Geotechnical Information Practices in Design-Build Projects (2012)

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108 APPENDIX B Missouri Dot Sample Request for Qualifications for Emergency Slope Repair/Stabilization Design-Build Project The sample RFQ was developed by Kevin McClain, PE of the Missouri DOT as part of his master’s thesis in construction engineering at Iowa State University (McClain 2008). Mr. McClain is geotechnical engineer at MoDOT. Introduction The Missouri Department of Transportation (MoDOT) issues this Request for Qualifications (RFQ) to seek design-build teams to perform emergency slide repairs and/or slope stabilization for state roads and Interstates. The purpose of the RFQ is to short- list or prequalify design-build teams. Prequalifying teams before a roadway slide occurrence will give MoDOT a list of qualified design-build (d-b) teams that can design and construct economical and innovative slope repairs. The prequalifying of d-b teams will also save valuable time in the procurement and selection process, because time is a valuable asset to the public as well as the department. Design-build offers the opportunity to provide greater innovation and more productivity generated by both design and construction than design-bid-build. Design-build also provides the opportunity for savings in project delivery time. Slide repair projects picked for design-build will be projects that fit the following criteria: 1. Slides that have taken out the roadway or rendered it unsafe for the public to continue to use the roadway in a high traffic volume area where detours are deemed too long and time consuming to the public. 2. The slide requires technical or unique design and construction, such as tiebacks, soil nails, secant or tangent walls, etc. Conventional slide repairs or slope stabilization will not work due to foundation conditions, terrain, limited right-of- way, adjacent streams, railroads, or other structures. Design-build teams for slope repairs/stabilization can consist of the following: 1. General Contractor/Geotechnical Specialty Contractor/Engineering Consulting Firm 2. General Contractor/Geotechnical Specialty Contractor/Geotechnical Engineering Consulting Firm 3. Geotechnical Specialty Contractor/Engineering Consulting Firm 4. Geotechnical Specialty Contractor/Geotechnical Engineering Consulting Firm 5. Geotechnical Specialty Contractor (with a design department or element) 6. Integrated design build firm (with experience in slide repair/slope stabilization). Note: Plans and design calculations for future RFPs must be stamped by a Professional Engineer registered in the state of Missouri. Submitting Proposals Sealed submittals should be marked: Statement of Qualification Slope Repairs and Stabilization PO Box 270 Jefferson City, Missouri 65102 Proposals should be submitted by (date). The sealed submittal shall contain one original Statement of Qualification (SOQ) with seven copies of the SOQ. The Introductory letter shall contain the signature of a design-build team member who is autho- rized to represent the team and obligate the team to the SOQ. By submitting an SOQ the design-build team becomes bound to the requirements in the SOQ. Faxed submittals will not be accepted. Proposers must submit the SOQ in writing and must respond to the entire requirement stated in the RFQ.

109 Requirements for Content in Statement of Qualification SOQ format, style, and length A SOQs shall be organized as follows: Letter of introduction 1.1 Joint Team and Individual Company’s Experience in Slope Repair/Slope Stabilization 1.2 Design-Build Experience of the Team 1.3 Organization of the Team Explaining Primary Roles and Paths of Communication 1.4 Regional Experiences 1.5 Safety Record/Program 1.6 Incidents of Litigation and/or Dispute 1.7 Compliance with MoDOT DBE Requirements The stated criteria in the SOQ should be concise and succinct. Lengthy narrative with extraneous information is discour- aged. The Submittal must be formatted for 8.5” x 11” paper. Minimum font size is 11 point; however, 10 point text may be used within graphs or tables. Charts and other graphical information may be placed in foldouts not to exceed 11” x 17”. Letter of Introduction The letter of introduction shall contain the following information: 1. The design-build team’s interest to have the potential to propose on future MoDOT slide repair projects chosen for design-build. 2. Statement disclosing receipt of all RFQ addenda if issued. 3. Statement that the key personnel noted in the SOQ are dedicated to meet MoDOT schedule and quality expectations. 4. Statement that all entities in the design-build team will comply with MoDOT’s DBE requirements and MoDOT’s non- discrimination policy. 5. Statement that the design-build team will comply with all applicable local, state, and federal laws. Scored Evaluation Criteria Key Personnel and Processes (500 Points) 1. Describe in detail the organizational structure of the design-build team and entities that compose the team. Provide details of the teaming arrangement and lines of communication. Also state any team members who will have financial responsibility for future slide repair or slope stabilization projects, along with liability limitations. 2. Identify the following key personnel in the design-build team. • Design-Build Project Manager—State the person who will be responsible for aspects of the project that includes but is not limited to overall design, construction, contract administration, quality assurance and quality control, and public information. State the person’s authority within the design-build team. Discuss previous slide repair/slope stabilization projects for which the person acted as a design-build project manager. • Design Project Manager or Engineer—State the person who will be responsible for the design of the project and ensuring that it is complete and that it meets all design requirements. State similar experience the person has had in slide repairs or slope stabilization projects. List the relevant experience, professional registrations, education and other qualifications that are relevant to slide repair and slope stabilization. Identify the person’s experience working with state, federal or AASHTO regulations or guidelines. • Construction Project Manager—State the person or persons who will be responsible for construction of the proj- ect. List slide repair project and/or slope stabilization projects in which the person had duties as Construction Project

110 Manager. Discuss other experience, professional registrations, education and other qualifications. State the person’s experience in construction inspection, quality control and quality assurance and materials testing. • Project Engineer and/or Other Key Personnel—State other key members of the design-build team. State expe- rience in slope repair and/or slope stabilization projects. Also state experience working with state, federal, and AASHTO specifications and guidelines. 3. List any specialized equipment and techniques used to construct slide repairs and slope stabilization projects. 4. List methods the design-build teams have for schedule “crashing” to attain planned completion dates. MoDOT Scoring Criteria A. The design-build team’s organizational chart and organization description clearly depict the structure and paths of communication between members of the team. Lines of management and responsibility are clearly shown, dem- onstrating that the design team can design and construct slope repairs and slope stabilization quickly and within a reasonable budget. (200 Points) B. The design-build team’s financial statement, staffing, specialized equipment and techniques exhibit that the team can effectively design and construct slope repairs and slope stabilization projects. (150 Points) C. Key personnel demonstrate experience on slope repairs and slope stabilization projects. (75 Points) D. Key personnel demonstrate unique qualifications to design and construct slope repairs and stabilization projects. (75 Points) Design-Build Teams Past Performance (200 Points) 1. List recent work history on the Slope Repair/Stabilization Experience form in Exhibit B. If the team is organized just to design and construct MoDOT slide repairs, list slope repair/slope stabilization project completed by each firm in the team for the last 5 years. Include a contact name, current address, telephone number(s) and fax number. 2. Provide examples where the design build team and/or individual firm have completed projects ahead of schedule and / or below budget. Explain how this was accomplished. MoDOT Scoring Criteria A. The design-build team and member firms have demonstrated management and organizational capability to effec- tively design and construct slope repair projects. (100 Points) B. The design build team and or member firms have shown, in completing past slope repair and slope stabilization projects, little or no schedule growth with methods to avoid or work around delays. (100 Points) Quality Control Program (150 Points) • List design-build team’s and/or member firms’ guidelines and procedures for quality control and quality assurance. (75 Points) • The experience level of the design-build teams and/or member firms exhibit sound QC/QA procedures that produce quality projects. (75 Points) • Design and Construction Managers experience have shown excellent QC/QA practices and methods. (75 Points) Safety Program (150 Points) 1. Provide a summary overview of the design-build team’s safety program. 2. Describe construction side of the design-build team’s safety record during construction for the last five years. List all OSHA safety violations or citations. Submit the name and experience of the design-build team’s safety officer. A. Design-build team and member firms possess an established and successful safety program. (60 Points) B. Design-build team and member firms have a minimum of lost time accidents. (50 Points) C. Design-build team’s safety officer has adequate experience to manage the team’s safety program. (40 Points)

111 Disadvantaged Business Enterprises As a recipient of federal funds, MoDOT is required to comply with Title VI of the Civil Rights Act of 1964 which states: “No Person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.” So MoDOT hereby notifies all potential design-build teams for slope repair/stabilization projects, Disadvantaged Business Enterprises will be provided full opportunity to submit SOQs and will not be discriminated against on the grounds of race, color, sex, or national origin in consideration for prequalifying design-build teams for the purpose of designing and construct- ing slope repairs. Changes in Key Personnel or Firms within a Design- Build Team MoDOT requires the design-build team to resubmit the SOQ with all pertinent changes of personnel and firm changes. The SOQ will be reevaluated to keep the design-build team on the active prequalified list for slope repair/stabilization design-build projects. Statement of Qualification Evaluation and Short Listing Submitted Statements of Qualifications are checked to determine if the SOQ is responsive. MoDOT may exclude any SOQ that is not responsive to the RFQ. MoDOT will then evaluate and score the SOQ accordingly by a Technical Review Commit- tee (TRC) composed of representatives from MoDOT Divisions or Sections that will be engaged in the slide repair or slope stabilization process. The scored SOQ must receive a minimum score of 750 points to qualify for team short listing. Confidentiality and Security Due to the need for absolute confidentiality, all documents related to the prequalification process shall be stored in a locked room and cabinet during non-work hours. Prequalification documents will not be available to the public or MoDOT employees not involved in the prequalification process. Exhibit A: Design-Build Team Information Name of Design-Build Team: _____________________________________ Year Established: ______________________________________________ Federal Tax ID No.: _____________________________________________ Contact Person for the Design-Build Team: __________________________ Contact Telephone No.: __________________________________________ Fax No.: ______________________________________________________ Authorized representative to bind the D-B team: ______________________ Title: ________________________________________________________ 1. Business Organization Type (check one): …… Corporation. Year and state of incorporation —————————— (Complete Sections 1–6) …… Partnership (Complete Sections 1–6 for each member.) …… Joint Venture (Complete Sections 1–6 for each member.) …… Other (describe): ————————————————————— (Complete sections 1–5 for each member.)

112 2. Design-Build Team Office Address: ——————————————— 3. Bonding Capacity: Total: _______________________________ Available: ————————————————— 4. If the design-build is a joint venture, partnership, or other type of joint organization, state the name, role and amount of financial liability of each firm of the D-B Team. Provide the information requested below. Member Firm Name Role Financial Liability 5. Are any of the member firms of the design-build team under investigation from federal government or any state agencies? If, yes explain the situation: I certify the information contained in the Exhibit is true and correct, and I am the design-builds team’s Official Repre- sentative and Respondent: By: __________________________________________________________ Print _________________________________________________________ Name: _______________________________________________________ Title: ________________________________________________________ Date: ________________________________________________________ Exhibit B—Slope Repair/Stabilization Experience Firm Name: ————————————————————————— Indicate one: ————————————————————————— Integral or Self Contained Design-Build Firm ——————————— Construction Firm —————————————————————— Design Firm ————————————————————————— Provide information on slope repair or slope stabilization projects from the last five years. If the design-build team is specifically organized to design and construct slide repairs on MoDOT projects, then each member firm shall provide design or construction information on slope repair/stabilization projects. Also include total project costs with change orders and claims issued by the firm(s). Please include contact name, current address, telephone number(s), and fax number of each project listed. Additional sheets may be used if necessary.

NEED SPINE WIDTH TRANSPORTATION RESEARCH BOARD 2012 EXECUTIVE COMMITTEE* OFFICERS Chair: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Vice Chair: Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY WILLIAM A.V. CLARK, Professor of Geography and Professor of Statistics, Department of Geography, University of California, Los Angeles EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh JAMES M. CRITES, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX PAULA J. C. HAMMOND, Secretary, Washington State DOT, Olympia MICHAEL W. HANCOCK, Secretary, Kentucky Transportation Cabinet, Frankfort CHRIS T. HENDRICKSON, Duquesne Light Professor of Engineering, Carnegie-Mellon University, Pittsburgh, PA ADIB K. KANAFANI, Professor of the Graduate School, University of California, Berkeley GARY P. LAGRANGE, President and CEO, Port of New Orleans, LA MICHAEL P. LEWIS, Director, Rhode Island DOT, Providence SUSAN MARTINOVICH, Director, Nevada DOT, Carson City JOAN McDONALD, Commissioner, New York State DOT, Albany MICHAEL R. MORRIS, Director of Transportation, North Central Texas Council of Governments, Arlington NEIL J. PEDERSEN, Consultant, Silver Spring, MD TRACY L. ROSSER, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO BEVERLY A. SCOTT, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA KUMARES C. SINHA, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN THOMAS K. SOREL, Commissioner, Minnesota DOT, St. Paul DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Acting Director, Energy Efficiency Center, University of California, Davis KIRK T. STEUDLE, Director, Michigan DOT, Lansing DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT LEROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC JOHN T. GRAY II, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC MICHAEL P. HUERTA, Acting Administrator, Federal Aviation Administration, U.S.DOT DAVID T. MATSUDA, Administrator, Maritime Administration, U.S.DOT MICHAEL P. MELANIPHY, President and CEO, American Public Transportation Association, Washington, DC VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT TARA O’TOOLE, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC BARRY R. WALLERSTEIN, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA GREGORY D. WINFREE, Acting Administrator, Research and Innovative Technology Administration, U.S.DOT *Membership as of February 2012.

92+ pages; Perfect Bind with SPINE COPY = 14 pts Geotechnical Information Practices in Design-Build Projects NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 429 N CH R P SYN TH ESIS 429 Geotechnical Inform ation Practices in Design-Build Projects NEED SPINE WIDTH Job No. XXXX Pantone 202 C TRANSPORTATION RESEARCH BOARD 500 F ifth S treet, N .W . W ashing to n, D .C . 20001 A D D R ESS SER VICE R EQ UESTED TRB A Synthesis of Highway Practice