584-8 Proceessing Monthhly Updates................................................................................. 584-9 CMP Scheduling . ................................................................................................... 594-10 Inspecction Respo nsibilities .................................................................................... 594-10.1 Inspecctor’s Role.. ................................................................................................... 594-10.1aPlanss and Specifiications....................................................................................... 594-10.1bErosioon and Sediment Controol Plans ...... ............................................................. 604-10.2 Independent Enviironmental MMonitor..................................................................... 604-11 Materrial Clearancce ................................................................................................ 614-12 Utility Design andd Relocationss.............................................................................. 61

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4-13 Respoonding to RFFI’s .............................................................................................. 614-14 Requeested Contraact Changess .............................................................................. 614-15 Projecct Issues..... ................................................................................................... 634-16 Tracking Design SSubmissionss, Greenline Revision annd As-Builts........................ 634-17 Final AAcceptance and Closeoout ............... ............................................................. 63

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TABLLE OF FIGGURES

FIGURE I-1 DESIGGN-BUILD PPROJECT DDEVELOPMEENT ............ ............................................ 8FIGURE I-2 RISK ANALYSIS MATRIX..................................................................................... 13FIGURE I-3 RISK IDENTIFICAATION, ASSSESSMENT,, AND ALLOOCATION

WWORKSHEETT ................................................................................................. 14FIGURE I-4 RISK ALLOCATIOON AND AL LOCATION SUMMARYY.......................................... 15

LIST OOF TABLES

TABLE I--1 DESIGGN-BID-BUIILD & DESIGGN-BUILD CCOMPARISOON ....................................... 2TABLE I--2 RISK MATRIX ....................................................................................................... 13TABLE III-1 MILESSTONE – (DDBLB).......................................................................................... 23TABLE III-2 MILESSTONE – (CCSP)............................................................................................ 30TABLE IIII-1 PLANN SHEET DEESCRIPTIONN.............................................................................. 36TABLE IIII-2 PERMMITS .............................................................................................................. 43TABLE IVV-1 FHWAA NON-EXEEMPT REVIEEW PROCESSS ........................................................ 47TABLE IVV-2 CHANNGE APPROOVAL MATRRIX .............. ............................................................. 64

APPPENDICESS

Appendixx A. Abbreeviations andd Definitionss............................................................................... 66

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1-3 Use This manual is intendded for use bby SHA perssonnel and cconsulting enngineers who are

directly involved in tthe developpment and implementattion of DB ddocuments and construuction administrration of DBB projects. This manuaal will also provide DB contractorss and consuultant engineerrs with an unnderstandingg of SHA’s approach to DDesign-Buildd.

The roless and respoonsibilities oof other parrticipants in the DB prrocess (suchh as, project SStakeholderss, Design-Buuilders, and oversight annd regulatorry agencies)) are definedd andexplainedd. The relaationship of this documment to otheer Policy and Proceduure Manualss arediscusseed. Electronicc versions oof these documents can be found oon the Innovaative Contraacting Division ((ICD) Design-Build Intraanet Web paage.

The proceesses described herein are intendedd to serve thhe following ppurposes:

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• Allow SHA to capitalize on thee strengths oof DB while preserving qquality; • Identiffy and explaain DB proceedures and rresponsibilities;• Coorddinate DB prrocedures with current policies and pprocedures; • Foster innovation and creativity through the DB method of projecct delivery; and • Providde consistenncy of approoach to DB while allowwing Lead DDesign Officees to

tailor ccontract requirements too the needs of individual projects.

1-4 Design-BBuild Objecttives The SHA has implemmented the DDesign-Buildd method ass a means too deliver proojects

faster annd within buudget. This method of ccontracting pprovides seveeral benefitss:

• Shiftinng responsibbility and riskks to the parrty best able to address them; • Shorteens project ddelivery timee; • Fosters innovationn and creativvity in design and construction technniques; and• Reducces change orders, dispputes, and claims; and

• Improoves project collaborationn.

Design-Build combinnes into a single contract, the ddesign and constructioon in accordannce with SHHA design sstandards, ccriteria, speecifications, and contracct administrration practicess. This projeect delivery aapproach, allows the coontractor to pparticipate dduring the deesignphase too identify vaalue engineeering opportunities, to expedite cconstruction and thus llower project coost.

The Desiggn-Build conntracting proocess and coontract administration will follow stanndardSHA praactices unleess otherwisse identifiedd herein. TThe Office of Highwayy Developmment’sInnovativve Contractting Divisionn (ICD) is responsiblee for oversseeing SHAA’s Design--BuildProgram. However, the Lead DDesign Divisiion or Districct Office is rresponsible for administteringthe Desiggn-Build conntracting proocess, with ddirect oversigght from the ICD, for proojects within theirDivisionss/Districts. AAll projects wwill be coordinated througgh ICD. Thee procuremeent process is ledby the PProcurement Managemeent Team (PPMT), consissting of the Division Chief and Assiistant Chief of the Lead Deesign Divisioon or District Office and coordinatedd through ICCD with overrsight from the Office of Prrocurement & Contractss Managemeent (OPCM)). The procurement proocessfor all Offfice of Highwway of Highway Develoopment projeects will be led by the ICCD with overrsightfrom OPCCM. Designn-Build can bbe easily addapted to all project typees including but not limitted tothe folloowing: Majoor Projects, Communityy Safety && Enhancemment/Streetsscape, Safeety & Intersection Capacity Geomettric Improvvements, Bridge Replacement && Rehabilitaation,Resurfaccing, Drainagge Improvemments, Ridessharing Facilities, Sidewwalks, ADA CCompliance, andPedestriaan Access Immprovementts to Transit Stops.

1-5 AAuthority Pursuant to Marylandd State Finance and Proocurement CCode Ann. § 3-602 (g)(1), the

Marylandd General Asssembly autthorized the use of Design-Build in SState capital projects. DDue tothe use oof Federal aid in the connstruction annd reconstruction of Marryland roadss, SHA use oof theDesign-BBuild processs is also govverned by thhe regulationns promulgaated at 23 CCFR Parts 6227, etseq. by the United States Department off Transportaation, Federal Highwayy Administraation. Additionaal regulationn is pursuant to State procuremeent provisionns set forthh in the releevant sections of the Maryyland State FFinance and Procuremennt Article of the Annotatted Code and the Code of MMaryland Reegulations (CCOMAR).

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publishedcovers gprocedurof factorallowableoffering discussiowithin thestatutes a

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Build for expandeThe proc(short-lisselects tRegulatiocompetitACEC an

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contractiContractplus-timeevaluatiopractices

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Special ESince 19

ng techniqueing." (SEP-1

e bidding, laon, the FHWs (non-exper

1 62 Fede2 FAR 36.

cific Federal d. Reg. 7592es and conrd criteria. Svaluation ofuses of info Subpart Eferors, reviscting rules, rons.

of Design-Bued from varcurement leEngineering

ributed to its

Acquisition agencies of . However, ral agenciesa two-phaseofferors (to

sful offeror rs guidancetion (i.e., cocoordinated

A-LUst 10, 2005,tion Equity

ays, highwasents the laills that brouon Efficienc-21)—shapes. SAFETEA

mmatic frametructure. Tos $50 million

Experimenta90, the FHes under a p14) Originallyne rental, D

WA decidedrimental) and

eral Register 23

Design-Builld Contractinng rules aree found at 23 CFR Part 636, 26-75934 (DDec. 10, 20002). Subparrt A, §§ 6366.101 – 6366.119,

ncerns. Subppart B, §§ 6636.201 – 6636.212, reggulates seleectionSubpart C, §§ 636.301 –– 636.305, gooverns the sselection andd usef proposals. Subpart D, §§ 636.4001 – 636.4009, regulatess theormation andd communiccation exchanges between the Statee and E, §§ 636.5001 – 636.514, covers such issuess as the usse of sions of prooposals, andd source seelection. Speecific provissions,reference annd mandate the incorpooration of Sttate procureement

uild in the coonstruction oof major highhway and briidge projectss hasrious sourcees beyond the regulatiions governning Federaal Aidegislation, tthe Associaated Generral Contracttors (AGC),, the g Companiees (ACEC), aand the Design Build Insstitute of Ammericas increasinglyy widespreaad use in Staate capital prrojects.

Regulationns (FAR)the Federal governmennt have beenn successfully using Deesign-in 19971 in implementinng the Clingeer-Cohen Acct of 1996, wwhich s authority to use Desiggn-Build, neew regulationns were issued2. e, competitivvely negotiaated processs—phase onne is a narroowing o no more tthan five) bbased on quualifications, and phasee two based on a combinattion of quality and price (best vaalue).

e for phase oone and requires that phase two bee conducted as a ompetitive ssealed proposals) undeer FAR Parrt 15. The AAGC,on the new Design-Build regulationns.

, the Presideent signed into law the Safe, Accouuntable, Flexxible,Act: A Leggacy for Users (SAFEETEA-LU). WWith guarannteed

ay safety, aand public transportation totalingg $244.1 billion, rgest surfacce transportaation investmment in our Nation's hisstory.

ught surface transportatiion into the 21st centuryy—the Intermmodal cy Act of 19991 (ISTEA) aand the Trannsportation EEquity Act foor the ed the highway program to meeet the Naation's channging A-LU builds on this firmm foundatioon, supplyingg the fundss and ework for innvestments needed to maintain annd grow ourr vital o encouragee more projects to use DDB contractinng, SAFETEA-LUn floor on thee size of eliggible contraccts.

al Project NNo. 14 (SEP--14)WA has alllowed the SState DOTss to evaluatte non-tradittionalprogram titleed "Special EExperimentaal Project Noo. 14 - Innovvative y, the contraacting practiices approveed for evaluation were: cost-esign-Build contracting,, and warrannty clauses. After a period of that all four practicess were suitaable for usee as operattionald no longer require apprroval under tthe SEP-14 program. Tooday,

271 (January 2,1997)

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SEP-14 rremains as a functional experimenttal program that may benon-tradiitional contraacting techniques.

1-5.4 Special EExperimentaal Project NNo. 15 (SEP--15)In order foor FHWA to accommodate the neww and benefic

became incumbent upon the FHHWA to estaablish the SSEP-15 proguse of exxperimental features on Federal-Aidd projects that will test atechniquee that is proohibited by aa current proovision of title 23 of the regulations or policy.. SEP-15 waas establisheed pursuant to the authoTransporrtation by Unnited States Congress inn 23 U.S.C. §502(a). SE14, whicch is still available to evaluate exxperimental contract acreation of SEP-15 pprovides a process and the tools forr the applicaenvironmment that enncourages innnovation wwhile still maaintaining thtitle 23 off the United States Codee.

Approval of new alternative conttracting methodologies Federal HHighway Administration (FHWA). TThe applicabbility of SEP-projects may be disscussed withh the assignned FHWA AArea EngineFHWA’s SEP-14 and SEP programms mayhttp://wwww.fhwa.dot.ggov/programmadmin/conttracts/

1-5.5 FHWA Final Rule onn Design-Buuild Contraccting

Effective September 13, 2007 and defined in 23 CFR parFHWA aggreed to brooaden the deefinition Preliminary Design and types of pre-NEPA design activitties that wouuld be allowe

• Prelimminary engineering or othher activitiesNEPAA process "mmust not matterially affectalternatives in thee NEPA revieew process.

FHWA alsso revised its regulatoryy definition offollowing preliminary design and expressly inncludes the and detaailed specificcations for the performannce of constr

Prior to thhe completioon of the NEPPA Processrequest ffor qualifications (RFQ) aas long as thhe RFQ infoNEPA review. A Conntracting ageency can isssue a Requeconclusioon of the NEEPA processs as long as tthe RFP infothe NEPAA process and that no commitment will be madein the NEEPA processs, including tthe no-build alternative. with the aaward of a ddesign-build contract prioor to the cona notice tto proceed tto a design-bbuild contracct that has bthe NEPAA process.

FHWA cooncurrence iss required prior to issuacontract, and proceeed with prelimminary desiggn work undeThis conccurrence constitutes FHHWA’s approoval that suchrequiremments, but dooes not consstitute projecct authorizati

e used to evvaluate prommising

cial activitiess from SEP--14, itgram. SEP-115 allows foor the an innovativee project delivery

United Stattes Code, FHWA ority grantedd the Secretaary of EP-15 does nnot replace SEP-dministration methods. The

ation of thesee strategies in an e fundamenntal objectivees of

is under thee auspices oof the -14 or SEP-15 on federaal aid eer. Currennt informatioon ony be found at

rts 630, 635 & 636 the provvided specific examples of

ed under thee regulationss.

s done prior to the comppletion of theet the objectivve consideraation of "

f Final Desiggn as “any design activitties preparation of final consstruction plans ruction workk."

a Contractinng agency mmay issue a rms proposeers of the geeneral statuss of

est for Propoosal (RFP) prior to the orms propossers of the geeneral statuss of e as to any aalternative under evaluaation A Contractiing agency ccan also proceed

nclusion of thhe NEPA proocess; and issue een awarded prior to thee completionn of

nce of the RRFP, award aa design-build er a design-bbuild contracct.h activities ccomply with Federal on or obligate Federal fuunds.

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The Design-build conntractor mayy not preparee NEPA doccuments, inccluding enviroonmental immpact statemennts and envirronmental assessmentss, or NEPA ddecision documents, succh as the reccord of decisioon or findingg of no signifficant impactt. The Desiggn-builder mmay have no decision-maaking responsibility with resspect to the NEPA proceess. The Deesign-buildeer is not prohhibited from financingg the preparaation of the NNEPA documments, as long as the otther criteria aare met. Woork products produced bby the designn-build contrractor relatedd to the projeect and mitiggation optionns may be cconsidered inn the NEPA analysis. Iff the NEPA pprocess wass completed prior to the issuancee of an RFP, the contracting agency may allow aa consultant or sub-conssultant who preparedd a NEPA doocument to ssubmit a proposal in respponse to thee RFP. If thee NEPA proccess was not ccompleted pprior to issuaance of the RRFP, a sub-cconsultant too the prepareer of the NEPAdocumennt may particcipate as an offeror or onn a team subbmitting a prroposal, but only if the contracting agency reeleases the sub-consulttant from further responssibilities relaated to prepaaring the NEPAA documentt.

Contractss that are awwarded prior to conclusioon of the NEPA process must include provisionns preventingg the designn-builder fromm proceeding with final ddesign activiities and phyysical constructtion prior to the completion of the NEEPA process. The contract must ennsure that noocommitmment is madee to any alterrnative beingg evaluated in the NEPAA process annd that the mmerits of all alteernatives preesented in thhe NEPA doccument, including the noo-build alternnative, will bbe evaluatedd. The conttract must include provissions ensurinng that all ennvironmental and mitigattion measurees identified iin the NEPAA decision doocument will be implemeented. The ccontract alsoomust incllude terminaation provisioons in the evvent that the no-build altternative is sselected. If award occurs priorr to conclusioon of the NEEPA processs, it is not necessary to eevaluate the total contract price.

1-5.6 Summaryy of SHA's DDesign-Build ProcessThe SHA utilizes sevveral approaaches to Dessign-Build project deliveery dependinng on

the projeects’ size and complexity. Currentlyy, SHA utilizees Design-BBuild Low BBid and Dessign-Build CCompetitivee Sealed Proposals (Best Vaalue) procuurement sstrategies. Both approachhes utilize aa two-step sselection proocess. The ttwo-step selection proccess may vaary instructuree based on ssize or commplexity of thhe project. TThese decissions are maade by the Lead Design OOffice with thhe assistancee of the Innoovative Conttracting Divission.

The followwing, summaarizes SHA’ss Design-Buuild Process:

• Identiffy projects in the earlyy stages off project deevelopment for Design--Build procurement (Seee PART I, Chhapter 2 – TThe Design-BBuild Decisioon)

• Develop a Procurrement Strattegy that is ssuited for thee chosen prooject. (See PPARTII – Prrocurement Process)

• Identiffy roles andd responsibillities of all sstakeholderss. (See PARRT I, Chapteer 3 – Roless and Responsibilities

• Prepaare Concept Plans, Specificationss, Invitationn for Biddeers (IFB) and/or Requeests for Propposals (RFPP), (See PARRT III – Prelimminary Engineering)

• Overssee the Projject through design andd constructioon. (See PAART IV – Prroject Execuution)

7


FIGGURE I-1 DESIGN-BUILD PROJECT DEVELLOPMENT

8


CHAPTTER 2 – THHE DESIGGN-BUILD DECISIONN2-1 Factors TTo Be Conssidered

During thee project development pprocess, the Lead Desiggn Office muust first deterrmineif the Dessign-Build MMethod of contracting is appropriate for a particuular project. The followinng list of factorss should be considered. In some casses, one or ttwo factors mmay overridee all others.

• Time – commitmeents for completion datess• Flexibbility • Defineed Scope • Opportunities for Innovation/CCreativity • Compplexity of MOOT • Current Status of Design• Approoval Requirements • Cost/FFunding • Misceellaneous Reequirements• Enviroonmental Rissks/Issues/CConstraints

• Compplexity of Utillity Relocatioons

• Geoteechnical Riskks

Most importantly, tthe Lead DDesign Offfice must hhave confidence thatt the SCOPE is accurately defined aand will not change.

2-1.1 Time The mostt common addvantage of Design-Build is that it alllows for finaal project delivery

in a shorrter period oof time compared to deesign-bid-build (DBB) prroject deliverry. Design--Build affords thhe design aand construcction to procceed concurrrently as a collaborativve effort betwween the desiigner and contractor. The projeects tend to proceed more predictably thrroughconstructtion due to the risk to thee contractorr of delay.

2-1.2 FlexibilityyA significaant benefit ggained from DB is the innteraction beetween the eengineer and the

contractoor in determmining valuedd solutions tto a given pproblem. If the Owner sspecifies a ssingle solution or adopts pprescriptive requirementts, or construction meaans and meethods are tightly controlledd by the Owwner or otherr Stakeholdeers, the Projeect may not be a good ccandidate forr DB.

2-1.3 Innovatioon/CreativityIf the Project offers oopportunitiess for innovation and creaativity relatinng to engineeering

solutionss and/or consstruction schheduling, phhasing, or tecchniques, DB can be veery advantaggeousto the Owwner. This is especiallyy the case foor complex pprojects, whhere a singlee Design-Buuilder,working closely withh SHA, can creatively pplan for, cooordinate, annd control aall of the Prrojectdesign and constructtion variablees.

2-1.4 Complexxity of Mainttenance of TTraffic (MOTT)DB can bbe very advvantageous when the sscope of a project indiccates a commplex

multiple phasing MOOT is necesssary, especiially in an urban settingg. A Contraactor will strive to minimizee the numbeer of phasess in a safe aan efficient mmanner in oorder to reduuce contractt time and cost.

j

9


2-1.5 Current SStatus of DeesignIt is best to determinee whether oor not to usee the DB meethod of projject delivery as a

project is transitioning from thhe Project Planning phases into the Designn phase, beforesignificannt design woork is done. TThe scope oof the pre-DBB contract, ppreliminary eengineering wwork, can then be tailored to meet the specific neeeds and condditions associated with tthe DB projeect.

Once thee design hass progressedd to the poiint where thhe significannt and controllingdesign ddecisions haave already been made, the benefiits of designner/construcctor interaction in developinng solutionss are reduceed (or existinng design mmay require ssome “de-enngineering” to be compatibble with use of DB).

2-1.6 Approvall RequiremeentsApproval requirements from a third party succh as, railrooads and othher governmmental

agenciess may requiire the desiign to be pprogressed tto a high leevel of commpletion befoore a regulatorry or cooperaating agencyy will “approve” a projecct. Third partyy approvals can be mitiggatedif the criteria and time requiredd for third pparty approvvals are covvered in wriitten agreemments between SHA and ssuch third paarties, and aare spelled oout in the coontract docuuments. Poteential problemss can be further reduceed by givingg the third parties the opportunity to participaate informulating project reequirementss and executting the Projeect.

2-1.7 Cost/FunndingDB resultts in greater “cost certainty”; the finaal cost will bbe close to thhe amount oof the

original ccontract pricce. Design-BBuild projects see less ccost escalattion during the course oof the Project, bbecause onee of the primmary reasonss for Change Orders annd claims onn design-bid--build projects (design erroors and omisssions or deesign/construuction interfaace issues), is removed fromSHA’s reesponsibilityy. The majoor causes oof cost esccalation on DB projectss have invoolvedadditionss to the scoppe at the order of the owwners or requuest of stakeeholders. Hisstorically, chhangeorders onn Design-Buuild projects are less than 2% of the contract cosst.

2-1.8 Miscellanneous RequuirementsDesign-Build has prooven to be pparticularly adaptable too project requirements such

as, erossion and seediment conntrol, public involvemennt, communnity relationss, environmmentalmitigationn, MOT, and maintenannce of acceess. As thesse issues arre a significaant elementt of a project, DDB can provvide an oppoortunity for SSHA to revieew and evaluate a numbber of alternnativesolutionss during thee selection pprocess (thrrough the CCompetitive Sealed Prooposal proceess –Alternativve Technical Concepts) and to beneefit from all tthe good solutions offereed by all Deesign-Build Teaams during eexecution off the Project..

2-1.9 Environmmental Risks/IssuesThe methhod of projecct delivery (DDB, DBB, annd others) dooes not havee a direct beearing

on or relaationship to the environmmental docuumentation foor a project. However, thhe environmmental issues annd required mitigation mmeasures onn some projeects may reqquire designn to be takenn to a high leveel of compleetion, therebyy reducing ((or possibly negating) thhe benefits of DB. Howwever, environmmentally senssitive projeccts have beeen delivered successfully using DB. DB can haandlethe “movving target” associatedd with suchh projects, provided the overall ccontract provvidesflexibility and the mmeans to mittigate or miinimize the uncertaintiees and riskss in an equiitable manner.

2-1.10 Complexxity of Utilityy RelocationnsIf the projject indicates there mayy be extensivve subsurfacce utility reloocations, succh as

water, seewer and gaas due to immpacts caussed by the cconceptual ddrainage deesign, it’s beest to scope this effort in tthe DB conttract. This wwill allow thee DB Team to schedulee, coordinatee and

10


layout thhe drainage design to mminimize utility relocations. If subsuurface utility bettermentss are identifiedd during the preliminary design phasse, the local utility owneers should bbe encouraged toincorporaate their bettterments through our DBB contract foor the same reasons statted above.

If the project includdes extensivve utility reelocations thhat are aerrial on polees or undergroound such aas Fiber Opttic Communnication liness, it will be necessary tto determinee the amount oof time the reelocations wwill take befoore a decision is made too procure a DDB contract.. This type of uutility relocation (Fiber Splicing) has never beenn part of our DB contraccts to date due tothe restriictions impossed by the vvarious owneers. Time coonsuming uttility relocations (1 to 2 yyears from R/WW clear) shouuld be identified and evaaluated priorr to determinning whetherr a project iss DB.

2-1.11 Geotechnnical RisksGeotechnnical Risks should not be a deterrent as to wwhether or not a projeect is

deliveredd as a DB. OOne advantaage to the DB approach is placing thhe risks on thhe entity thaat can best mannage the riskks. In a DBBB scenario, aa project thaat requires eextensive undercutting due to the preseence of unsuitable mateerial, typically results in quantity ovverruns and extra costs. Thissame sccenario, a DDB Team inn a Lump SSum contexxt will avoidd excessive undercuttinng by implemennting provenn geotechnical practicees to avoid the time annd materials associated with undercuttting and refiill.

Projects tthat include sinkhole remmediation mmay not be aa suitable caandidate for a DBcontract if the Adminnistration plaaces all the risk on the DB Team. TThis is due to the unknowns when deaaling with sink holes as to actual quuantities neeeded to remeedy the sinkhhole. If the rrisk is shared bbetween the Administrattion and thee DB Team, then it mayybe plausiblle to use thee DBapproachh.

2-2 Project Iddentification Not everyy project is suitable forr the Designn-Build proccess. Considderations incclude

those shoown in Section 2-1; although the relative importtance of facttors may varry from projeect to project. Of equal immportance is an understaanding of thee project goals and projject risk anaalysis,such thatt risk is distrributed amonng those parrties that cann best manaage the risk.

2-2.1 Project GGoalsThe deveelopment of aa list of projeect goals byy SHA’s project team is critical to the DB

procuremment processs. The goalss typically coonsider scoppe, time, quality, and coost, and guidde allsubsequeent decisionns of the IFFB or RFP development. It shouldd be noted that it is rrarely possible to maximizee all project goals. Consstraints on fuunding or timme may requuire adjustmeent inquality goals. Time mmay be a driving force that takes pprecedence over budgeet. The setting ofgoals maay require negotiationss and tradeooffs among Stakeholdeers. The Addministrationn andStakeholder staff mmay wish too develop aan initial listt of projectt goals usinng brainstorrming techniquees. Subsequently, the list should be refined such that the final pproject goalss areexpresseed in a few sstatements.

2-3 Risk Idenntification, AAssessmennt, and Alloccation A systemmatic approaach to risk mmanagemennt can reduce the initiaal contract pprice,

other SHHA costs, annd can help to avoid pootential conttract disputees. Risk anaalysis is a crrucialpart of thhe DB plannning processs, and should be one oof the first stteps taken in developing the procuremment documents. Once risks are iddentified, SHA will evaaluate possible measurees to mitigate the risk annd determine how to aallocate riskks among the parties. Risk should be allocatedd to the partyy that can beest take stepps to avoid aadverse impaacts or to maanage the efffects of the rissk. SHA’s prooject team aand Stakehoolders shouldd participatee in the risk identificationn and include oother speciallists for moree complex projects.

11


There arematrix. TThe procedurbe used on projects below. The rating p(Step 4) is illustrated

Step 1: Dthose rissks that mayrisks mayy occur. A ty

• Enviro• Geote• Utility• Desig• Right-• Permi• Differi

(by ex

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process for r in Table I-1

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12


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13


FIGUR

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14

Marylannd State Highwayy Administration Design-BBuild Manual

DDepartment

FIGURE I-4

Allocation

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RISK ALLOCA

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Remarks

15


CHAPTTER 3 - ROOLES & RESPONSIBILITIES3-1 Project OOwner Beneefits

The greattest benefit of Design-BBuild is the oobjectives oof the Adminnistration and theDesign-BBuild Team are more cclosely aligned and riskk is assigned to the paarty most abble toaddress. With bothh design and construcction under one entity, there is aa single point of responsibility for cooordination, coost control, qquality, and sschedule whhich avoids tthe project oowner resolvingg issues betwween the engineer and tthe contractoor.

The Ownner is no loonger requirred to coorddinate and arbitrate beetween separateengineerring and connstruction coontracts. Whhile the Ownner must still provide robust oversigght of design and construcction progresss, the respoonsibility is mmuch less time consuming and remmovesthe Owneer from a siggnificant amount of risk compared too separate ccontracts forr engineeringg andconstructtion.

The roless and responnsibilities of the parties for Design-BBuild are quuite different than design-bid-build.

3-2 The Projeect Owner RResponsibilities (See PPart IV also))In Designn-Build, the AAdministratioon is responssible for:

A. Overaall program aadministratioon B. Identiffication of prroject goalsC. Determination of tthe best procurement mmethod D. Identiffication and allocation of project riskks E. Prepaaration of tthe RFQ aand RFP, evaluation of SOQ’s and Propoosals,

determmination of tthe Reducedd Candidate List, and seelection of a Design-BuildderF. Furnisshing site infformation G. Providding inspectiion and quality assurancce H. Land acquisition ffor Rights-off-Way and easements I. Utility and railroadd agreementts J. Prelimminary surveysK. Timelyy review, comment, andd final accepttance of the WorkL. Payment for Workk performedM. Mediaa relations suupported by the Design--Builder N. Independent Enviironmental MMonitoring O. Wetlaand and wateerway constrruction permmits and reforestation permits P. Coorddination and facilitation wwith regulatoory and resource agencies Q. QA/QC of the Dessign-Builder’’s design annd constructionR. Developing an effficient changge order proccess

16


3-3 The Design Builder’s Responsiibility (See Part IV alsoo) The Design-Builder hhas the primmary responsibility for controlling annd managingg the

work, inccluding mannagement, ddesign, and constructioon. The Dessign-Builderrs role may alsoinclude ffull responsiibility for QCC as definedd in the conntract documments. The scope of quality control mmay be moree encompasssing than inn a design-bbid-build prooject and may include ssomeactivities traditionallyy consideredd quality assuurance.

3-4 Stakeholder Identificcation SHA’s prooject managgement teamm should ideentify the Sttakeholders for each prooject.

Stakeholders are tthose entities having a significaant financiaal, regulatorry, approvaal, orjurisdictioonal interestt in the Projeect. In additioon to the Administration,, Stakeholdeers may incluude:

• Federral agenciess, such as the Federal Highway AAdministration (FHWA)), US Army Corps of Engineers (USACE), and Environmental Prrotection Aggency (EPA));

• State and local aggencies and//or political ssubdivisionss; • Metroopolitan Plannning Organizations (MPPOs); and/or• Utility Owners andd railroads.

Identifyingg the Stakeeholders andd creating aa way to innvolve them in the Projject’s procuremment process is vital to the Projectt’s success. The goal iss to know thhe Stakehollders’concernss, address thhose concerns in the Prooject requireements or sppecifications, and obtainn buy-in on the part of eachh Stakeholdeer regarding how the Prooject is to bee designed aand construccted.

Design-Build may require Stakeholders to aadjust their normal modde of operattions. Early and continuouus involvemeent in projeect decision--making cann do much to facilitate their understaanding and ccooperation. Some Stakkeholders may not be iddentified unttil later in the DB process, but the maajor players should be identified prrior to proceeeding with the DB process. Identifiedd Stakeholdeers should bbe contactedd and requeested to asssign a singlee point of coontact for the duuration of thee DB projectt, if feasible.

17

Maryland Sta

ate Highway AAdministration Deesign-Build MManual

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18


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ng procureement g of a twoo-part list. Seconnd, is

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MT), consisting ofstrict Officee and

ent & Conttracts

ders (DB Teeams) lete design and

ed by a techhnicaluation will bbe toertake the prroject evaluation tto thepresented too the al proposalss, are nce. Ratinggs of

arrived at thrrough

CL) of thosee DBfficient intereest by

who have mmadet a bid. Bids are

as one packkage.d/or addenddums. ach and resspond

al meeting held meeting will be

19


announced and adveand locaation of the mpage in addition to OHD’s addvertisemen

The purpproject scope, goals,Point preesentation sh

1-1.2 ScheduleA Design-

(DBB) scchedule, SeSufficient time needevaluatioon process wto the evaluation rati

1-1.3 Request Once the

Information (RFI) usdevelopmment of the SHA’s wweb page. Odocumennted and senare sent by the PMTand part of the contra

1-1.4 TechnicaThe tech

accordannce with theProposall are ratedrequiremments of the T

• Desig• Enviro

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TABLE

g the SHA sstandard advvertisement form defininng the date, timehe completeed form shaall be postedd on the SHHA advertiseement ng through industry asssociations vvia email. CCoordinationn withICD are neccessary oncee the form iss approved foor posting.

meeting is to provide all attendeees with an overview oof the d type of proocurement pprocess being considered. A brief PPower ed.

advertisement schedule is very diffeerent from a Design-Bid--Build-1. Consideer your teamm memberss, in the alllocation of time.ocated for tthe review oof the Techhnical Propoosals. The eentire

proximately ttwo weeks, with one of those weekks solely devvoted

ation/Addenndahas been aadvertised, the DBT’s will submmit Requestss for ct specific eemail addreess as defined in the IFFB. Prior too theuestions annd responsees shall be documentedd and posteed on L has been determinedd, all questioons and ressponses shaall be

o the RCL ussing the project specific email addreess. Notificaations e Administraations answeers to questtions are coonsidered binnding

n Factors aand Adjectivval Ratingsation factorss, sub-factors, and reqquirements aare evaluateed ines. The technical evaluuation factorrs and the ooverall Techhnical

djectival (quualitative/desscriptive) mmethod. A ffew fundammentalroposal shouuld include:

m Experiencce and Projeect Managemment pproach and Past Perforrmance

val ratings aare used in evaluation oof each subb-factor, techhnical l technical raating of the PProposal:

Proposer hhas demonsttrated an appproach thatt is considerred to bjectives/reqquirements in a way that is beneficial too the ates a consistently outsttanding leveel of quality, with very litttle or ld fail to meeet the requuirements oof the solicittation. Theree are

er has demoonstrated ann approach tthat is consiidered to exxceedThis rating iindicates a ggenerally beetter than accceptable quuality, ser would ffail to meeet the requirements of the solicitaation.nor.

: The Proposer haas demonstrrated an approach that is considered to ectives/requuirements. TThis rating inndicates an acceptablee level of quuality.

20


The Propposal democan be reeadily correc

UNACCEsignificanstated ounproducmajor an

”, “Good more cle

unsuccesappreciameans asignificanperforma

technical(i.e., desconsensuthrough coverall raassignedcombinedarrive at

weaknesbecomesdocumen

1-1.5

Teams uto the Evoverall cimportanestablishbidders wmeetingsnotificatiobecome expectedbidder mor protec

nstrates a rcted.

EPTABLEnt weaknessobjectives/reqctive. Thered/or extensi

In assigni+”, and “Acarly differen

The termssful contrably increase

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Certain tl disciplinessign; construs rating, aconsensus,ating for eacd a consensd by consenthe overall r

Documensses shall bes a tool durntation must

EvaluatioTechnical

using an adjevaluation Coconsensus rce on each

hed evaluatiowill be adviss for teams ons have bepart of the c

d to be incluay use ideas

cted informat

reasonable pprobability oof success. Weaknessees are minorr and

: TThe Proposeer has demmonstrated an approacch that indiccatesses/deficienccies and/or uunacceptable quality. Thhe Proposal fails to meeet thequirements and/or lackks essential information and is cconflicting and/or

e is no reassonable likelihood of suuccess; weaaknesses/defficiencies arre so ve that a maajor revision to the Propoosal would bbe necessaryy.

ing ratings, tthe Administration may assign “+” oor “-” (such aas, “Exceptioonal -cceptable +”) to the ratinngs to better differentiatte within a rrating, in ordder to tiate betweeen the technical evaluation factors and the overaall Proposalss.

m “weaknesss,” means aany flaw in the proposaal that increeases the risk of act performaance. A significant weaakness in tthe proposaal is a flaww thates the risk of unsucceessful contraact performaance. The tterm “deficieency” failure of a proposal too meet an RFP requirrement or aa combinatioon of sses in a proposal thhat increasees the riskk of unsucccessful conntractnacceptablee level.

echnical evvaluation facctors includde sub-factoors relating to the diffferent (i.e., structtures; highwways; landsccaping) or ddifferent maanagement aareas

ruction) invoolved in thee evaluationn. Each subb-factor will be assigned aand all sub--factors under a technical evaluatiion factor wwill be combbinedtaking into aaccount the rrelative impoortance of eaach sub-facttor to arrive at anch such facttor. Technicaal evaluationn factors witthout sub-facctors will alsso be sus rating. TThe ratings of all the teechnical evaaluation factors will theen be nsus, taking into accounnt the relativee importancee of the evaaluation factoors to rating for thee Technical PProposal.

ntation is critical when ddefining andd arriving at a rating. AAll strengthss ande noted on thhe evaluation forms thatt support thee rating beingg assigned. This ring the debbriefings for the unsucccessful DBTT’s, thereforee the suppoorting be thoroughh.

on of Technnical Propossals l Evaluation teams will evaluate teechnical propposals submmitted by thee DB ectival (qualitative/descrriptive) methhod as notedd above, andd then preseented ommittee (ECC). Based upon the rattings presennted, the ECC will arrive at an rating for eeach Technical Propossal submitteed based upon the relative factor. A reeduced canddidate list off DB Teams will be deveeloped relatiive to

on factors. TThe short-lissted teams wwill be inviteed to submiit a Price bid. Allsed of the reesults of thee evaluation of their Tecchnical Proposals. Debriiefing

not placed on the redduced candiidate list will be held immmediately after een made. TThe Technicaal Proposal of the succeessful Designn-Build Teamm will contract doccuments andd all the concepts providded to the AAdministration are ded in the pprice bid andd final plans. The Adminnistration annd successfuul lows and approoaches offereed by the unnsuccessful bbidders excluding propriietary tion, if a stippend was offeered and acccepted.

21


1-1.6 Bid Openning There shoould be a suufficient nummber of top raated proposaals to ensuree the compeetitive

bidding pprocess. Thhe price bids will be puublicly openned and thee project will be awardeed in accordannce with thee lowest appproved bidd. Within 110 days of bid openinng, the apparent successfful team shaall submit theeir lump summ breakdown of their bidd to the Admministration to be used to eevaluate bidds. Subsequuent to the bbid opening, the Lead DDesign Projeect Manager shallprovide tthe names of the contrracting entitties to the CCashier’s Office in ordeer to generaate abidders list and assoociated bid taabs.

1-1.7 Award annd Notice too Proceed Notice off Award andd Notice to Proceed too the Desiggn-Build Teaam will be ggiven

through the Office oof Constructtion after exxecution of tthe contractt has been completed. SHArecognizees that the successful DDesign-Buildd Team will need to beggin design aactivities as soon as possible after notification as the apparent low biddeer. These early start acctivities are in aneffort to maximize thhe available time for connstruction acctivities. SHAA also recoggnizes that tthese advance design activities shouldd not place the DBT att risk shouldd SHA not isssue an NTTP forevents beeyond the coontrol of the Design-Build Team.

SHA's approach to mmitigate this rrisk is to reimmburse the DDesign-Buildd Team for aactual documennted design costs up to aa maximum of $50,000 or 1% of thee constructioon bid, whichhever is greater and after aapproval of thhe Bid Bondd. Should an NTP not bee granted forr reasons beeyondthe contrrol of Desiggn-Build Teaam, the Dessign-Build TTeam will bee required tto submit deesign calculatioons, plans, surveys, booring data, update elecctronic files, and other materials too the Administration for its use and concurrence inn the level off effort for thhis work.

1-1.8 StipendssDue to thhe additional cost requirred to prepaare price bidds for Desiggn-Build projjects,

the SHA will agree tto pay the DDesign-Build Firms, invitted by the AAdministratioon to submitt bids which arre not deemed the succcessful low bbidder, a stiipend. The payment of the stipend is inexchangee for the suupporting mmaterial neceessary to develop a bid price inccluding electtronic copies and hard coppy of all doccuments useed to developp the Price Bid submitteed to SHA wwithin30-days of bid openiing. The Leaad Design PProject Manaager shall reeview the supporting maaterialto determmine adequaacy for a stippend paymeent. By accepting the sstipend, the DBT agreess that all informmation providded becomees the propeerty of SHA and may bee used in anny manner aat our discretionn without addditional commpensation.. The winninng Design-BBuild Team is not eligibble toreceive tthe stipend. SHA requiires the commpletion of a Stipend AAgreement and one originalinvoice aalong with twwo copies and all supporrting data.

22


Review InnovativConstrucvoting me

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23


CHAPTTER 2 - COOMPETITIVVE SEALEED PROPOOSALS In Compeetitive Sealeed Proposal (CSP) procuurement, thee Request foor Technicaal and

Price Prooposal (RFPP) is structurred to providde the best overall valuue for the Addministrationn andthe citizeens of Maryyland. The CCSP conceppt includes certain factors in addittion to pricee that provide ttangible bennefits to SHAA and the ppublic. The factors will bbe specified in the TechhnicalProposall and submittted by biddeers in responnse to the RFP.

2-1 The Proccess SHA’s twwo-step CSPP Design-Buuild procuremment processs begins wwith developing a

Request for Qualificaations (RFQ) including cconcept planns and enginneering dataa for Design--Build advertiseement. In response to the RFQ, a Statement oof Qualificatiions (SOQ) is received from potential DBT’s. The SOQs aree rated and result in devveloping a rreduced canndidate list (RCL) based onn responsiveeness, then aa request for technical pproposals annd price propposals are isssuedto the RCCL teams only. The ressponse to thhe RFQ andd RFP will bbe evaluatedd on a qualittativeand passs/fail processs, using an adjectival raating processs. Bid pricees will be oppened separrately from techhnical propoosals, with aadjectival rattings to deteermine the bbest value foor the citizens ofMarylandd. The two-sstep processs is describeed in detail here-in and in SHA's RRFQ and RFFP foreach prooject. The pprocurement process is led by the PProcurementt Managemeent Team (PPMT),consisting of the Division Chief aand Assistannt Chief of thhe Lead Dessign Divisionn or District OOffice and coordinated thrrough ICD with oversight from thhe Office off Procurement & Conttracts Managemment (OPCMM).

SHA seekks responses to the RFQQ from teamms of designeers and buildders (DB Teeams)who aree qualified and preparred in all rrespects to undertake the compllete design andconstructtion of a prooject. Thosee DB Teamss that responnd to the RFFQ that meeet, in all resppects,the conditions for this request wwill be evaluaated by the ttechnical evaaluation teamms. The purrposeof the evvaluation wiill be to dettermine passt performannce, experieence, and caapabilities oof DBTeams too undertake the project, plus their ovverall understanding of tthe project. These teamms will present their evaluaation to the Evaluation Committeee. The facttors, which will be useed toevaluate the SOQ, are describedd in the RFQQ and are listted in desceending order of importance.

It is intennded as paart of the RRFQ, a draftt RFP of thhe subsequent procureement process, will be issueed so that innterested parrties can bettter understaand the overrall approachh and respond more effecttively. Oncee the SOQ eevaluations are completted, a reducced candidatte list(RCL) off best qualified DB Teamms considered reasonabbly susceptibble of awardd is developed. If there is ssufficient intterest by qualified DB TTeams and tthe Adminisstration is saatisfied that therewill be aan acceptabble level of response, then a RFP shall be provided too only the RCL. Debriefinng meetings for teams not placed onn the RCL wwill be held immmediately aafter notificaations have beeen made.

Those DBB Teams whho have madde the RCL are notifiedd in writing aand suppliedd with the RFPP Package. This packaage includess all materrials necesssary for DB Teams to fully understaand the projeect scope, leegal, techniccal, and pricee requiremeents for the pproject. The SHAmay alsoo elect to connduct discusssions via Teechnical Preesentations wwith the RCLL prior to thee finalevaluatioon of the techhnical propoosal.

The Techhnical and PPrice proposal responsees to the RFFP are submmitted in separatesealed ppackages. TThe proposaals are not to be publicly opened,, but will bee opened inn the presencee of at least two of the AAdministratioon’s employeees (at leastt one repressenting the OOffice of Procurrement and Contracts) wwho will commpile a registter of receiveed proposalss.

f

24


The technnical propossal is evaluated by the technical evaaluation teamms and the priceproposal is evaluateed by the prrice team. These teamms are independent of each other.. Thetechnicall factors evaluated aree listed in thhe RFP in descending order of immportance. The evaluatioon of the pricce proposal wwill include aa lump sum breakdown based on thheir lump summ bidand mayy also includee some add//deduct itemms. The technical propossal will be baased on a vaariety of criteriaa described in the RFP. Depending upon the prroject goals, price propoosals may orr may not be wweighted highher than thee technical pproposal. Thhe relevant weight (highher or lowerr thantechnicall proposal) sshall be stippulated in thhe RFP. Thhe technical and price reviews are keptseparatee and confideential until thhey are preseented to the Evaluation Committee.

Upon coompletion off the evaluattion of the teechnical propposal, the technicalevaluatioon team submmits their coomments andd adjectival rrating to the SHA Evaluaation Commmittee which maay be comprrised of a Dirrector, Depuuty Director, Division Chiefs and Asssistant District Engineerrs. Ratings oof individual evaluation ffactors and the overall qquality ratingg of a Propossal will be arrrived at throough consennsus of the mmembers of tthe Evaluatioon Committeee. The SHAAmay or mmay not electt to conduct discussionss with each DDB Team; hoowever, if discussions aare held withh one DB Teaam, they muust be held wwith all the teeams. The ppurpose of thhese discusssions is so thatt the SHA fully understands what is being offereed by the DBB Team and secondly, soo the SHA will have an oppportunity to iidentify any critical weakkness (inconnsistency witth SHA’s expectation) in a DB Teams propposal. SHA aalso has thee right to awaard the contrract without entering into discusssions.

Upon commpletion of the techniccal discussioons, the DBB Teams mmay be askeed to submit bbest and finaal offers (BAAFO). The BBAFO’s will bbe evaluated and includded into thee final selectionn that will ddetermine wwhich DB TTeam wouldd be recommmended for award. OOncediscussioons and BAFFO have beeen completeed, the Evaluuation Commmittee will deetermine thrroughconsensuus which Deesign-Build TTeam’s commbined technnical and price proposal will be the mostadvantaggeous to thhe State. A final recommendaation will bbe made too the Seleection Committeee/Selectionn Officer coomprised off SHA’s Seenior Managgement Teaam/Administrator.Debriefinng meetings for the unssuccessful pproposers wwill be held aafter notificaations have beenmade.

The followwing considerations have been fouund to be kkey elementss in successfullycompletinng the CSP DB procuremment processs.

2-1.1 Project Innformationaal MeetingSee 1-1.11 for the requuirements neecessary forr the Project Informational Meeting.

2-1.2 ScheduleeA Design--Build post aadvertisement schedule is very diffeerent from a Design-Bid--Build

(DBB) scchedule, Seee Table II--2. Consideer your teamm memberss, in the alllocation of time.Separatee time needss to be alloccated for the review of thhe SOQ’s annd Technicaal Proposals. The time alloocated for thhe review off the SOQ’ss are typicaally about thhree to five days. The timeallocatedd for the revview of the Technical PProposals caan be anywwhere from oone week too two weeks, ddepending onn the type off project.

2-1.3 Request for Informaation/Addennda Once thee project hhas been aadvertised, the DBT’s will submmit Requestss for

Information (RFI) ussing a projeect specific email addrress as deffined in thee RFQ/RFP. Allquestionss and responses shall bbe documentted and possted on SHAA’s web pagee during the RFQ phase off the procurement. During the RRFP phase of the proccurement, all questionss and

25


responsees shall be documentedd and sent ddirectly to thhe RCL usinng the projeect specific eemail address. Notifications are sentt by the eithher the PMTT only. Thee Administrations answeers to questionss are considdered bindingg and part of the contracct.

2-1.4 Evaluatioon Factors –– RFQThe evaluation factoors, sub-facttors, and reequirementss during thee RFQ phasse of

procuremment are evaaluated in acccordance wwith these guuidelines. Thhe evaluationn factors and theoverall SOQ are rateed by an adjeectival (qualitative/descrriptive) methhod using thee same adjectivalratings as define in 11-1.4. A feww fundamentaal requiremeents of the RRFQ shall incclude:

• Team Experiencee/Qualificatioons and Pastt Performance • Team Organizatioon

Once the SOQ evaluuations are ccompleted, aa reduced ccandidate lisst (RCL) of tthoseDB Teamms consideered reasonnably susceeptible of awward is deeveloped. Thhe RCL wiill be determined in approoximately twwo weeks frrom submitttal of the SSOQ’s. If thhere is sufficient interest bby qualified DB Teams and SHA iss satisfied that there wwill be an acceptable levvel ofresponsee, then a Reequest for TTechnical annd Price Prooposal (RFPP) shall be mmade to only the RCL.

2-1.5 Alternativve Technicaal Conceptss (ATCs) SHA may choose tto allow the Design-BBuild Teamss to incorporate innovvative

Alternativve Technicaal Concepts (ATCs) into their propoosals that difffer from thee Base Techhnical Concept (BTC) provvided in thee RFP. SHHA will enteertain and rreview propposed alternnative technicall concepts ffor pre-apprroval to incluude in the Design-Buildd Team's proposal if: itt has been submitted to SSHA by thee deadline iin the Procuurement Scchedule, andd has been pre-approvedd by the Admministration. All ATCs wwill remain cconfidential uuntil Design--Build Contraact is awarded to the succeessful Desiggn-Build Teaam.

2-1.6 Confidenntial Meetinggs for ATCssThe SHA may elect tto allow eacch Design-Buuild Team too attend a private meeting to

present pproposed altternative conncepts if it iss determinedd by SHA thhat a meetingg is necessaary to further cclarify their AATC. Each meeting byy SHA will bbe with the representaative of onlyy oneDesign-BBuild Team aat a time. Discussions bbetween the Administrattion and thee specific Deesign-Build Teaam will be limmited to the proposed AATC.

2-1.7 Administtration Reviiew of ATCSHA will review eachh ATC and rrespond withhin (14) caleendar days aafter receivinng all

related innformation aand clarificatiion with onee of the followwing determinations:

• Is Appproved as suubmitted. • Is Appproved, subject to the coonditions listted under thee Conditionss section bellow. • Is Disapproved ass submitted.• Does not qualify as an ATCC, but may bbe included in the Propposal withouut an

ATC.• Does not qualify aas an ATC aand may not be included in the propoosal.• Decision pending request for additional innformation aand/or one onn one meeting.

Pre-approoved ATCs wwill be considered in thee Proposal evvaluation proocess.

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26


23 CFR proposal and price.waive this requireme

2-1.8 TechnicaThe tech

accordannce with theProposall are ratedrequiremments of the T

• Projec• Projec• Enviro• Legal

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LE

nt, but not rreplace the base atic approvaal from FHWWA to

quirements aare evaluateed inrs and the ooverall Techhnical

method. A ffew fundammental

of each subb-factor, techhnical with the onlyy difference iis the

pproach thatt is considerred to that is beneficial too the

el of quality, with very litttle or of the solicittation. Theree are

that is consiidered to exxceedetter than accceptable quuality, rements of the solicitaation.

proach that is considered to acceptablee level of quuality.

Weaknessees are minorr and

: The Prooposer has ddemonstrateed anements, as there are weeaknesses and/or through disscussions. TThe responsse is d/or amountt of information provideed for ding an acceeptable or beetter Proposaal.

monstrated an approacch that indiccatese quality. Thhe Proposal fails to meeet thel information and is cconflicting and/or

uccess; weaaknesses/defficiencies arre so osal would bbe necessaryy.

assign “+” oor “-” (such aas, “Exceptioonal -r differentiatte within a rrating, in ordder to on factors and the overaall Proposalss.

the proposaal that increeases the risk of akness in tthe proposaal is a flaww that

27


appreciably increasees the risk of unsuccemeans aa material ffailure of a proposal tosignificannt weaknessses in a proposal thperformaance to an unnacceptablee level.

Certain technical evvaluation factechnicall disciplines (i.e., structtures; highw(i.e., dessign; constrruction) invoolved in theconsensuus rating, aand all sub--factors undthrough cconsensus, taking into aaccount the roverall raating for eacch such facttor. Technicaassignedd a consenssus rating. TThe ratings combinedd by consennsus, taking into accounarrive at the overall rrating for thee Technical P

2-1.9 Evaluatioon of Propoosals (TechnTechnicall evaluation teams will b

factor. AA separate pprice evaluation team wprice reaalism. Techhnical Evaluaation teams DB Teamms using an adjectival (qqualitative/detheir findings to the EEvaluation CCommittee (Earrive at an overall cconsensus raating for eacwill the reesults of thee Price Teamm be revealetechnicall factors annd price ass stipulated recommeendation forr a successful proposeSelectionn Committeee/Official. Thhe Technicabecome part of the ccontract doccuments andexpectedd to be incluuded in the price bid abidder may use ideass and approoaches offereor proteccted informattion, if a stippend was offe

Subsequeent to the reeceipt of theshall provvide the nammes of the ccontracting ebidders list and assoociated bid taabs.

2-1.10 Award annd Notice too Proceed Unless all Proposals are rejected

be awarded to the responsiblee Proposer advantaggeous to thee State; taking into consabove.

In order too initiate thee Affirmative the essence, the leadd office needds to hand dSchedulee of Prices aand Affirmativthe bidding teams. OOOC’s MBE ensure pprospective bbidders havecontract.

At the timme the OOC original PProposal Pacckages and Awards TTeam.

essful contrao meet an hat increase

ctors includways; landsce evaluationer a technirelative impoal evaluationof all the te

nt the relativeProposal.

nical & Pricbe utilized towill be utilize

will evaluatescriptive) mEC). Basedch Technica

ed to the ECin the RFP

r. This recal Proposal od all the conand final plaed by the unered and ac

e Price Propentities to the

d or the procoffering an

sideration th

Action Plan deliver

ve Action PlLiaison will

e met their o

meets to revProposal Gu

act performaance. The tterm “deficieency” RFP requirrement or aa combinatioon of es the riskk of unsucccessful conntract

de sub-factoors relating to the diffferent caping) or ddifferent maanagement aareasn. Each subb-factor will be assigned acal evaluatiion factor wwill be combbinedortance of eaach sub-facttor to arrive at ann factors witthout sub-facctors will alsso be echnical evaaluation factors will theen be e importancee of the evaaluation factoors to

ce/Legal & FFinancial) annd Selection o evaluate eaach technicaal factor and sub-d to evaluatte price reassonablenesss andte technical proposals ssubmitted by the

method as nooted above, and then preesent d upon the raatings preseented, the ECC willal Proposal ssubmitted. OOnly at this time, . Based upon relative importance oof the P, the EC will come to a conseensus commendatioon will be ppresented too the of the succeessful Designn-Build Teamm willcepts providded to the AAdministration are ans. The Addministrationn and succeessful nsuccessful bbidders excluding propriietary ccepted.

posal, the Leead Design Project Mannagere Cashier’s Office in ordder to generrate a

curement is canceled, thhe Contract shall acceptablee Proposal tthat is the most

he technical and price faactors discuussed

approval keeeping in minnd that time is of to OOC’s DBE/MMBE Liaison copies of thhe

an (found inn the Propossal Form Packages) for all generally haave a week tto review thiis informatioon to bligation reggarding DBEE goals set foorth in the

view the remmainder of the informatioon above, theeuarantees wwill be deliverred to OOC – Contracts

28


When an apparent suuccessful biddder is identified, OHD wapparentt successful bidder and tthe unsucceessful bidderrs notifying thevaluatioons. The lettter to the apparent succcessful biddeer will be cooContractss Award Teaam Leader too ensure all required forrms are requ

Once the project has been awardded, OHD wiill hand deliAward Teeam the folloowing informmation:

• Six (66) copies of tthe RFP withh a blank Prow/all Addeenda includeed)• One (1) copy of thhe Technical Proposal (S• Originnal Price Prooposal and PProposal Gua• One (1) copy of SSchedule of PPrices (all B

Notice too Proceed thhrough the OOC-ContrTeam willl be given aafter executioon of the conntract has be

2-1.11 StipendssSee 1-1.88 for the requuirements foor Stipends.

will send lettehem of the rordinated wituested.

ver

oposal Form

Successful Barantee idders)

racts Awardeen complet

ers to the results of theeth the OOC –

to OOC-Contracts

m Package (aas advertised

Bidder only)

d Team to tthe Design--Build ted.

29


1 Acces2 Best a

InformaadvertisConstrAdvertiLast daInformaSOQ Suof RFQBegin rdate widays foEvaluatRCL (1 completEC recodays aftNotify RHold de(within oDistributhe RCLAlternadurationTechnicdurationsealed completTechnicSelectioNotice

TA

s duration baseand Final Offe

ational Meetisement of RFuction persoise RFQ alonay for questioational meetinubmitted (Ap)review of SOith all reviewr review) tion Commit– 2 days afteted) ommends RCter EC meetinRCL (1 day aebriefing meone week of nute Final RFPL) ative Technicn based on prcal and Pricen based on pruntil technicate) cal Proposalon (Based onto Proceed

ABLE II-2

ed on project sers (BAFO) (as

MILESTON

ing (At least Q) coordinat

onnel and ICDng with Draftons on RFQ

ng)pprox. 1 mont

OQ (Day afterw members.1

ttee (EC) coner SOQ evalu

CL to Selectng)

after meeting weetings for tenotifications oP to RCL (wit

cal Proposalsroject size) e Proposal Sroject size1. P

al proposal ev

l Evaluation1

n best-value)2

MILESTON

size. ssess based up

E

1 month priorte date with Dt RFP (Approx. 6 w

th after advert

r submittal) co(allow approx

nvenes to detations have b

ion Official (

with Selectioneams not on tof the RCL) thin 7 days of

s (if desired –

Submitted (Arice proposal

valuations are

1

2

NE – (CSP)

pon size of proj

r to District

weeks after

tisement

oordinate ximately 3

terminebeen

1 – 2

n Official) the RCL

f notifying

– assess

ssess remains

ect)

SCHEDULEDATE

ED

30


PPEE

PPPRREE

NNGG

PPAAREELLIIMGGIINN

RRTTMMIINN

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TT IIIIIINNAAEERRII

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31

31


PA

projects package and an Inthe Desig

informatitheir bid the devecomplete

advertiseproposedpermits,

CHAPT1-1

Preliminafurther tolimits of may be n

1-1.1

existing searly in detailed conceptubounds) wetlandsplates.

1-1.2

to be sho

largely oretaining determinDBT as p

1-1.3

necessar

ART III - Prelimina

differ considprepared by

nvitation for gn-Build Tea

The DBTon on the bfor both con

elopment of ed by SHA p

The mostement are thd right-of-waand the proj

TER 1 – DEDesign DThe desi

ary Investigao ensure thedisturbance

necessary to

TopograpTopograp

site conditiopreliminary field survey

ual design asurveys sho

s exist or ma

Utility DeUtility des

own on the c

Obtainingn the anticipwall or brid

ed that imppart of the A

PavemenThe Offic

ry for the d

PRELIMry engineer

derably fromy SHA consBids (IFB) w

am (DBT).

T’s who entebidding procnstruction anthe final en

prior to adver

t critical elemhe establishay and easject’s budge

ESIGN DEDevelopmenign activitieation (PI), 3e project ca(LOD), and

o adequately

phic and Prphic survey ns (rural, urengineering

ys or aerialand to deteould be per

ay be impact

esignating asignating shoconceptual p

g test pits dpated impacdge construacts are un

Additional Info

nt Design ance of Materdevelopment

MINARYring and the traditional Dists of Concwith detailed

er into the bcess) will utind final engngineering drtisement on

ments of the hment of desements, ant.

EVELOPMnt s for DB p

30% complean be compd for environy identify util

roperty Survneeds for tban, etc.) ang phase. C photogram

ermine the prformed wheted, field sur

and Test Pitould be requ

plans or on a

uring the cocts to existinction. Utilityavoidable. Uormation pro

nd Geotechrials and Tet of the eng

ENGINEe preparationDesign-Bid-Bceptual Plansd final engine

bidding proclize the Conineering serdetails, plann DBB projec

preliminary esign and conticipated li

ENT, PLA

projects arete stage. In

pleted withinnmental permities requirin

veysthe conceptund the propo

Considerationmmetry in pr

project’s rigere right-of-wrveys are re

ts uested with a separate u

onceptual png undergrouy test pits shUtility test povided on Pr

hnical Enginechnology (Ogineer’s esti

EERINGn of plans fBuild (DBB) s containingeering and c

cess (see Pnceptual Plarvices. The Dns, and permcts.

engineeringonstruction mits of dis

AN & ESTI

e completedn some case the establi

mits. Also, sng relocation

ual design oosed improvn should beroviding ade

ght-of-way nway or ease

equired for p

the project’stility mosaic

plan developund utilities hould be tait informatiorojectWise.

neeringOMT) will pmate. Unles

for SHA’s DDesign-Build (DB)projects. Thhe advertiseement

g basic geommetric informmation construction requirements for

art II, Chappters 1 and 2 for ans and the IFB to estaablishDBT’s will be responsible formits that woould normally be

g activities pperformed prrior toparameters / specificattions,

sturbance foor environmmental

MATE PRREPARATIION

d through tthe typical DBB es the desiggn effort exttendsshed right-oof-way limitss and

some additioonal design ddetailn prior to connstruction.

of the projeect based onn the ements neeed to be idenntified e given as to the need for equate dataa to performm the

needs. Property (metess and ements are required. WWherereparation oof wetland immpact

s topographic surveys aand is.

pment proceess is depenndent created by new storm ddrain, ken only whhere it has been

on should bee provided to the

provide a paavement seectionss otherwisee determineed by

32


OMT andd the Lead Design Divvision, the pavement deetails will noultimatelyy the pavemment section will be a reqquirement of

Soil borings are obtaiined by SHAA and the boon the PProjectWise. The DBT is permitteed to use thinformation for their design. Itt is the DBBT’s sole reinformation is obtaineed to accuraately charactterize the sit

1-1.4 Roadwayy DesignTypical SSections, horrizontal baseelines, and v

all mainline and inntersecting roadways tto establishimprovemments, to seet the projecct’s limits of work, and tintersection and entrrance geomeetrics shouldd be developroposedd right-of-waay, easemennts, impacts tto environm

The DBTT has the ooption to usse the concalignmennts, which are subject to review byy the Lead Devent thaat the DBT elects to alter the concceptual alignwithin thee right-of-waay and easemments estabblished by SHmodificattions that reesult from an alignmentt change by(coordinaation, costs, maintenancce of the connstruction sc

Preliminary cross ssections to establish gmaintenaance of traffffic conceptss will be deeveloped. Thdetermining right-of-wway needs aand earthwoork quantities

1-1.5 Structuraal DesignStructurall Designs is to be developed to a P

for all structures. Thhe DBT will be responssible for comright-of-wway providedd, and for obbtaining all approvals fro

Any strucctures crosssing water wwill require Analysis Report be pprepared annd approved by MDE. Aand Hyddraulic Analyysis Report and resulting additionacosts willl be the solee responsibility of the DBBT.

Additional requiremennts and DBTT responsibiTerms annd Conditionns Section 3 of the IFB.

1-1.6 Storm Drrain DesignStorm draain design iis to be devveloped to

manholes and pipees / culvertts. The preeliminary layanticipateed utility imppacts, propoosed drainagge patterns, investigaations pertaining to the condition aand capacityneeds, and environmmental permits.

Detailed ppipe profiles will not be ddeveloped, anecessarry. These deetails, compuutations and plans will b

Culverts wwithin jurisddictional watters of the Uculvert analysis repoort that will thhen be submmitted to MDreport wiill demonstraate that the existing 100-year headwill requeest waivers for the 150--foot maximum length c

otthe DBT.

oring logs anhis informatesponsibilityte’s soil cond

vertical profih the desirto define rigped to the eental resour

ceptual alignDesign Divisnment, all reHA. Also, an

y the DBT wchedule) of th

grading limhe cross ses for the eng

Pre-Type, Simpleting the m SHA.

that a HydAny deviatioal design, c

lities for stru

establish a yout will prtie-ins to ex

y of existing

and pipe ande required o

United StateDE for waterwdwater elevacriteria, whe

be includeed in the IFFB as

nd soil test reesults are pllaced tion or obtaain supplemmental y to ensuree adequate soils ditions/grounndwater.

iles should bbe developeed forred line and grade off theght-of-way immpacts. Mainnline,extent necesssary to estaablish rces, and utility relocatioons.

nments or tto set their ownsion or Distrrict Office. In the elated consttruction musst fallny utility reloocations or ppermit will be the sole responssibilityhe DBT.

its, drainagge patterns and ections will also be useed in gineer’s estimmate.

ize & Location (TS&L) sstage structure design, within the

draulic Study and Hydrraulic ons from thee Hydraulic SStudy coordination, or construuction

uctural desiggn are detailled in

preliminary layout of innlets,rovide a means to asssessxisting facilities (with posssibleg facilities), and right-off-way

d inlet / mannhole sizing iis notof the DBT.

es will require a prelimminary way construcction review. The ation can bee maintainedd and re applicablee. A Modificcation

f

33


Approvall for Waterwway Construction (WWWC) permit will be issuued by MDEE based onn the Administration’s preliminary culvvert analysis report.

The DBTT will be ressponsible foor the final design of cculverts withhin waters oof the United States and foor obtaining ffinal approval from SHAA and MDE. MDE will isssue a final WWWC permit baased on the DBT’s approoved final cuulvert designn.

1-1.7 Stormwaater Manageement DesiggnConcept Phase (Pree-PI) stormwwater managgement will be developed to estaablish

right-of-wway needs aand to demoonstrate to MMDE that all of the storrmwater management nneeds can be met within the establisshed right-oof-way. MDEE will approove the metthodology inn the concept stormwater management report and will issue a Letter of Intent to isssue permits uponcompletioon of the stoormwater maanagement ddesign.

The DBTT will be ressponsible foor completing the stormmwater manaagement deesign, within the right-of-wway providedd, and for oobtaining all permits and approvalss from MDEE and SHA. Any deviationss from the concept stormmwater mannagement reeport and resulting addittionaldesign, ccoordination,, or construcction costs wwill be the soole responsibbility of the DDBT.

Additional requirements and DBBT responsibbilities for stormwater mmanagemennt are detailed in Terms and Conditionss Section 3 oof the IFB.

1-1.8 Erosion aand Sedimeent Control DesignThe Administration is not responssible for devveloping an eerosion and sediment coontrol

concept. The conceppt is submitted to MDE wwith the preliminary SWWM report forr approval and to initiate thhe Notice of Intent (NOI) process.

The Administration iss not responnsible for deeveloping phhased erosioon and sediiment control ddesign. Howeever, easemment/fee areas along thee project to provide adeequate spacce for the DBT to design aand construcct erosion and sediment control meeasures shall be considered. Normallyy a distance of 25’ from tthe top of cuut/toe of fill iss used to esstablish the nneeded spacce for erosion and sedimment control. The Admministration should evaaluate the space provvided particularly, in urban areas wherre right-of-way costs aree relatively hhigh. The DBBT is responnsiblefor all eroosion and seediment conttrol design aand for obtaining all apprrovals and ppermits from SHA and MDEE.

1-1.9 Maintenaance of Trafffic Design aand Constrruction PhassingMaintenance of Trafffic (MOT) plans will not be developped by SHA for DB projjects.

Howeverr, a Transpoortation Mannagement PPlan (TMP) shall be preepared up tto the “Red FlagSummaryy” only (refeerence the TTMP Guidelines, Sectioon 2.1, pagee 7). As a reesult, conceeptualmaintenaance of traffffic / construuction phasing plans should be prepared for review withh the District aand other apppropriate divvisions. Thee developmeent and revieew of these plans serve as a basis for defining pproject consstraints (woork restrictioons, lane reestrictions, specific phaasingrequiremments, right-oof-way needss, etc.) that will be refleected in the IIFB. Mainteenance of TTraffic signing, channelization device layout, or mminor sub-phases, will not be detaailed, but shhould clearly ddepict the mmajor consttruction stagges, lane aassignments, work zonees, and specific “trouble aareas” alongg the project.

Some proojects may innclude consttruction of teemporary deetour roads tthat require right-of-way oor easemennts for theirr implementtation. Thesse temporarry detour rroads should be included on the Connceptual Plaans for the DBT’s inforrmation. Thhe Lead Deesign Divisioon or

34


District OOffice shouldd coordinatee with the loocal government to dettermine if deetours onto localroads willl be acceptaable or not. Any restrictiions shall bee incorporateed into the IFFB.

The DBT will be respponsible for ddeveloping ffinal Traffic Control Planns and detaiils for SHA’s reeview, commment and aapproval. SSHA must sseek to provvide the greeatest degreee of flexibility in site access, work houur restrictionns and MOT.

1-1.10 Traffic DeesignTraffic siggning, pavemment markinngs, signalizzation, and lighting will nnot be desiggned.

The Termms and Condditions Sectiion 3 of the IFB will detaail the engineering standdards and deesigncriteria, tthe required materials, aand the funcctional operaation requireements of thee traffic itemms. Iflocal roaddway improvvements aree included inn the project, the Office oof Traffic and Safety (OOOTS)is responnsible for cooordinating wwith the local jurisdictionss to ensure ttheir standards/requiremmentsare includded in the IFFB.

When devveloping thee right-of-wayy needs for the project, adequate sppace to consstructthe required traffic coontrol devicees must be pprovided.

Intersectioon/Interchannge geometrrics need to be coordinaated with OOTS and District Traffic sttaff to ensuure the propper geometrrics are defined as parrt of the concept planss and specificaations. Conssiderations tto be includded are thee type/s of channelizaation, operattionalcharacteristics, lengtth and numbber of turn laanes and anny other treatment that wwill ensure aa safeand operrationally accceptable intersection oor interchangge. As part of this coorrdination, a letter shall be ssent, with all applicable plans, to thee Director off OOTS requuesting the DDirector to reeview and sign--off on thesee geometricss prior to advvertisement of the contraact.

1-1.11 Environmmental DesignAll wetlannds, waters of the United States, forested arreas, significant / chammpion

trees, and other natuural, historic or archeological resourrces that may be impacteed by the Prroject will be ddelineated and surveyyed. The Addministrationn will coorddinate with the approppriateagenciess with regard to the anticipated impacts, mitiggation and sspecial proteection meassures. This coordination is iimportant in the developpment of speecifications aand requiremments that wwill beplaced on the DBT.

The wetlaand impact pplates will bee prepared bbased on thee preliminarry design and willinclude tthe impact plates in tthe applicattion for the Joint 404 Permit andd Water Quality Certificattion. The deesign of weetland mitigaation is handled on a pproject-by-project basis. Forexample, if a site is identified ass a good candidate for wwetland mitiigation, and the site is wwithinthe projeect area, SHAA may speciify that the DDBT design tthe requiredd mitigation aat that site foor the Project. Mitigation thhat is to bee completedd off-site or outside of the project area is typpically designedd and constructed underr a separate contract by SHA.

The Officce of Enviroonmental Deesign (OED)) will requiree an estimaate of anticippated forest impacts and wwill coordinatte the reforeestation requuirements with the Maryyland Departtment of Naturaal Resourcess (DNR). Thhe design off reforestatioon, like wetlaand mitigatioon, is handleed on a projectt-by-project bbasis. On-siite reforestation areas aare typically shown on LLandscape pplates that are included in the IFB (ssee Part III, Chapter 1--1.12). Mateerials and pplanting densities required in these areeas will be specified, but design of tthe reforestaation plantingg plan will not bedone.

Refer to Part III, Chaapter 3 for aa list of the typical permmits and thee parties (SHHA orDBT) ressponsible forr obtaining thhe permit.

35


1-1.12

Architectdepictingwill spec

stamped included sheets to

1-1.13

projects.cross sec

1-1.14

required obtained IFB and and Bicyresponsi

1-2

projects t30% leveand to ge

informatito finalizecomplete

projects wadvertisespecific t

Title SheIndex of ConventiTypical SGeometrSuperele

LandscapLandscap

ture Divisiong zones for pify the plant

Details, sconcrete min the IFB.

o clearly dep

Plats The deve

The Adminctions. SHA

Design EAny Desi

for the proby the Adm

provided in cle Design Wbility of the D

Plan PrepThe prepa

through the el to depict tenerate the n

No hard on, microstae designs are outline of th

Table III-with an indic

ement on Dto DB projec

Plan Shee

eetSheets, Abbional Signs SSection Sheery Sheets evation Data

ping / Aesthping plans wn will deveplant materiacomposition

specificationedians / sidIt is also re

pict the inten

elopment of istration willPlats and S

Exceptionsign exceptio

oject that arministration, the project f

Waivers necDBT.

paration aration of plPreliminary

the desired inecessary in

copies of cation files anre to be incluhe informatio

-1 lists thecation of thoB projects.

cts follows.

TABLE

et Descriptio

breviations aSheets ets

Sheets

hetics Desigwill not be dlop concep

al types / mixn and densit

s, and propewalks, dececommendeded location

Plats for D develop rig

Surveys will g

ons, ADA Dre identified prior to the folder on Pro

cessitated by

ans and cosInvestigatio

improvemennformation u

conceptual nd all other euded on Proon to be incl

plan sheetsose sheets th

A brief des

E III-1 PLA

on

and

gn eveloped fotual plans xes. The Teies that are t

posed locaticorative railind that notat

n of aesthetic

DB projectsght-of-way ngenerate the

Design Waivin the devproject’s ad

ojectWise. Dy the finaliza

st estimates on (PI) stagents, to estabused in estab

plans are electronic mojectWise. Seluded.

s that are tyhat are incluscription of p

AN SHEET D

Includ

Yes

Yes

YesYesNo

or design-buthat will be

erms and Coto be provid

ons for aesngs / light potions be placc features.

follows theeeds based

e proposed r

vers and Bivelopment odvertisemenDesign exceation of the d

for DB projee. Conceptualish the rightblishing the p

provided. Aedia and daee Terms an

ypically incluuded in the Cplan sheet

DESCRIPTIO

ded

s -

s -

s Finas Fina

By D

uild projects.e provided onditions Seced in these z

sthetic featuoles / signalced on the

same proc on the 30%

right-of-way

cycle Compof the concet, and will bptions, ADA

design by the

ects is similaal plans are t-of-way neeproject’s bud

All conceptuata required nd Condition

uded in theConceptual content / in

ON

Rem

al by DBT al by DBT DBT

The Landson ProjectW

ction 3 of thezones.

res (i.e. bricpoles) shouConceptual

cess as for % line, gradePlats.

patibility Waept plans wbe outlined iA Design Wae DBT will b

ar to that of developed t

eds of the prdget.

al plans, sufor the DB T

ns Section 2

e traditional Plan packagformation th

marks

scapeWise,e IFB

ck oruld be

Plan

DBB e and

aivers will be

n the aiversbe the

DBB to the roject

urvey Team for a

DBB ge for hat is

36


RoadwayIntersectRoadwayStorm DrStorm WErosion aStructureTraffic SiSigning &Lighting MaintenaLandscaWetland ReforestaUtility ReGrading

Plan Shee

*Note – T

1-2.1

projects. horizonta

will be ob

1-2.2

provided

1-2.3

lanes anlane, sho“Normal stationed

y Plan Sheeion Details /y Profile Sherain Profiles

Water Manageand Sedimee Plans (Pre-ignal Plans & PavementPlans ance of Traffpe Plans Mitigation Pation Plans

elocation PlaTable & Ear

et Descriptio

This list may

Title SheThe stan

The limits oal and vertica

SHA signbtained at th

The follow

• A notrevisio

• DESIG

Index of An Index

.

Typical STypical S

d their desioulder, sideor Rate of S

d on the Typ

ts / Grading Plaeets / Schedules

ement Plansnt Control P-TS&L)

Marking Pla

fic Plans

Plans

ans (if necesrthwork Sum

on

y be varied to

etdard SHA of work, surval datum are

nature blockshe time of SH

wing notation

te stating Fon block andGN-BUILD p

Sheets, Abx of Sheets

Section SheSection Sheegnations (i.e

ewalk / pathS/E”. Detaileical Section

ans

sslans

ans

ssary) mmary

Includ

o include or

Title Sheet vey book nue to be provi

s will not beHA’s accepta

ns should be

FOR INFORdprior to proje

breviations, Abbreviati

eetsets are to be. through lahway and med roadway Sheets.

YesNoYesNoNoNoYesNoNoNoNoNoNoNo

If NecesNo

ded

exclude pla

for Designumbers, platded.

e signed forance of the D

e added to th

RMATION O

ect descriptio

s and Conveons list and

be provided ane, turn lanmedian widtand turn lan

s FinaBy D

s FinaBy DBy DBy D

s FinaBy DBy DBy DBy DBy DBy DBy D

ssary UtilitNot

Rem

ns based on

n-Build is tot numbers, d

r the projectDBT’s final p

he Title She

ONLY – NO

on (center, to

entional Sigd Conventio

for all roadne) should bths. Cross Sne tapers sh

al by DBT DBTal by DBT DBTDBTDBTal by DBT DBTDBTDBTDBTDBTDBT if requirDBTty decision needed

marks

n specific pro

o be used design desig

’s advertisemplans.

et:

T FINAL sh

op of sheet).

gns onal Signs

dways. The be shown, aSlopes shouhould not be

red

oject needs.

for Design-gnation data

ment. Signa

hown above

.

legend is t

basic numbalong with tyuld be notee dimensione

-Build , and

atures

e the

to be

ber of ypical ed ased or

37


Slope treaatments (toppsoil, seed, mulch, soil stabilization matting, etcc.) should not be shown oon the Typiccal Section Sheets. Infformation peertaining to the treatment of slopes is specifiedd in the IFB.

The DBT will be requuired to provvide final typpical sectionss based on their final deesign of the prooposed imprrovements.

1-2.4 Geometryy SheetsGeometryy Sheets aree to be provided with baaseline contrrol and curvee data showwn for

all roadwways. Traversse control daata should aalso be showwn.

Intersectioon Details SSheets, Pavvement Edgee Elevation Sheets, andd SuperelevvationData Sheeets are not part of thee advertisedd conceptual plans. Thee design of these itemss and developmment of theirr respective pplan sheets will be required of the DDBT.

1-2.5 Roadwayy Plan SheeetsRoadwayy Plan Sheetts are to be provided depicting the conceptual roadway laayout,

drainagee design pavvement widths, and eddge treatments (i.e. currb and gutteer, open seection shoulderr). The anticcipated areass of full deppth and resuurfaced paveement should be shadeed onthe plan sheets. Basic pavement dimensioons should bbe provided at the mattch lines of eachsheet and at significaant changess in roadwayy, shoulder, or median wwidth. Dimennsions should not be providded for curbb return, enttrance or inttersection raadii, or for mmedian curb, outside cuurb or island geeometry.

Potential Stormwaterr Managemment Facility locations ffor both BMMP’s and EESD’sshould bbe shown. TThe locationss should bee cross hatched and labbeled and shown as “broad” areas thaat cover thee full extent of the potenntial SWM aarea, includinng maintenaance accesss. Forexample, if right-of-wway has been purchasedd for a SWMM facility, the full limits off that right-off-way should be cross hatcched. All rigghts-of-way, easements,, wetland / bbuffer bounddaries, signifficant trees or oother existing features oof special impportance shoould be showwn on the pllan sheets.

Special pprotection iteems, such aas the presservation of significant ttrees, shoulld beclearly noted on thee plans. Thee IFB shouldd also clearly detail theese items annd the meassures required for protectioon.

Commitmments to addjacent propperty ownerrs (fencing, special grrading, entrrance aprons, eetc.) or locall agencies thhat have been made duuring the connceptual dessign phase oof the project should be cleearly noted // depicted onn the plans. Again, the IIFB should aalso clearly ddetail these items.

Although maintenancce of traffic pplans are noot prepared by the Admministration, ssome circumstaances may rrequire the cconstructionn of a tempoorary roadwaay to detour traffic arounnd an item of wwork (i.e. bridge construction / replaacement, cullvert installaation). Plan ssheets should bepreparedd, to the leveel of detail ddescribed abbove, showing the reloccated or temmporary roaddway,the workk area, and any easemments or speecial considerations asssociated witth the temporary conditionn.

The DBTT will be required to submit final Roadway PPlan Sheetss for revieww and approval by SHA. TThe DBT’s sheets will include iteems typically shown on DBB projjects,includingg construction notes for pproposed w--beam / end treatments, storm drainnage, etc.

38


1-2.6 Roadwayy Profile SheetsRoadwayy profile sheeets are to bee provided foor all new roaadways. Thee existing grround

along thee baseline oof construction and the proposed ggrade line shhould be shown. Curve data and propposed gradee elevationss (at 50 fooot intervals) should be provided. TThe DBT will be required to submit finnal Roadwayy Profile Sheeets for revieew and apprroval by SHAA.

1-2.7 Structuree SheetsPre-TS&LL structure plans shall be developped using the latest SHA MicroSttation

CADD Standards annd Plan Devvelopment CChecklists. AAll structuree plans shalll be prepareed onthe Office of Bridge Development’s standarrd border annd title blockk sheet. Thee developmeent ofviews onn all Structuure Contractt Drawings shall be in conformancce with the Administration’s Office oof Structurees (formerlyy Office oof Bridge Developmennt) Policy and ProceedureMemoranndum P-75-77(4).

1-3 Specificaations The Marryland Deparrtment of Traansportationn’s Standard Specificatioons for

Construcction and Maaterials (SSCCM) is primaarily based on the Designn-Bid-Build mmodel. As suuch, Special PProvisions mmust be provided in the IFB to modifyy the Generaal Provisionss (GP), Termms and Condditions (TC) and Techniccal Requiremments (TR) iin the SSCMM for the Dessign-Build model. These Sppecial Provissions will neeed to be revviewed and uupdated for iinclusion intoo the IFB. OOf primary importance ffor review annd update will be TC Sections 2 andd 3.

TC Sectiion 2 coverss the biddingg requiremennts of the DBB contract aand describees the following:

• The DDB Request ffor Proposals (RFP) or IInvitation forr Bids (IFB) pprocess• The data providedd to perspecctive bidders and its conttractual stannding. • The eengineering aand construcction servicees that are too be provided • Technnical questioons used in SSHA’s evaluaation of the bid• The DDBT’s structuure and requuired qualificcations • Propoosal submisssion requiremments • SHA’ss evaluation of the bids aand awardinng of the conntract

TC Sectioon 3 covers tthe scope off work and ddescribes thee following:

• The design and construction sscope of serrvices • SHA’ss services • Design deliverables • Perforrmance Speecification • Consttruction requuirements

The Perfformance Sppecificationss in TC Section 3 establissh basic perrformance requiremments for a paarticular itemm of work witthout specifyying the meaans, methodds or exact materialss to be used, giving the DDBT flexibilitty in pursuinng innovativee and cost efffective solutionss. The Perforrmance Specifications aare broken innto the followwing individuual sections:

• Roadwway • Pavemment • Structtural

39


• Trafficc• Landsscape• Geoteechnical • Utility • Mainteenance of TTraffic • Drainaage, Stormwwater Managgement and Erosion & Sediment Control • Noisee Abatement • Consttruction • Enviroonmental • Publicc Outreach

Each of thhese sectionns must be reviewed andd updated byy the applicaable divisionn oroffice andd provided too the Lead DDesign Projeect Managerr for review aand inclusionn into the IFB.

Any requiirements for a particular item of work which the Administration wishes toospecify thhe means, mmethods or eexact materiaals to be useed must be tthoroughly reeviewed to mmake sure thatt requiremennts are clearlly defined.

The IFB sshall also include any aapplicable Sppecial Provission Inserts and Standaard orJob Speccific Special Provisions that modify the TR secction of the SSSCM for iteems of workk that may be pperformed ass part of the project.

1-3.1 Communnity Relationns and Public OutreachThe Projeect Engineerr is responsibble for coorddination during the desiggn phase witth the

Office of Communicaations (OC) aand applicabble District ppersonnel to identify anyy special neeeds in regards tto community relations and public outreach. TThis coordinnation shall ccontinue into the constructtion phase to determinee a protocol ffor disseminnating projecct updates and information to be vieweed by the pubblic.

1-4 Construcction Cost EEstimates Cost esttimates are to be deeveloped byy the Administration tto establishh the

constructtion budget for the projeect. Becausee of the limitted detail prrepared in prreliminary deesignfor DB projects, it is important tto account foor all speciaalty items (eex. - brick paavers, decorrativelighting) that will be included in the IFB, annd all items that are knoown or are aanticipated tto be required,, but are not shown on thhe plans (exx. - w-beam, end treatmeents).

1-4.1 Estimate TypeA Major QQuantities Esstimate is to be preparedd, per SHA’ss Highway CConstruction Cost

Estimatinng Manual. TThis Major QQuantities Estimate will serve as thee engineer’ss estimate foor the project thhrough adveertisement. AAn itemized eestimate willl not be preppared for DBB projects.

1-4.2 Estimate ConsiderationsIn addition to the guiddance providded in SHA’s Highway CConstructionn Cost Estimmating

Manual, the conceptual design teeam should consider thee following:

Separate preset Itemms to accounnt for costs associated with incentivves/disincenntives such as Early Comppletion, Erossion Sedimeent Control RRatings and Wetland Immpact reducttions.(See youur HHD liaisson for E&S Ratings cosst and basee your Wetlaand Incentive reduction on a reasonabble amount oof reduction ( 1 acre? half acre?) based on 80KK an acre paaid in tenth of anacre incrrements of 88K. Additionnally, if your project incluudes price addjustments ffor items succh as

40


Diesel Fuuel, Asphalt Binder, Pavvement Density, HMA MMixture and SSurface Proofile, these ppresetitems neeed to be deffined.

Cost to acccount for a Severe Weaather Event.. (See your HHHD liaison for this costt)

Cost assoociated withh stipend paayments. At advertisemeent this costt will becomme anItem in TTRNS*PORTT noted as a non-biddable item. Cooordinate cosst with the ICCD.

If third paarty utility deesign and cconstruction efforts are included in the design--build contract, separate LSS Item/s shaall be includeed in the schedule of prrices to accoount for the costs associateed with eachh type of utiliity; i.e. Wateer, Gas, Sewwer, etc.

The followwing costs are required:

A continggency factor will be addeed to the neaat final desiggn / construcction costs. This will cover the lack of a final enggineering annd an itemized engineerr’s estimate.. Design BuuilderEngineerring Fee must also bee factored into the enggineer’s esttimate. Thiis will cover theengineerring fees for the final eengineering provided bby the DBT. These faactors shoulld be coordinated with ICDD.

CHAPTTER 2 - PRRE-ADVERRTISEMENNT REVIEWW PROCEESS DB projects reduce time leadingg to advertisement. Plaan and specification review,

issue ressolution, commmunicationn among teaam memberss is critical too the successs of the prooject. The Admministration’ss design lead manageer must asssure that thhe project ggoals are cllearly establishhed, understtood by all team membeers, and pacckaged concisely in thee bid documments. Unlike DDBB projectss, the details that are nnormally shoown pictoriaally on plan sheets musst be accurately presentedd in the IFB so that the DDBT’s final ddesign and cconstructionn meets the ggoals and objectives estabblished by SHHA.

Thereforee, many of thhe typical milestone andd coordinatioon meetings that are held for DBB proojects are also recommeended for DDB projects. However, aas the projeect gets closser to advertiseement the foocus of the rreviews on DDB projects is on the development of specificaations that will bbe included in the IFB.

The followwing illustrattes the milesstones and ppurpose or eemphasis of the reviewss as a DB projeect proceeds from Conceeptual Plan ddevelopment to Advertissement.

2-1 Preliminaary Investiggation The lead design officce will conduuct a Prelimminary Investtigation (PI) for DB projjects.

Dependinng on the ssize and commplexity of tthe project, office and // or field PI’’s will be heeld toreview thhe proposed improvemeents and to pprovide a forrum for commments, quesstions, and issue resolution. The Lead Design Prooject Manageer must empphasize to all reviewers tthat the project is slated foor DB and that final right-of-way needs, cconstruction cost estimmates, and pre-advertiseement enviroonmental appprovals / peermits will bee derived froom the PI plaans / meetinng(s).The PI ppackage will include thhe 30% commplete plans that are anticipated for the project’s advertiseement.

The lead design office will preppare a PI reeport descriibing the prroject scopee andcomments received. As with a DDBB project, approval off the PI repoort will consttitute accepttance of the prreliminary linne, grade, aand typical section of tthe improvements. Plaan developmment from thiss point forwward shouldd only take place to adddress commments fromm the PI, ressolve any scope or projeect issues and/or to oobtain required approvvals and peermits. Poost-PI

j

41


activitiess should foocus on annd the deveelopment thhe contractt procuremment docummentsand construction sppecificationns. 2-2 Utility Preliminary Innvestigationn

PI plans should be distributed, by the Disstrict Utility Engineer, tto affected utility agenciess and municcipalities forr review of the proposed improvements and impacts to their facilities. The distribuution of concceptual planns to the ageencies and mmunicipalitiees should inccludenotificatioon that the project will be advertiseed as a Dessign-Build CContract and that the levvel of plan detaail will not addvance beyoond the 30%% stage until the project is awarded to the succeessful bidder.

A field mmeeting shouuld be held to review the project and to beggin the on ggoingcoordination on utilityy relocationss. It should bbe made cleear at this meeting that tthe completion of right-of-wway needs / plats is deppendent on when and wwhere the uttility relocations will occcur. Adiscussioon should also take placce at this meeeting on whhether or noot the utility rrelocation deesignand/or coonstruction ccan be includded as part oof the projecct. Including the relocatioons in the prroject will alloww the DB TTeam to beetter scheduule, coordinaate and layyout the draainage desiggn tominimizee utility relocaations.

If the utiliity is to be iincluded in tthe project, the utility coompany will need to proovide SHA anyy specificatioons, guidelinnes and addditional requuirements neeeded for the DBT to deesignand/or coonstruction tthe relocatioon. For any uutility relocattions that arre not included in the prooject,continuedd coordinatioon is needed to establissh their reloccation desiggn and consttruction scheedule to minimiize the potenntial of any ffuture confliccts.

It is the DDBT’s responnsibility to incorporate annd make proovisions in thheir design ffor all existing aand proposeed utilities, inncluding reloocations, to avoid additioonal impactss to utilities. The DBT shaall also estaablish and maintain onngoing coorrdination witth utility owwners after initialcontact hhas been maade by the AAdministratioon to account for utility relocations in their scheedule and sequuence of connstruction.

2-3 Right-of-Way Needss Meeting Right-of-wway needs sshould be esstablished att PI to facilitaate the earlyy developmeent of

plats andd to provide the District Right-of-Waay staff with a clear indication of ovverall project andindividuaal property impacts. PPreliminary needs shouuld be shoown on thee PI plans andadjustmeents made baased on PI ccomments aand utility reloocation requuirements.

A right-off-way needss meeting should be heeld with the District Rigght-of-Way, Plats and Surrveys, Distrrict Construuction, and all other appropriatee divisions to revieww therequiremments of thee project and to assuree that adequate space is providedd to the DBBT incompletinng the improovements. TThis meetingg should occcur after thee conceptual maintenance oftraffic plaan has beeen reviewed and acceppted and affter potentiaal storm watter manageementlocationss have been established.

2-4 Semi-Finnal ReviewSimilar too DBB, not aall DB projeccts will require a Semi-FFinal Revieww (SFR) meeeting.

The leadd design office will deterrmine if a SSFR is necesssary for theeir particularr DB projectt. If a SFR meeeting is heldd, the focus should be oon utility, rigght-of-way, aand permit ccoordination, and the development of tthe project specificationss and IFB.

42

2-5

on the IFprepared

on commThe leaddiscusselead desHighway

2-6

includingPermits, applied fo

CHAPT

permits rthe Uniteerosion acomply wcomplete

3-1

has tradadditionaproject. Adetermin

US ACE –MDE – SeCertificatioMDE – NoMDE – CoConsistencDNR – SceDNR – For

Final RevThe lead

FB and finad.

The FR pments from td design of

ed and the asign office s

Developme

Plans, SpFollowing

g the IFB, Cwhich indic

or by the DB

TER 3 – PEThe resp

required for ed States imand sedimenwith the perme the plans a

EnvironmTable III-2

itionally beeal permit neeAlso, the Proe the most a

– Section 404ction 404 Cl

on on-tidal Wetlaoastal Zone Mcy Determinenic and Wirest Impacts

viewdesign offic

al conceptua

package will the PI meetffice will preppropriate ahall submit

ent.

pecificationg the FR monceptual P

cates the staBT.

ERMITS onsibility of the project.pacts. SHA nt control, amits and conand computa

mental Perm2 presents then responsieds, so the oject Team appropriate a

Permit

4 Clean Watlean Water A

and and WaManagemenation ld Rivers Ap

s and Potent

e will condual plans. A

include theting and a pepare FR maction. A forma Final Rev

ns & Estimameeting the Plans and enatus of perm

securing en In general,will also obt

and reforestanditions set foations neces

mits he typical peible for obtaProject Teashould perfoassignment

TABLE

ter Act PermAct – Water

aterways Pernt Program F

pproval tial Reforesta

uct a Final Rmajor quan

30% comppreliminary Imeeting minmal FR repoview Report

te Administrat

ngineer’s esmit approva

nvironmenta, SHA will otain conditionation/roadsidorth by the r

ssary to secu

ermits requiraining the pm should esorm an evalof permit re

III-2 PERM

mit Quality

rmit Federal

ation Areas

Review (FR)tities constr

lete plans thFB including

nutes descriort is not nec

Waiver to

tion will prestimate. A Cls applied fo

al permits isobtain permitnal permits fde trees. It ireviewing enure final app

red for SHApermit on Dstablish the uation of thesponsibility

MITS

SObt

meeting to oruction cost

hat have beeg all requireibing the iscessary for the Director

epare the fCertification oor by SHA

s dependentts for wetlanfor stormwats the DBT’s

nvironmentalrovals.

’s projects aDB projectsrequiremente permits fobased on th

SHA tained

9

9

9

9

9

9

obtain commestimate w

en refined bed specificatsues / revisDB projectsr of the Offi

final documof Environmand those t

t on the typnd and wateter managem

s responsibill agencies a

and the party. There mats early on i

or each projee project ne

DesignBuilder

Obtaine

ments will be

basedtions. sions . Thece of

ments, mental

to be

es of ers of ment, lity to

and to

y thatay be n the ect toeds.

nrd


43

ApprovalMD State BLaw CompMDE – GeMDE – Wasurface or MDE – EroMDE – StoMDE – EnNational P(NPDES) NDNR RoadDNR Fish

3-2

effect crresponsimodified the secu

a permit the projeproject wdetermin

ensures will offer facilitate

Board of Pupliance eneral Mineraater Approprgroundwate

osion and Seorm Water Mvironmental

Pollutant DiscNotices of Indside Tree PCollection /

DBT’s MoThe DBT

reate additiobility to obtapermit appr

ring of a per

DB projeccondition th

ect. An IEM mwhere the pe

e if an IEM w

The role oadditional enadvice to thfield modific

blic Works –

al Mining Periations Permer) ediment Con

ManagementAir Quality/

charge Elimintent (NOI) Permit

Relocation p

odification may elect t

onal impactain, at their rovals but Srmit modifica

cts that involat requires amay also be rmit does nowill be requi

of the IEM isncroachmene DBT on w

cations and c

– Priority Fun

ermit (for batmit (for withd

ntrol Approvt Approval Emissions pination Syste

permit

Requiremeto modify thts on a reg

expense, aHA will not b

ation.

lve impacts tan Independrequired by

ot require anred.

s to act as annt into resou

ways to avoidcommunicat

nding Areas

tch plants)drawals from

al

permit em

nts e Conceptugulated resoapproved pebe responsib

to environmdent Environ the Office o

n IEM to be a

n independerces that are

d additional ite directly wi

m

al Plans preource. How

ermit modificble for delay

ental resourmental Mon

of Environmeassigned. O

ent entity thae not permittmpacts to with the resou

9

epared by Swever, it is cations. SHAys in the pro

rces will mositor (IEM) toental Design

OED shall be

at monitors pted are avoid

waterways orurce agencie

9

9

9

9

9

9

9

9

SHA, and mathe DBT’s

A will coordoject schedu

st likely resu be assigned

n (OED) on e contacted t

permit conditded. The IEMr wetlands, ces and OED.

ay, insole

dinatele for

ult in d to

to

tions, Mcan .


44


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45


PART IProject ex

Bid projeect and upomanual ooutlines the A

CHAPTTER 1 - DEThis chap

Build Teaam through tClose-Ouut. The mostdevelopinng and submBuilder iss also the DeDesign-BBuild will be d

1-1 SHA’s R

SHA’s rolBuild prooject. SHA reprovide aa high qualitand consstruction of tfor corresspondence a

1-1.1 SHA ConUpon awa

project. SSHA Office oConstrucction Engineeoperate tthe same, foresponsibility will genattend meetings, andEngineerr (DE) is in refor each of these posteam is pproviding themore dettailed descriAdministration sectio

1-1.2 SHA DesSHA Des

specificaations from thteam reqquires SHA personneel as the chasimilar reelationship aproject.

1-2 Design-BThe Desig

Design-BBuild Contracthe Desiggn-Build Teaentity, typpically the DDesign-BBuild Team hand consstruction.

IV – PROxecution for n Notice of Administratio

ESIGN-BUpter defines tthe various st significant mitting the deesign Enginedetailed else

Role

le in Designemains the ty project atthe Project. and final app

nstruction Pard of the coof Constructiers, Area En

or the most pnerally remad perform othesponsible csitions involve design andption of chan

on.

sign Personign staff will he DB contraDesign staffanges are idand should m

Builder’s Rogn-Build Teactor and Desam may cho

Design-Build has the prim

OJECT EDesign-BuiAward for aon’s approa

UILD TEAMthe roles anstages of therole changeesign plans eer of Recorewhere in th

n-Build doesProject Ownt a reasonabThe Federaproved plans

Personnelontract the Dion and Distngineers, Propart, in the oain unchangeher duties ascharge of theves the leveld therefore Snges to roles

nelstill remain

actor team. f review and entified and

maintain the

ole am (DBT) resign-Build Dose to form Contractor hary respons

EXECUTld begins upa Competitivch to comple

M COMPOd responsibe constructio from the DBto SHA for rrd. The otheis chapter.

s not differ sner and is reble cost. Thel-Aid progras between th

District office trict Construcoject Engineverall manaed as they ws with a trade project on l of authority

SHA’s authors and respo

involved in t Any changapproval, wdocumentesame conta

efers to the eDesigner to s

a joint ventuholds the co

sibility for con

TIONpon bid openve Sealed Pete the proje

OSITION ilities of FHWon project froBB process review and aer areas whe

significantly esponsible toe Administram section whe lead desig

typically takction staff ineers and Progement of th

will monitor aditional proje

behalf of they to act on berity is differensibilities is

the project toes in design

which may red. SHA Conct with SHA

entity formedubmit the bi

ure betweenontractual agntrolling and

ning for a Design-Build Low-Proposal. Thhis section oof theect through pproject closeeout.

WA, SHA annd the Design-om Bid Opening to Projeect is that the DDesign-Buildeer is

approval andd the Design-ere the roles change duee to

from the typpical Designn-Bid-o the citizenns of Maryland to ation will oveersee the deesign

will continue to be the coonduit gn division aand FHWA.

kes over management of the cluding the Regional

oject Inspecttors will still he project. TTheir level oof and report onn progress, ect. The SHAA District e SHA. The main differeence ehalf of the SSHA, the DBB

ent with a DBB project. A covered in tthe Contractt

o review plaans and n made by thhe DB contraactor equire input ffrom the fielddnstruction staff still has tthe design throughout the

d by the agreeement of thhe d for the prooject. Althouugh the contracctor and designer

greement witth SHA. Theed managing tthe work, deesign,

46

Specificawith the Builder sSpecificaSpecificaof the rSpecificaDesign m

1-2.1

work. Thcontractoinspectio

1-2.2

preparingBuild Tea

1-3

projects constructDesign-B

CoIssuance package tfirms

a. FHpriothe

b. NEnotissu

c. TIPconRF

d. Util

It shall beations, and W

Contract reshall verify pations, and ations, and/oresponsibilityations and Wmanagement

Design- BDesign Bu

he project is or forces havon forces.

Design-BThe Desig

g and submiam. Also se

FHWA’s The Fed

identified astion phases

Build Compe

T

mpetitive Sof Request

to the short

WA approvaor to authoriz

e RFP to shoEPA process/t, SHA must ue request f

P/STIP/LRTPnformity. (coP)lity Agreeme

e the DesigWorking Planequirements

pertinent dimWorking P

or Working Py for the s

Working Plant and quality

Build Contruild Contracdesigned by

ve on design

Build Desiggn-Build teaitting the nec

ee Part I – C

Role eral Highwa

s Full-Overss. The folloetitive Sealed

TABLE IV-1

Sealed Propfor Propos-listed Desi

al of the RFPzation and th

ort-listed Firm/document chave FHWA

for proposalsP and air quaomplete befo

ents

n-Builder’s sns of such a

s and the Dmensions in tPlans. ReviePlans by thesatisfactory ns shall be sy is the respo

ractor Persoctor staff will y the DB conn should be d

gner Personam’s Designcessary deshapter 3, Ro

ay Adminissight projecowing chart d Proposal a

FHWA NON

PROCES

posalsal (RFP) ign-build

P is requiredhe release oms. complete. IfA approval tos.ality

ore release o

sole respona nature to dDesign-Buildthe field prio

ew of the De Administra

completion subject to thonsibility of t

onnel still provide

ntractor teamdirected to t

nnel er is the En

signs througholes and Res

stration has cts (Non-Exe

defines theand Low Bid

N-EXEMPT

S, ACTION

Issuancadvertis

d a. Fof to

b. Nf So a

c. T(c

of d. Ue. Rf. P

sibility to prdevelop a finer’s Design

or to the revDesign-Buildation shall no

of the Whe Administrthe DBT.

and managm and therefheir designe

ngineer of Rhout the prosponsibilities

defined Dempt) durine process, procuremen

REVIEW PR

or ACTIVIT

Low-Bide of Invitati

sement

FHWA approo authorizati

NEPA procesSHA must haadvertise IFBTIP/STIP/LRcomplete be

Utility AgreemRailroad AgrePermits

rovide Designished produ Quality Pla

view of Desigder’s Designot relieve thork. Designration’s revie

e the forcesfore any queer and not th

Record and ioject on behas.

Design-Build g the prelimaction and nts:

ROCESS

TY

dion for Bids

oval of the IFion and advess/documenave FHWA aB.TP and air q

efore advertisments eements

gn Plans, Pruct in accordan. The Degn Plans, Prn Plans, Pre Design-Bu

n Plans, Prew and appr

s to completeestions that through SHA

s responsibalf of the De

proceduresminary design

activity for

s (IFB) for

FB is requireertisement

nt complete. approval to

quality confosement)

rojectdance esign-rojectrojectuilder rojectroval.

e the the

le foresign-

s for n and

both

ed prior

If not,

ormity.

Maryland SState Highwayy Administratioon Deesign-Build MManual

47

e. Raf. Perg. Orih. Sol

Spe(apRF

i. Wa(AllFH

Concurren

a. RFAut

b. Sumadj

c. ResSes

d. SHfor

e. Lumf. Affig. Co

Ceh. If N

comappconwith

Construct(CEI) Scop

a. SHcomser

b. SHcomDes

ConstructRequired

a. DesFHlimreladocma

ilroad Agreermits ginal ROW Cle Source Iteecial Provisi

pproved by FP)

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49


CHAPTTER 2 – DEESIGN-BUUILD SPECCIFICATIOONS

This next section exaamines the contract speccifications for a DB projeect to point oout the various characteristics to help manage aa DB project.. This sectioon should bee read in conjunctiion with prevvious sectionns in the DBBM. Specificc reference is made to Part III – Preliminnary Engineering, Chappter 1 – Dessign Development, Plann and Estimmate Preparattion. This cchapter desccribes the levvel of prelimiinary designn contained in the IFB annd the respoonsibilities of the Designn Builder to ccomplete thee various dessign disciplinnes necessaary to build the project.

2-1 Standardd Specifications used oon Design BBuild Projeccts The specifications used on a DB project will ffor the most part be similar to a

traditionaal project in tthat the design and consstruction staandards utilizze the same documents. All work on tthe DB projeect will confoorm to the SHA’s Standaard Specificaations for Coonstruction aand Materialss, i.e., the “GGrey Book”. Differencess arise mostly in who willl be providinng the detailed drawingss and specifications for the set of construction pllans, which aare called ouut in the projject descriptioon, bidding rrequirements and speciaal provisionss.

2-2 Special PProvisions –– Terms andd Conditionns (TC) Secttion 2 – Biddding Requiremments and CConditions ffor Design--Build

2-2.1 Value engineering (VVE)VE is gennerally not included in deesign-build pprojects afterr award of thhe contract aas it

is inherent to the dessign-build prrocess.

2-2.2 Partnerinng Partneringg is mandatoory on a DB project and plays an immportant role in the succeess.

This secttion is generrally the samme as a traditional projecct and the inssert addressses specific requiremments that aree needed for the projectt.

2-2.3 Request for Proposaals and Inviitations for Bid The Requuest for Propposals (RFP) and Invitation for Bid (IFB) Packagge specifically

identifiess what materrials are provvided by thee SHA and addresses thee DB contractor’s responsibility for the design. Thee descriptionn of work listts the engineeering and cconstruction responsibilities of thee DB contracctor.

2-2.4 Project DDescription This sectiion contains the project description, which identtifies the genneral narrativve of

the work and describbes the curreent status of aspects of tthe project (ssurveys, geootechnical, utilities, eetc.) and DBB contractor’ss responsibility for desiggn elements..

2-3 Special PProvisions -- TC Sectionn 3 - Scope of Work for Design-Buuild Terms and Conditionns

2-3.1 Design-BBuild - Desiggn and Connstruction SScope of Services 2-3.1a General RRequiremennts

The Scoppe of Servicees section deescribes the items of woork that the DDesign-BuilddTeam willl provide thrroughout thee project. Booth design aand construcction related provisions aand

50

responsibilities are ooutlined in this section. SSeveral secttions are unique to desiggn-build projects. The followwing outlinees some of thhe more impportant sectioons.

2-3.1b Design PPersonnel Iddentified in Proposal Design peersonnel ideentified in thee Technical PProposal willl be those inndividuals

assignedd to the projeect on the deesign portionn of the projeect. If changges to the deesign personnnel occur, the Design-Buuild Team must submit this request tto the Adminnistration. AAll changes to design peersonnel shoould be submmitted to SHHA’s Lead Deesign Projecct Manager tto take appropriaate action.

2-3.1c Design QQuality Conttrol Plan The Desiign-Build Teeam shall ssubmit a Deesign Qualitty Control PPlan (DQCPP) for

review annd approval by the Admministration, bbefore noticee-to-proceedd will be giveen to begin wwork. The DQCCP must bee a completee and clear plan to achhieve a high quality dessign, includinng all related eelements annd lower tierr subcontracctors/Designn-Build Teamms. The Deesign-Build TTeam must adhhere to the aapproved DQQCP throughhout the durration of the project. Thee DQCP muust beavailablee for review aand discussiion at the firsst partneringg meeting.

The Design-Build Teeam is responsible for performingg a compleete, coordinnated, economiccal, timely, ffully functionnal quality ddesign, including survey and geotecchnical elemments,all in compliance with the Contract Technical Proposal and Bid Proposal. TThe Design--Build Team mmust follow tthe DQCP and receivee written auuthorization from the AAdministratioon formodificattion to the pllan.

2-3.1d Storm Water Management and Erosion annd Sedimentt Control Deesign and Approvalls The Desiggn-Build Teaam is typicallly responsibble for the finnal stormwatter managemment

design, eerosion and ssediment coontrol designn, and obtainning final appproval from tthe MarylanddDepartment of the Ennvironment ((MDE). Thee specificatioon will describe the revieew and approoval process ffor stormwatter managemment designn and erosionn and sedimment control ddesign with tthe MDE andd other agenncies.

2-3.1e Coordinaating Designn Submissions The desiggn submissioon coordinattion and review process is describedd in the Scoppe of

Work andd outlines thhe process foor review and approval oof plans. The Lead Design Project Managerr will take thee lead in cooordinating thhis process wwith the Design-Build Teeam and the SHA Construcction Project Management staff. All correspondeence relatedd to review aand approvall of plans will come from the Lead Design Officee with carbonn copy to thee SHA’s leadd Constructioon Project MManagementt staff.

2-3.1f DB Consstruction Peersonnel Constructtion personnnel assigned to the projeect will be thoose identified in the

Technicaal Proposal. If changes to the construction personnel occur, the Designn-Build Teammmust subbmit this requuest to the AAdministratioon. All changes to consttruction perssonnel shoulld be submittedd to the Disttrict Construction office tto take approopriate actioon.

2-3.2 Administtration Servvices Various aadministrativee services wwill be providded by SHA tthroughout tthe project aand

these will be listed inn this sectionn of the Scoppe of Work.

2-3.2a Construcction Inspecction


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SHA’s Coonstruction PProject Manaagement staaff is responssible for Connstruction Managemment (CM) aand Construcction Inspecttion (CI) of the contract and is respoonsible for QC/QA oof materials aand construcction. The AAdministration will follow its normal cconstruction inspectioon policies annd procedurres. Howeveer, measuremment of quantities will seerve to verifyythat the pplan and speecification reequirements are met andd will not be a basis for ppayment.

2-3.2b MeetingssThe SHA Constructioon Project Maanagement staff will be responsible for conducting

preconstruction conference and progress meeetings durinng the projecct as with a traditional project. The requiredd attendees and topic lissts are includded in this ssection.

2-3.3 Design DDocument DDeliverabless2-3.3a Coordinaating Designn Documennts

This sectiion of the Sccope of Workk describes the various design delivverables anddother dessign criteria that will be rrequired by tthe Design-BBuild Team tthroughout tthe project. The SHA Connstruction Prroject Managgement stafff will be partt of this process becausee the designn will be ongoing through cconstruction.

2-3.4 Performaance Speciffications This sectiion of the Sccope of Servvices outliness the Designn-Build Teamm’s responsiibility

for design and construction for eeach work eleement. Eacch work elemment performmance specificaation stipulatees the followwing:

Guideelines and References Perforrmance Reqquirements Design and Consttruction Criteeria

2-4 Special PProvisions -- TC Sectionn 7 - Paymeent for Design-Build This sectiion of the Sppecial Provissions describbes the varioous controls to be

implemennted to trackk and monitoor the work. DB projectss are a lumpp sum bid to design and constructt the work annd contract qquantities wwill not necesssarily be staated in the project IFB/RRFP. It is the rresponsibilityy of the DB CContractor too submit the necessary ddocuments tto establish the basis of ppayment for the project. TC Sectionn 7, Paymennt for Design Build amennds the specificaations to explain the methhod of quantity measureement, progrress paymennts, and the cost breakdowwn and paymment scheduule.

2-4.1 Contractor’s Cost BBreakdown aand Scheduule of PaymmentsThe DB CContractor will submit cost breakdowwn and scheddule of paymments for

approval. The approoved cost breeakdown willl be the bassis of payment requisitions. This breakdowwn will consiist of the maajor items thaat are normaally used on a traditionall Design BidBuild prooject. Howevver, there wiill not be as much detail as with Dessign Bid Build bid tabulattion. The proccedure is discussed furthher in Sectioon 6 Contracct Managemeent Operatioonal Issues oof this manuual.

These items will be progressed oon a percent complete baasis, which wwill be basedd on field insppection and aan estimate of the perceentage comppleted for anyy given itemm. This procedurre will be disscussed in mmore detail during the pree constructioon meetings.

2-4.2 Method oof MeasuremmentMeasuremment of quanntities will noot be the samme for a DB project. Although typicaal

design bid build conttracts are paaid by calculaating exact qquantities off work, the DDB project is paid


52

on a lump sum basiss. The Desiggn-Build Teaam will submmit to the Admministration an itemized Progresss Payment BBreakdown aas outlined inn TC Sectionn 7, and will be the basiss for paymennt of the contrract. A perceent completee basis for eeach item established in the progress payment breakdowwn will be ussed to determmine paymeent for variouus elements of the work.

2-4.3 Monthly Material Cleearance Materials must be cleeared on a mmonthly basiss the same aas a traditionnal Bid Buildd

project. TTherefore, it is importantt for the DB contractor, PProject Engineer and thee OMT AreaaMaterialss Engineer too develop a process prioor to the Nottice to Proceeed for material items to prevent pproblems once the projeect is under cconstruction.

The DB CContractor shhould provide the Engineeer’s estimaate (with prices) or a cost breakdowwn and scheedule of paymments whichh will generaally consist oof the items tthat are usedd on a Designn Bid Build project.

The OMTT Area Materrials Engineeer will breakddown the lummp sum itemms into componeents of that ittem, but will not be ablee to provide qquantities. CContract itemms should beebroken down into itemm numbers using the caategory codee numbers presently useed (i.e. 1000, 2000, 3000, etc). Thiis should be standard foor all DB projjects as project personnnel, most contractoors, QC/QA aand materials personnel are very familiar with thhis numberinng system.

Project Enngineer should keep track of materiaal quantitiess submitted bby DB contraactorfor payment at each monthly estimate. Area Materials Engineer will report back to Project Engineerr if all docummentation has been receeived for matterial submittted on that mmonthly estimate. Unless otherwise indiccated, materiials submitteed for sourcee approval wwill be noted by Materialss Engineer uusing the lateest version oof the Materials Frequenncy Guide.

It is imporrtant that all required documentationn be received at each monthly estimmate for all maaterials submmitted for payyment. Thee traditional mmethod for pproject final mmaterials clearancee will be verry difficult to use on a DBB project duee to unknowwn material qquantities forrlump summ items.

2-4.4 CPM Schhedules The CPMM schedule should be useed in conjunnction with thhe monthly eestimates to

reconcilee the work coompleted. SSee Special Provision Seection 112 –– Critical Path Method Project SSchedule in tthe IFB/RFPP.


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CHAPTTER 3 - COONTRACTT ADMINISSTRATIONN3-1 General OOverview

The respeective Districct will be ressponsible forr the adminisstration of the project froom Notice off Award. The SHA Consstruction Maanagement aand Project MManagemennt staff has aaslightly different role in the adminnistration of a DB projecct. The DB CContractor iss the designeer as well as thhe constructtor, which meeans that theey are respoonsible for problems, isssues or channges to their design. Howwever, the SHHA Construcction Project Engineer mmust still remain involvedd in tracking tthe submittaal, approval aand subsequuent field changes in design made bby the DB Contractoor, and SHAA must have knowledge of changes ffrom the appproved desiggn drawings. The SHAA Constructioon Project MManagement staff will alsso have the responsibilitty to inspect the work andd ensure that it compliess with the prooject plans aand specificaations with reespect to quuality and workkmanship.

3-2 Specificaation ReviewwThe specification sections discussed earlier uunder the Deesign Build SSpecificationns

section oof this manuaal tells what is expected of the DB CContractor. TThe SHA Coonstruction Project MManagementt staff must bbe fully aware of these rrequirementss. The Requuest for Proposalls (RFP) andd Invitation foor Bid (IFB) Package, thhe Scope of Work and thhe Control offWork secctions clearlyy identifies wwho is respoonsible for what during thhe project. EEach designn-build projject has speecific requireements that mmay be unique to that paarticular projject.

3-3 SHA Stafff Authority and Relatioonships SHA’s Coonstruction PProject Manaagement staaff is responssible for ensuring that the

quality off the project is compliant with the SHHA standardds, which aree built into thhe DB contractoor’s design bbecause it mmust conformm to SHA dessign standarrds. It is impportant to note that the SSHA Construuction Projecct Managemment staff does not have the responssibility or authority to make chaanges to thee contract doocuments in the field, beecause the ddesign belonngs to the DB CContractor. FFinally, the SSHA District Engineer is in responsibble charge foor the projecct on behalf off the SHA, thherefore no cconsultant personnel has the authorrity to take reesponsible charge foor a DB projeect.

3-4 SHA Ressponsibility for 100% DDesign Elemments On occassion, the SHAA has the neeed to providde 100% dessign elements in a desiggn-

build projject. The SHHA Construcction Projectt Managemeent staff will sstill have thee same responsibility for chaanges and issues as withh a traditionaal project, beecause the SSHA is responsible for the design of these elementss. Thereforee, if a designn or construcction issue arises on elemeents of the project that SSHA designeed, then yourr procedure for administtrating the changes will be the ssame as withh a traditionaal project.

3-5 Construcction InspecctionThe SHA Constructioon Project Maanagement staff is respoonsible for thhe inspection of

the work. Although the DB Conntractor is rresponsiblee for the dessign and coonstruction,, the SHA Connstruction PProject Mannagement sstaff is still rresponsiblee for ensurinng that the work is bbuilt in accoordance witth the approoved plans and specifications. Inn the event that constructtion deficienncies in the fiield such as not buildingg in accordannce with the approved design drawings andd specificatioons, impropeer material placement orr sub quality work, etc. aare found, the following ssteps shouldd be taken:

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� Notifyy the DB teamm contractorr personnel of the field cconstruction issue and note the occcurrence in the daily doocumentationn.

� Contaact the District Area Engineer immeddiately and bbrief them onn the issue aand identiffy any potenntial schedulee impact it mmay have onn the project.. Monitor theescheddule activity(ss) to determmine if any timme was lost on the schedule anddocumment the cauuse and impaact.

� Maintaain communnication with the DB conttractor manaagement unttil they correect the isssue prior to continuing wwith the workk in questionn.

� Contaact SHA’s Leead Design PProject Manaager and/or SHA’s Consstruction Management stafff, as necesssary.

3-6 Design CChanges Design chhanges or errrors are thee responsibility of the Deesign Build contractor annd

must go through the proper SHAA protocol to be implemeented. SHA does not haave the authoority to change or direct aany changes in the desiggn documentts. However, in the event of a desiggn change oor construction issue, SHHA staff should work with the Designn-Build Teamm towards aquick solution to the problem. Thhe following steps shoulld be considered when wworking throougha design issue:

� Acknoowledge the issue with the DB team contractor ppersonnel annd explain toothem that it must be forwardeed to SHA deesign for appproval.

� Note tthe occurrennce in the daaily documenntation. � Discuss the issuee with the DBB Contractorr to determinne what posssible solutionns

they mmay have annd communiccate this withh SHA desiggn during thee review anddapprooval process.

� Commmunicate thee DB Contracctor’s ideas / possible soolutions withh SHA design and get their feeddback or respponse. Thiss will help to expedite thee approval process.

� Maintaain communnications withh the DB conntractor on tthe status off SHA designnapprooval and remmind them thaat no work oon the issue can continuee until the deesign has beeen approveed and the ssigned drawings are delivvered.

• Monitoor the scheddule activity((s) to determmine if any timme was lost on the scheedule and document thee impact.

Although the SHA is nnot responsiible for the ddesign, SHAA still has thee responsibility to review annd approve aany changess in the DB ccontractor’s design. SHHA’s Construuction Projecct Engineerr’s help in cooordinating the process wwill expeditee the approval by SHA.


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CHAPTTER 4 - COONSTRUCCTION MANAGEMENT OPERRATIONALL ISSUES4-1 General OOverview

SHA’s Coonstruction aand Project MManagemennt staff is responsible forr Constructioon Managemment (CM) aand Construcction Inspecttion (CI) of the contract and is respoonsible for QC/QA oof materials aand construcction. SHA mmaintains thee responsibiility for conductingIndependdent Assurannce (IA) testting of materrials and connstruction.

4-2 MeetingssSHA stafff will conducct a series off meetings thhroughout thhe project, inncluding but not

limited too the followinng:

� Pre-CConstruction Meeting � Partneering Workshop (sharedd responsibility with D-B Team) � MBE/DBE Compliance Meetinng � Erosioon & Sedimeent Control MMeeting � Partneering Meetinngs � Progreess Meetinggs (Minutes rrecorded by the Design--Builder) � PCC PPre-Placemeent Meeting � HMA Pre-Placement Meeting� Structtural Steel PPre-Erection Meeting � Pre-Traffic Controol Shift Meetting � Pre-CConcrete Decck Placemennt Meeting � Pre-PPavement Maarking Meeting � Semi--Final Inspecction � Final Inspection

4-3 Managemment Schedules and Pllans There aree numerous written planss and scheddules requireed in the Dessign-Build

Contract that are to bbe submittedd by the DB Team and reviewed andd approved bby the Administration. Thesse typically innclude but are not limited to:

� Initial Critical Pathh Method Scchedule� Design Submittal Schedule � Design Quality Coontrol Plan � Design Exceptionns � ADA WWaivers � Commmunity Relations Plan � Geoteechnical / Paavement Repports � Drainaage & Stormm Water Mannagement Reeports � Mainteenance of TTraffic Plan, eetc.

4-4 Design RReviews The Desiign-Build Teeam must nnotify the AAdministratiion’s Lead Design Project

Managerr 14 days prrior to the ddate of all intended submmissions. Thhe Administration will reequire the use oof Project WWise as meanns to post pllans, reportss etc. for revview. Commments will alsso be posted oon Project Wise. Third party reeviews suchh as Utilitiees, Local JJurisdictions and Environmmental Agencies will still require hardd copies.

The Design-Build Team shall noot proceed wwith the final constructioon of a partiicular portion oof the projectt until:

56

� All Fiinal Plans and Specifiications commments havve been adddressed too the satisfaaction of thee Administrattion for that portion.

� All reqquired permiits for that poortion of worrk have been received. � Final Plans andd Specificattions approoval is recceived in wwriting fromm the

Adminnistration forr that portionn. � A titlee sheet is ssigned and sealed by tthe Design--Build Teamm’s Engineerr and

approopriate officiaals of the Administration.

4-5 The Admministration’s Role in Design Quality Assurannce The Administration’s Lead Design Division oor District Offfice should periodically audit

the Desiggn-Build Teaam's, the Deesigner's, annd the checkker's work too ensure thaat it is being done in conforrmance withh the Contraact requiremments. The Design-Builld Team is required to fully cooperatte with and assist the AAdministratioon in conducting auditss. The Desiggn-Build Teaam isalso requuired to mainntain all recoords and anyy other elemments of the work in a cuurrent and reeadily availablee manner so that the Admministration may audit thhe work.

Any quality assurancce reviews or audits cconducted bby SHA will not removee the Design-BBuild Team’ss responsibiility for desiggning and cconstructing all elementts of the Woork inconformaance with itss Design Quality Control Plan andd all requiremments of thee Contract. SHAshall at aall times havve the authority to requuire the Dessign-Build Teeam to re-pperform any workthat theyy determine iis not in connformance wwith any of thhe provisions of the Conntract or withh any drawingss, specifications, other ddocuments pprepared byy the Designn-Build Teamm. Rework inn this regard, wwill not servee as the bassis for claimss for additionnal compenssation or timme by the Deesign-Build Teaam.

4-6 Documenntation Conntrol Systemm and Daily Record Keeping The methhod of daily ddocumentation and monthly estimatees is the samme with the DB

project. The MCMS data is enteered the samme way but thhe estimate is based on a percent completee basis (disccussed later)). Inspector’s Daily Repoort will continue to be ussed to documment the placeement of materials by thee process esstablished foor a particulaar project.

4-6.1 Performaance MonitooringThe documentation oof performance remains tthe responsibility of SHAA’s Construcction

Project MManagementt staff. Prodducing the vaarious reportts and mainttaining this ddocumentatioon is the samee as on a traaditional project. These activities maay include:

� MOT reports, ratinngs schedules � E&S rreports and rratings � Payrooll compliancce interviewss� MBE // DBE particcipation

4-6.2 Monitorinng Utilizatioon of Disadvvantaged BBusiness Ennterprises The DBE requirements for Federal-Aid Desiggn-Build conttracts are similar to

conventioonal design--bid-build proojects in that a stated gooal is establiished for eacch contract. Monitorinng compliancce with utilizzation requireements musst take into aaccount that the goal also includes professionaal services, ssince these sservices are contained inn the Designn-Build contrract.

The Desiggn-Builder iss required too make a goood faith efforrt to achievee DBE participattion in professsional servvices for a givven contractt of no less tthan the statted percent oof the total contract valuue. The gooal will includde efforts to achieve DBEE participatioon in performaance of profeessional servvices under the Contractt (including ddesign, suppplemental


57

geotechnnical investiggations, survveying and oother preliminnary engineeering; qualityy control as defined in the Contraact; environmmental comppliance activiities; utility ccoordination;; permitting; and public infformation). TThe DBE professional sservices partticipation shaall be attribuuted to the ovverall contract goal.

Dependinng on the oveerall goal reqquirements aand the goal establishedd for particippationin professional servicces, the goal percentagee for construuction contraactor and subbcontractor may vary withh each contraact. Therefoore, the DBEE goal has twwo componeents; the oveerall goal andd the professioonal servicess goal.

The monitoring of DBBE performannce will incluude more thaan one compponent. Oneecomponeent will be DBE construcction contracctor and/or subcontractors. The seccond componnent will be the professionnal services firms, whichh will mostly be design aand consultattion that will be utilized thhroughout thhe design annd constructiion process.. The Design-Build conttractor’s DBEEutilizationn report will contain the rrequired doccuments listeed in the Special Provisiions section of the contrract.

4-7 Monthly Estimate annd Progresss PaymentssProcessinng monthly eestimates witth respect too the way thee data is enttered into MCMS

and the rrouting of thee progress ppayment will basically remain the same. The maain differencce between the Design Build and Design Bid Buuild is the iteems for the DDB estimate will be less detailed because thee contract with the DB Contractor will be a lump sum agreemment. The following section expplains the paayment proceess.

4-7.1 Establishhing Pay Iteems The methhod of establishing the pay items for a DB projecct is differentt than the

conventioonal design-- bidbuild pproject in thaat the work items in a DBB project aree not as detaailed and some are lump ssum. The proocedure for setting up thhe estimate is as followss:

� Refer to TC Secttion 7, Paymment for Desiign Build. Thhis Special PProvision amennds the speccifications foor guidance oon the methood of quantitty measuremment, storeed materials, progress paayments andd the cost brreakdown annd payment scheddule.

� The DDB contractoor will submiit to the SHAA, a Progresss Payment BBreakdown, whichh is a breakddown of the costs assocciated with thhe major worrk items contaained in the lump sum prrice for the pproject.

� TC-7.11 explainss the paymennt breakdowwn and the iteems that muust be includded. � The PProgress Paayment Breakdown will bbe generatedd by a MS EExcel

spreaadsheet� The PProgress Paayment Breakdown is seent to SHA DDesign and thhe District

Enginneer for revieew and apprroval. � The aapproved scchedule will bbe discussedd in the pre constructionn meeting � The mmonthly estimate sheet wwill be based on the appproved Proggress Paymeent

Breakdown and wwill be paid oon a percenttage basis oof each item..� The DDB contractoor will also ssubmit to thee Administrattion a Projeccted Scheduule of

Paymments. This schedule off payments wwill provide the SHA withh an estimate of montthly cash floww requiremeents by foreccasting the DDB teams’ mmonthly appliccations for pprogress payyments for thhe duration oof the projecct.

4-8 Processing Monthlyy Updates The montthly estimatees are processed based on the apprroved Progreess Paymennt

Breakdowwn.


58

� The DDB Contractoor submits thhe monthly eestimate bassed on a perrcentage appplied to eacch item that wwas progresssed

� The eestimate is allso sent to SSHA Design for approvall of design aactivities.� Using project doccumentation, the accuraccy of the perrcentage for each work item

will bee verified and the Area EEngineer willl be advised on acceptance.� Once the estimatee has been aapproved, thhe estimate sshall be proccessed in the

MCMSS system. � The PProgress Payyment Breakkdown will esstablish the percentage of each lummp

sum ittem, which wwill establishh the total peercentage off lump sum foor the projecct for that given month

� This vvalue will be entered intoo the MCMSS system as aa percentage of the contract lump ssum, which will finalize tthe process for generating the paymment to the contraactor.

� Quanttities will nott be entered into the MCCMS system. The quanttity or percentage calcullations will bbe done outsside the MCMMS during thhe evaluationnand approval of thhe Progress Payment Brreakdown

4-9 CPM Schheduling The requiirements for submitting aand monitoring the projeect schedulee will be in

accordannce with the project speccification, whhich will be aa modificatioon of the Speecification Section 1109 – CPM PProject Scheedule to meeet the speciffics of a design- build prooject. Delayys to the projeect because of design chhanges mustt be recovereed by the DBB contractorr and will nottresult in aa time extennsion. Desiggn phase acttivities will be listed in thhe schedule as well. Design activity pprogress shoould also be monitored too determine if delays to design drawwing approvaals / submittall will have thhe possibilityy of delaying construction. The SHAA Constructioon Project Engineerr should be aaware of dessign drawinggs scheduless and monitoor this with the associateed constructtion activitiess.

4-10 Inspectioon Responssibilities SHA’s Coonstruction PProject Manaagement staaff’s role is inn inspecting the work to

ensure thhat the construction is inn accordancee with the drrawings and specifications and SHAAstandards for quality. The same approach too inspection as a traditioonal project sshould be followed,, as the quality standards are the saame.

4-10.1 Inspector’s Role Regardingg field docummentation, thhe tracking oof quantities will be estaablished as

discusseed earlier with respect to the lump suum nature off the contracct. It is the SSHA’s Construcction Project Management staff’s ressponsibility to call out anny deficienciees inconstructtion to the DDB contractor that do nott comply withh the approvved plans annd specificattions. Althoughh the DB conntractor is ressponsible foor design, thee SHA still aapproves thee designs to assure thhat they commply with SHA standardss.

4-10.1a Plans and Specificaations The use oof design-buuild, allows ffor construction work too begin on oone portion oof the

project bbefore all off the designn has been reviewed and approved for the enntire projectt. Forexample, the Designn-Build Teamm may elecct to break tthe project into smaller separate deesign packagess or to employ a "rollingg" process oof design annd construction. Earthwoork, for exammple,could beegin after reeceipt of thhe MDE appproval for aa particular section and after all other requiremments are meet, but prior to final apprroval of the completed ddesign for thhat section. OOncedesign ppackages aree reviewed and approveed by the AAdministration, the DB CContractor wwill benotified in writing by the Lead DDesign Officee that their pplans are released for coonstruction. The


59

SHA Conplans. Thave bee

Specificaplans.

4-10.1b

control pimplemenpossible Issues orValuablesubmitted

the contrProject Mimmediatrequired

4-10.2

projects These reare reguthe Envirminimize

conditiondesign apersonneorder to e

correctivenon-com

regulatedthe Contin any acdetail inDecembe

nstruction PThis rolling den designed

The SHA ations for Co

Erosion aOne of th

lan and impntation, the and walk ther concerns w

e time and ded plans early

Similar torols. In the eManagementtely. The DBby the MDE

IndependAn Indep

that have sesources suclated by theronment (MDe project imp

As such,ns in the USand contract el, Contractoensure envir

The IEM e actions bypliance matt

The IEM d resources.ractor and M

ctivities whicthe Enviro

project’s er 2009

Project Engindesign and c

and approv

Constructioonstruction a

and Sedimee most impolementationSHAs Conste site to dete

with the ESCelays can bey during the

design-bid-event that tht staff shouldB Contractor

E inspector.

dent Enviropendent Envsignificant ench as tidal o

e U.S. Army DE) and subpacts to thes

, IEM’s areSACE/MDE documents

or and Regronmental co

will identify y the contracters, the IEM

monitors a Reports are

MDE & USACch will affect onmental M

whicstart.

neer will recconstruction ved for const

on Project Maand Materials

ent Control ortant eleme. In an effortruction Projermine if any

C plans shoue avoided byapproval pr

-build projecte MDE inspd promptly dr’s Team wil

nmental Movironmental nvironmentaor non-tidal Corps of En

bsequent pee sensitive e

e responsibWetland a

as well as ulatory Ageompliance.

areas of conctor. Althou

M must notify

and reportse available oCE. The IEMbid quantitie

Monitor Userch is provide

ceive a copyprocess wil

truction.

anagement s in conjunct

Plans nts in any p

rt to reduce pect Engineey problems o

uld be discusy comparing rocess.

ts, the MDE ector asks fo

document thel be respons

onitorMonitors (

al resources wetlands, w

ngineers (USrmits often iecosystems.

le for ensund Waterwaall other pencies throug

ncern, in advugh the IEM y MDE or the

daily workon-line to SHM is NOT aues or projectr Guide, Ma

ed to the IEM

y of this letl continue u

staff will stilltion with the

roject is the potential pro

er should obtor conflict exssed with thethe actual fi

inspector mor more cone changes asible for imp

IEM) may bwithin or a

wetland buffeSACE) and nclude requ.

uring that Say Permitsermits. The ghout the c

vance or aftis part of th

e USACE of

k in, adjaceHA project peuthorized to t costs. Thearyland Sta

M, Contracto

tter along wntil all aspe

l use the Stae released fo

soil erosionoblems with tain these plxist prior to te DB Contraield conditio

may require mtrols, the SH

and inform thlementing a

be assigneddjacent to ters, streamsthe Marylan

uirements to

SHA contraand are adIEM interac

onstruction

ter-the-fact, he SHA teamf non-compli

ent to or dersonnel, SHdirect the C role of the I

ate Highwayor and SHA

with the apprcts of the pr

andard or constructio

and sedimeE&S designlans as earlythe installatio

actor’s Teamns with the

modificationsHA Construche Area Engny changes

d to design-he project ls and floodpnd Departme

provide IEM

actors followdhering to Scts with the of the proje

possibly neem; in the caiance.

raining to tHA managemontractor or IEM is outliny Administra

Project Eng

rovedroject

on

ent and y as on.

m.

s to ction ineer

-buildimits.

plains ent ofM’s to

w the SHA’s

SHAect in

eding ase of

these ment,SHA

ned ination,

gineer prior tto the


60


4-11 Materialss ClearanceeSHA mainntains the reesponsibility for conducting Independdent Assurance (IA) testting

of materials and consstruction.

Materials must be cleeared on a mmonthly basis similar to a traditional DBB projecct. A process should be developed byy the DB Coontractor, Prooject Engineeer, and OMMT Area MateerialsEngineerr prior to the Notice to Proceed foor materials items to prrevent probleems in the early stages off constructioon. The DB Contractor wwill provide aan Engineerr’s Estimate (with prices) or acost breeakdown and schedule of paymennts to SHAA’s Project Engineer. The OMT Area Materialss Engineer wwill be respoonsible for aa breakdownn of the lummp sum items using the SHACategoryy Code numbbers (1000, 2000, 3000,, etc.).

SHA’s Prroject Engineer will keeep a record of all mateerial quantities submitteed for payment at each moonthly estimate by the DDB Contracttor. The OMMT Area Maaterials Enggineer will inforrm the Project Engineeer if all doccumentationn has been received ffor the mateerialssubmittedd on the moonthly estimaate. Unless otherwise indicated, materials submitted for soourceapproval will be notted by the OOMT Area Materials EEngineer using the latesst version oof the Materialss Frequencyy Guide. It iss important that all requuired documeentation be received at eachmonthly estimate forr materials ssubmitted foor payment. The traditioonal methodd for projectt final materialss clearance will be verry difficult too use with aa DB projecct due to unknown maaterialquantitiess for lump suum items.

4-12 Utility Deesign and RRelocationsTC Sectioon 3 in the CContract Documents outlines the Deesign-Buildeer’s requiremments

as it relaates to utilityy design andd relocation activities sppecific to the project. IIn general, ttheseresponsibilities includde, but are nnot limited too:

A) Designating a Utillities Coordinator to be tthe principal contact for all utility-relaated Projecct activities.

B) Identiffying potentiial conflicts, verifying loccations and aall other neccessaryinformmation aboutt utilities, andd providing mmonthly updates of the PProgress Scheddule reflectinng Utility Rellocations;

C) Designing and/or constructingg relocationss in accordance with thee Contract Documments, except where thee Utility Ownner is assigned such responsibility; aand

D) All cooordination wwith utility owwners requireed in connecction with thee Project or utility work

4-13 Respondding to RFI’ssDB contraactor’s RFI sshould be addministered iin the same way as a traaditional projject.

The RFI is logged annd tracked viia the partneering resoluttion chart. HHowever, theere should beefewer RFFIs on a desiign-build prooject since design issuess will be solvved by the DDB contractor’s engineerr.

4-14 Requesteed Contractt ChangesDue to thee integrationn of the final engineeringg and construction on a ddesign-buildd

project, ssituations whhere a changge order may be approppriate and neecessary maay be differennt on a design--build projecct than on a traditional deesign-bid-buuild project wwhere the SHHA has completeed the designn prior to biddding the contract. The general proccedure and approval process ffor change oorders shall remain as defined in Coonstruction DDirective 072220.100.23;

61

howeverand recethe addit

, the District

procedur

eive concurreional work a

t Engineer or

res shall be f

1) In theAdminof theimmed

If the or Direadditiocalend

2) The DreviewreviewwithinDesigadmin

The Dthe issis not Desigthe coconcu

If addapproestimathe tothan $total cOfficefor enthe adcontrafor iteoverh

Once Direct

3) The Da respif warrevent betwethe Di

ence from thauthorization

r Director of

followed in d

event that anistration or contract, thdiately notify

Design-Buildector of the onal compendar days of r

Director of thwing any issuwing a reque 14 calendan Office sha

nistering offic

Director of thsue with thewithin the sn Office sha

ontract admiurrence in th

itional compoved by the Dated to be gtal contract

$50,000, unlcontract bid, e. As part ofgineering an

dditional woract administems includingead.

approved, ttor of the con

District Enginponse to theranted and iof a disagre

een the Distrirector of the

he Director on prior to initi

the contrac

determining

an issue is idthe Design-e Assistant y the Design

der submits contract admnsation to threceipt from

e Lead Desues potentia

est for additior days. If ad

all notify the ce of the dat

e Lead Des responsiblecope of the

all prepare a nistering offe request fo

pensation maDeputy Admreater than obid amount.ess the chaapproval ma

f the memorand an indeperk shall be pering office tg, but not lim

he memoranntract admin

neer or Direc Design-Buinclude the a

eement in thrict Engineere Lead Desig

of the Lead Diating the ch

t administer

the need for

dentified on Builder, whiDistrict Engi

n Project Ma

a request foministering ohe Director o

the Design-

ign Office orally outside oonal compendditional timeDistrict Engte when the

ign Office ore design areDesign-Buildmemorandu

ice providingor a change o

ay be warraninistrator/Chor equal to $ If the cost fnge order toay be providandum, an inendent consrovided. Thto determine

mited to, time

ndum shall bnistering offic

ctor of the colder and/or c

appropriate de need for ar or Director gn Office, th

Design Officeange order

ing office sh

r the addition

a Design-Buch may be cineer for Conager for the

or a change office shall foof the Lead D-Build contra

r designee sof the scope nsation. A re is needed,ineer or Direresponse w

r designee sa or areas tod Contract. um to the Dig its recommorder.

nted, the mehief Enginee$50,000 or afor the chan

otal on the coded by the Dndependent

struction cosis cost estim

e the need foe extensions

be provided ce.

ontract admicontinue witdesign officeadditional co

of the contre issue shal

e in establishprocess.

hall consult w

Thnal work Aut

uild project, considered onstruction ore Lead Desi

order, the Dorward any rDesign Officeactor.

shall be respof the contr

response sha, the Directoector of the c

will be provide

shall coordinao determine The Directostrict Engine

mendation an

emorandum er for Operata cumulative ges is estimontract exce

Director of theman hour at estimate, a

mate shall beor additional s, mobilizatio

to the Distric

nistering offh the change in any negompensation

ract administll be elevate

hing the neewith

he following thorization:

either by theoutside the sr designee sign Office.

District Enginrequest for e within 7

onsible for ract and for all be provid

or of the Leadcontract ed.

ate the revieif the issue

or of the Leaeer or Directnd/or

must be ions for chacost of 5%

mated to be leeeds 5% of the Lead Desi

and cost estias applicablee discussed compensat

on, and

ct Engineer

fice shall proe order procotiations. In, in part or totering office d to the Dep

ed for

escope shall

neer

ded d

ew of is or d tor of

nges of ess he gn mate e, for with ion

or

ovide cess n the otal, and

puty


62

Adminnistrator/Chief Engineer for Operatioons to make a final deterrmination prrior to any reesponse to the Design-BBuilder.

4-15 Project Isssues When isssues arise thhat can havee an adversee effect on tthe project bbudget, scheedule

or completion date, aa Task Forcee is to be formed in ordeer to resolvee project issuues as quickkly as possible.. These typpes of issuess typically innclude interppretation to tthe scope oof the project and contract requirementts that cannoot be resolved through tthe normal PPartnering mmeetings. This is not intended to replaace the Partnnering Proceess nor the IIssue Resoluution processs, but is a toool to supplemeent the Partnnering Proceess in order to keep the Design-Build project mooving forwarrd.

If the lead division’s PProject Enginneer feels that a Task Force is requuired, they shhouldcontact their represeentative fromm the ICD to go over the issue. Thee representattive from thee ICD will brief the ICD Division Chief aand determinne if a Task Force is neeeded.

The Taskk Force memmbership will vary for eeach issue. The numbeer of Task FForcememberss should be kept to a miinimum and only containn those key individuals tthat are criticcal to resolve the issue. MMembers mayy include:

ADE ConstructionArea EngineerOOC Reggional Consttruction EngiineerSHA Project Engineeer – Construcction SHA Project Engineeer – Design Innovativee Contracting Division Liaison Design Liaison from ooffice where issue residees Design-Build Project Manager annd other design-build teaam memberssThird Partty Represenntatives & Loocal Municipality Repressentatives, if needed

4-16 Tracking Design Submittals, Greenline Reevisions andd As-BuiltsThe lead division’s PProject Enginneer is respoonsible to trrack design submittals. This

should include wheen submittals are submmitted, wheen comments are provvided and wwhen submittalls are resubmitted andd ultimately approved. Tracking tthe MDE submittal proocessshould also be includded and traccked separattely, as well as any needd for redline revisions.

The trackking of desiggn submissiions and theeir timeline is a tool thee Design Prroject Engineerr should usee to ensure ssubmittals aare being revviewed and approved inn a timely fasshion and in acccordance wwith the conttract documeents. This ttimelime will also provide documenttationfor the enntire design submittal prrocess to be used if dispputes arise.

The Desiggn-Build Teaam is responnsible to provide a compprehensive sset of plans aat the completioon of the prroject that inncludes all aapproved drrawings, inccluding redlinne revisionss and any greeenline “As-Buuilts”. As-Built is a metthod to makke minor fieldd changes tthat don’t reequiremajor deetail in orderr for the contractor to coonstruct the change, nor does it reqquire a revieew byan envirronmental aagency. Tracking As--Built changges during the constrruction phasse is necessarry to ensuree that all Ass-Built changges are included in the final, compprehensive sset ofplans. TThe Design-Build Team will providee a cost asssociated with the effortss to producee As-Builts in which paymment should be held in retainage until the As-BBuilts are suubmitted andd the lead design office is satisfied.

4-17 Final Accceptance annd Project CCloseout As the prooject nears ccompletion ffocus shouldd be placed oon the punchh list items that

have beeen monitoredd during the inspection pprocess. The constructioon project mmanagementt staff


63

is still resitems. Isas the puwork is c

1. Changzone 2. Changculverts,structurestructuraalignmen3. Changstructure4. Additiospecial p5. Settle6. Changplans. 7. Additioproducts8. Use oaccordanprovision9. Value proposa10. Singcompleticumulatiof work) more tha11. Chandecreasecontract more. 12. Chandecreasewhen all are cons13. Orde14. Chan

sponsible forssuing substunch list andcompleted in

Major

ges in geom

ges to the de retaining w

es which affeal load capacnt, etc. ges to permae or type on of new spprovisions. ment of a coges to stagin

on of patents. of foreign stence with thens. engineeringls. le changes aon by more ve changes affecting co

an 30 days. nge resultinge in the costunit price ite

nge resultinge in cost of $ items affect

sidered. ers for Forcenges which a

r generatingtantial compld other docu accordance

Change

metric design

esign of bridalls, or otherect hydrauliccity, streamb

anent pavem

pecifications

ontractor’s cng or the traf

ted and prop

eel and iron n Buy Americ

g or cost-red

affecting conthan 5 days(including s

ontract comp

g in an incret of an individem by $50,0

g in a total in$100,000 or ted by the ch

e Account Waffect enviro

a punch listletion will bements that pe with the ap

Table IV-2

APPR

Or clear

dges, box r

c or bed

ment

s and/or

laim. ffic control

prietary

not inca

duction

ntract s or suspension pletion by

ease or dual

000 or

ncrease or more

hanges

Work onmental

t and followie the same apertain to thepproved plan

2 CHANGE A

OVAL MATRA

Non ExemProjects

FHWA

FHWA

FHWA

FHWA

FHWA FHWA

FHWA

FHWA

FHWA

FHWA

FHWA

FHWA

FHWA FHWA

ng through oas a traditione final inspecns.

APPROVAL

RIXAgency Authpt Exempt

On

S

S

S

S

SS

S

FH

S

S

S

S

SFH

on the compnal design-biction must e

L MATRIX

horized to Apt Projects, NHS

SHA

SHA

SHA

SHA

SHA SHA

SHA

HWA

SHA

SHA

SHA

SHA

SHA HWA

pletion of all id-build proj

ensure that a

pprove ExemptProjectsNon-NHS

SHA

SHA

SHA

SHA

SHA SHA

SHA

FHWA

SHA

SHA

SHA

SHA

SHA FHWA

ject all

ts, S


64

mitigatio15. Addiprovision16. Revi17. Revi18. Chanextensiothe projeFHWA. 19. Chanthe Affirm20. Chan(guardrasupportsitems whControl M

on or committion of, or rens. sions to accsions to Rignges to the s

on of the conect documen

nges that elimative Actionges to safe

ail, bridge rais, etc.) and/ohich deviate Manual

tments. evisions to, w

cess control ht-of-Way limscope of wo

ntract limits snts approved

minate workn Plan.

ety hardwareils, breakawaor changes tfrom SHA T

warranty

mits rk or

shown in d by

k part of

eay sign o MOT

Traffic

FHWA

FHWA FHWA FHWA

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65

Maryland State Highway Administration Design-Build ManualAppendix A – Abbreviations and Definitions

AAPPPPEENNDDIIXX AAAAbbbbrreevviiaattiioonnss aanndd DDeeffiinniittiioonnss

66

Maryland Staate Highway AAdministrationAppendix A

De– Abbreviatio

esign-Build Mons and Defin

Manualnitions

Appenddix A. Abbbreviationss and Definnitions

Abbreviaations

AAP .................... Affirrmative Actioon PlanACEC ................. Ameerican Counncil of Engineeering Comppanies AGC.................... Asssociated Genneral ContractorsATC .................... Alteernative Techhnical Conceepts BAFO .................. Besst and Final OOfferBTC .................... Basse Technicall ConceptCFR ................... Codde of Federaal Regulationns CI ........................ Connstruction InsspectionCM ...................... Connstruction MaanagementCPM ................... Critical Path Meethod CSP .................... Commpetitive Sealed Propossals COMAR .............. Codde of Maryland Regulatioons DB ...................... Dessign-Build DBB .................... Dessign-Bid Builld DBE ................... Disaadvantaged Business Enterprise DBIA ................... Dessign Build Insstitute of Ammerica DBLB .................. Dessign-Build Loow-Build DBM ................... Dessign-Build Manual DBT .................... Dessign-Build Teeam DNR.................... Deppartment of NNatural Resoources DQCP ................. Dessign Quality Control PlannEEO ................... Equual Employmment Opportuunity EPA .................... Envvironmental PProtection AAgency FAR .................... Fedderal Acquisiition Regulations FHWA ................. Fedderal Highwaay Administrration, US Deepartment oof Transportaation FR ....................... Finaal Review GWAP ................ Goaal Waiver Addvisory Paneel IA ....................... Indeependent Asssurance ICD ..................... Innoovative Conttracting DivissionICPM .................. Initial Critical Paath MethodIFB ...................... Invitation for Bidds ISTEA ................. Inteermodal Surfface Transpoortation Efficciency Act off 1991LOD .................... Limits of DisturbbanceMBE.................... Minority Busineess Enterprisse MOT ................... Maintenance off Traffic MDE ................... Marryland Department of Ennvironment

67


De– Abbreviatio


Manualnitions

MDOT ................. Marryland Department of TransportationnMPO ................... Mettropolitan Plaanning Orgaanizations MSHA ................. Marryland State Highway AddministrationnMUTCD .............. Mannual on Unifoorm Traffic CControl Deviices NEPA.................. National Environmental Pollicy Act NOI ..................... Notices of Intennt NPDES ............... National Pollutaant Dischargge Eliminatioon System NTP ................... Notice to Proceeed OHD ................... Office of Highwway Developmment OMT ................... Office of Materials and Technology OOC ................... Office of ConstrructionPI ........................ Preliminary InveestigationPM ..................... Projject Manageer PS&E .................. Planns, Specificaations & Estimate QA ..................... Quaality Assurannce QC ..................... Quaality Control RCL .................... Redduced Candiidate ListRFQ ................... Reqquest for Qualifications ROW .................. Right(s)-of-WayySAFETEAA-LU ..... Safee, Accountable, Flexiblee, Efficient Transportatioon Equity Actt: A

Leggacy for Useers SEP-14 ............... Speecial Experimmental Projeect No. 14 SEP-15 ............... Speecial Experimmental Projeect No. 15 SFR .................... Semmi-Final Revview SHA .................... Statte Highway AAdministration SOQ .................. Stattement of Qualifications SP’s .................... Speecial Provisioons SPI’s ................... Speecial Provisioon Inserts SSCM ................. Standard Speciifications forr Constructioon and Materrials SWM ................... Storrmwater management TEA-21 ............... Transportation Equity Act foor the 21st CCentury TC ....................... Terms and Connditions TRC .................... Tecchnical Revieew Committeee WWC .................. Watterway Consstruction

68


De– Abbreviatio


Manualnitions

Definition“Addenda

modificat

contracti

Administunder the

obtain an

indirectlyvoting se

alternativand any work.

requiremstructurehaving balignmen

combinatdesign eother inta

completiolanes, paThe des(>30%) obut the adesign, le

be retainPROJEC

tions to the p

“Adminisng agency.

“Adminisration and he direction o

“Advertisn RFQ and s

“Affiliate”

A) Any PcontroPrinci

B) Any PdirectPrinci

For purpoy, of the powecurities, by

“Alternatve to the BT

other modif

“Base Tements set fores, and interbeen termednt for the pro

“Compettion of value

excellence, mangibles bey

“Concepon (PI level)avement widign may neof detail to eamount of deaving the fi

“Constru

ns a/Addendum

ned by the CT.

provisions of

stration” me

stration’s Phaving directof the State H

sement” mesubmit an SO

” means:

Person that dols, is contropal Participa

Person for whly or indirectpal Participa

oses of thiswer to causecontract, by

tive TechnicC. ATCs incfication of t

echnical Corth in the Scrchanges (ind the Base

oject and sta

titive Sealee and price material andyond price. C

tual Plans”), that convedths, pedesteed to be destablish rigdetail depicteinal design d

uction Subc

m

Design-Bu

” means f the RFQ af

eans the St

Project Mat supervisionHighway Adm

ans the pubOQ.

directly or indolled by, or isant; or

hich 10% ortly, beneficiaant, or (3) an

definition, te the directio

family relati

cal Concepclude any prohe project a

oncept (BTcope of Wo

ncluding typie Technical ys within the

d Proposaloffered by

d systems qCPS is also r

” means prey the basic rian / bicycleeveloped byht-of-way need on the adetails to the

contractor

supplemenfter the Adve

tate Highwa

anager

”ilder that w

” men of the admministrator.

blic announc

directly, thros under com

r more of theally or of recony Affiliate u

he term “coon of the maionship, or o

t (ATC)” meoject alignmas defined i

TC)” meansork and in ocal sectionsConcept (

e proposed A

ls (CSP)

ntal written additions, deletions, and ertisement ddate of the RRFQ.

y Administrration (SHA)), the PROJJECT

eans the engineer rrepresenting the ministration aand execution of the Conntract

cement inviting prospecttive Proposeers to

ough one or more intermmediaries, mmon controll with the Prooposer or anny

e equity interrest in such Person is heeld ord, by (1) thhe Proposerr, (2) any nder part (AA) of this definition.

ntrol” meanss the posseession, direcctly ornagement oof a Person, whether thrrough

otherwise.

eans any concept that iss proposed aas anment other than described in the RFPP/IFB

n the requirrements of tthe scope oof the

s the designn concept aand performmance other parts oof the RFP/IIFB for roaddway,s and geomeetric and strructural desiigns), BTC). The BTC followws the prefeerred Administratioon right-of-wway.

” mmeans a selection proccess based on aa Design-BBuild Team. The processs gives credit in

quality, funcctional efficieency, team experience,, and referred to aas Best Value.

reliminary pplans, developed to thee 30% stagge ofintent and pparameters oof the projecct (i.e. numbber of

e provisionss, entrance loocations, inttersections, etc.).y the Prelimminary Desiggn Team too a greater leveleeds, utility relocations and environnmental imppacts,advertised pplans shouldd reflect onlyy a 30% levvel of e Design-Buiilder.

means a suubcontractorr on the Prooposer’s Teaam towill be involved in the actual connstruction of the

69


De– Abbreviatio


Manualnitions

“ContracDesign-Bto, the peThe Conagreemethe Worconstitute

Administof the PR

the Contr

designer

defined icertified.

PROJECdefects a

Terms aContract include sAccident provided

independtesting pAdministAdminist

approval

companyor combi

Builder settinerformance ontract will

ents, and Chk in an ace one instrum

“Contrac“Design-

ration contraROJECT und

“Design-ract with the

“Designer that leads t

“Disadvain 49 CFR

“Final ACT has beenand warranty

“Invitatioand ConditiDetails; and

such items Data, Test to the Desig

“Independent (of the procedures, ration’s) useration, or a f

“Permit” process.

“Person”y, joint ventunation there

“Principa

ct” means ng forth the of the Work,include the

hange Ordercceptable mment.

ct DocumenBuild (D-Bacts with a sder a single

Builder” me Administrat

er” means he team furn

antaged BusPart 26. Fo

Acceptance”n completedy obligations

on for Bidsons; Speciad the Proposas Soil, St

Pit Logs, angn Build Con

ndent AssuDesign-Bui

equipment ced in the Afirm retained

means bo

” means aure, voluntaryeof.

al Participan

the written obligations

, the furnishiContract

rs that are ranner, inclu

nts” means t

B)” means single firm thcontract with

eans the Petion to desig

a Principal nishing or pe

siness Enteor the purpo

” means wd in accordas, if any, and

(IFB)” inclal Provisionsal Form Pactormwater Md other inforntractor.

urance (IA)lder or Admcalibration, aAcceptance d by the Adm

oth the exec

any individuy associatio

nt

agreementof the partie

ing of labor aDocuments

required to cuding autho

the documen

a projecthat has resph the Admin

erson selectgn and const

Participanterforming the

erprise (DB

” means a

oses of this

ritten confirance with th has been a

udes the Cns and Specket. Appen

Managemenrmation dete

)

t between tes thereundand materia

and any complete theorized exten

nts identified

delivery monsibility foristration.

ted pursuanttruct the PRO

, Specialty e design of t

E)

” means ministration sand qualificaProgram, in

ministration, w

cuted resou

ual, firm, cn, partnersh

any of the fo

the Adminisstration andd theder, includingg, but not limmited ls, and the bbasis of paymment. amendmentts, supplemmentale design and construction of nsions thereeof, all of wwhich

d as such in the RFP.

methodologyy by whichh ther the design and construuction

t to the RFPP that enterss intoOJECT.

Subcontracctor, or in-hhouse the PROJECCT.

” means aa for-profit ssmall businesss as s PROJECT, all DBE's must be MMDOT

rmation by the Adminisstration that thee Contract, with the exxception of llatent

accepted.

Contract Provvisions; Genneral Provissions; ecial Provission Insertss; Miscellanneous dices are prrovided, wheen appropriaate, tot and Strucctural Boringg Logs, Traaffic /

ermined to bbe necessaryy or desired to be

activities thhat are ann unbiased andstaff) evaluaation of all thhe samplingg andations of peersonnel (Deesign-Builder’s orncluding thee Design-Buuilder’s QC. The will perform IA.

urce agencyy action and its assocciated

corporation, company, limited liaability hip, trust, or unincorporaated organizaation,

llowing entitties:

70


De– Abbreviatio


Manualnitions

A) The P

B) If the form o

C) Any PPropo

“PROJECDesign-Bwith the C

when exe

PROJECfirm on t“Offerer”

Administthat all mperform audits, ccontrol aand PROon-site everificatiooversightacceptan

Builder, DContract and consreview; ddone for

Builder’s procedurreviews, Administ

submittedmost hig

Administthe StateproposalPersons

Builder and aContract Do

“Proposaecuted and s

“ProposeCT in responthe Reduced” under COM

“Qualityration necesmaterial incsatisfactorily

checks andand working OJECT site; equipment, con and QC tt (by the nce, final ins

“QualityDesigner, surequiremen

struction; cadocument cothese purpo

“Qualityoverall qua

res to assuinspection

ration.

“Reduced SOQs thahly qualified

“Request

Proposer;

Proposer is of associatio

Person holdinoser.

CT

ration seekie. The RFP s. The Stepwho are on

” means all other Wocuments.

al” means tsubmitted in

er” means nse to this Rd CandidateMAR, Title 2

Assurancessary to proorporated iny for the pureviews; ovplan reviewoversight of

calibration oftesting; and Administratipection and

Control (Qubcontractor

nts. QC inclulibration and

ontrol; produoses. Quality

Plan” meaality programure and docs, testing,

d Candidatat the Admin to perform t

t for Prop

a joint ventuon, any joint

ng (directly o

the improvork product t

he offer (in n the prescrib

a Person RFQ. In the ce List (RCL)1.

e (QA)

ng Proposaincludes: Stp Two requthe Reduce

” meovide confiden the Work,rpose intend

versight, inclw; material Vf manufacturf test equipmdocumentation), IA tesFinal Accep

QC)” means rs, producerudes design d maintenanction proces

y Control als

ans the Dem and assoccument qua

internal c

te List (RCnistration dethe Work.

posals (RF

ure, partnersventurer, pa

or indirectly)

vements to to be provid

response tobed format a

submitting context of re) that subm

eans all plaence that a, all equipmded. Actionsluding spec

Verification Sring/processment, acception of QA acsting, Admiptance.

the total ofrs, or manufreviews and

nce of samplss control; aso includes d

esign-Builderciated activiality of desicommunicati

CL)

ls to be usetep One RFQuest for techd Candidate

” means etermines, th

P)

ship, limited liability commpany, or othher artner, or meember; and/oor

) a 15% or greater intereest in the

be designeed and connstructed byy the ed by the DDesign-Buildeer in accorddance

o an RFP) of the Proposser for the WWork, and on the pprescribed foorms.

a Statemennt of Qualiffications for the esponses to the RFP, thhe term meaans a

mits a Proposal, and is the same aas an

anned and systematic actions byy thell Work commplies with tthe Contractt and

ment and alll elements of the Workk will s include, but are not limited to: deesign ification commpliance revviews, docuument

Sampling andd Testing att production sitesing facilities and equipmment; oversigght of

ptance or rejejection of mmaterial baseed on ctivities. Quaality Assurannce also inclludes inistration’s Project Manager’s wwritten

f all activitiees performedd by the Deesign-facturers to eensure that a product mmeets d checks; insspection of mmaterial hanndlinging and testting equipmeent; workingg plan nd any inspeection, samppling; and teesting

documentatioon of QC effforts.

r’s plan forr implementting the Deesign-ties, includinng Design-BBuilder’s QCC andgn and connstruction aactivities thrroughons, and necessary interfaces with

the list of those Propposers that havehrough evaluuation of thee SOQs, aree the

” means a written solicitation issued byy the ed to identifyy the Proposser offering tthe best value toQ and the SStep Two reqquest for tecchnical and pricehnical and price propoosals will bee issued onnly toe List (RCL).

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Maryland Staate Highway AAdministratio n Deesign-Build MManual Appendix A – Abbreviatioons and Definnitions

“Requestt for Qualiffications (RRFQ)” meanns the writteen solicitatioon issued byy the Administration seekinng SOQs to be used to identify and create a Reeduced Canddidate List (RCL) of the moost highly quualified D-B PProposers too receive thee RFP for thee PROJECTT.

“Stakehoolder” Indivviduals andd organizatiions involveed in or aaffected byy the transporttation projecct, including ffederal/statee/local officiaals and the ggeneral publ ic.

“Statemeent of Quaalifications (SOQ)” mmeans the informationn prepared and submittedd by a Propooser in respoonse to this RFQ.

“Work” mmeans the fuurnishing of aall labor, maaterial, equippment, and oother incidenntals necessarry or convennient to the ssuccessful coompletion off the PROJEECT and the carrying out of all the duuties and oblligations imppose

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SHA Design-Build Manual January 2013Maryland State Highway Administration Design-Build Manual •...

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