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114 APPENDIX D Design-Build Solicitation Document (RFP/RFQ) Content Anal ys is INTRODUCTION This appendix presents a summary of the data collected in the RFP/RFQ content analysis. Sixty-six projects were analyzed including 15 RFQs and 59 RFPs from projects carried out in the states or other agencies listed here: AK, AZ, CA, CO, FL, IN, LA, MD, ME, MO, MN, MS, NC, NM, NV, OH, OR, SC, SD, TX, UT, VA, WA Alberta, Washington, D.C., U.S.DOT The projects may not have been performed by the state DOT. In some instances a different public agency was established to manage the project. To understand the process of content analysis and how to interpret Table D1, the following paragraph contains necessary information: Each row contains a word, phrase, or idea that was looked for in each of the documents. When the word or idea was found, the column was marked. In the tables, the states are listed by their two-digit U.S. postal code. The anomalies are as follows: ALB = Alberta, Canada; DC = Washington, D.C.; US = U.S.DOT. The years listed are the years that the RFP or RFQ was issued, not necessarily when the project was begun.
115 State 66 A K 1 A L B 1 A Z 1 C A 1 C A 2 C A 3 C O 1 D C 1 D C 2 F L 1 F L 2 F L 3 F L 4 F L 5 F L 6 F L 7 F L 8 I N 1 L A 1 M D 1 M E 1 M E 2 Year T o t a l 1 9 9 7 2 0 0 4 1 9 9 7 1 9 9 4 1 9 9 1 1 9 9 8 2 0 0 0 2 0 0 2 2 0 0 1 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 3 2 0 0 1 2 0 0 0 2 0 0 6 2 0 0 0 2 0 0 6 1 9 9 8 1 9 9 7 2 0 0 3 RFQ 15 x x x x x RFP 59 x x x x x x x x x x x x x x x x x x x x RFQ Required 58 x x x x x x x x x x x x x x x Independent Assurance 35 x x x x x x x x x Qualifications of Independent Quality Firm 3 x Qualifications of Other Independent Quality Firms 2 What Design Is Required in the Proposal 38 x x x x x x x x x x x x x Identify Deviation from Standard Design 10 x Design Criteria Listed 2 x x Design and Construction Schedule in Proposal 26 x x x x x x x x Construction Specs Referenced 50 x x x x x x x x x x x x x x Means and Methods Scored in Proposal 10 x x x x x x x Means and Methods Required After Award 2 x x Design-Builder Has Control over Means and Methods 1 Quality Personnel in the Proposal 24 x x x x x x Quality Personnel After Award 15 x x x x x Training Required of the Contractor 1 x Project QM Manager 20 x x What Qualifications Required for Project QM Manager 15 Project QC Manager 3 x On-Site Project Construction QM Manager 2 Design QM Manager 18 x x x x x Required Qualifications Listed 7 x x Construction QM Manager 19 x x x x x Required Qualifications Listed 12 x x (continued on next page) Design QC/QA Manager 7 x x Required Qualifications Listed 4 Construction QC Manager 6 x x TABLE D1 CONSOLIDATED SOLICITATION DOCUMENT CONTENT ANALYSIS OUTPUT
116 State 66 A K 1 A L B 1 A Z 1 C A 1 C A 2 C A 3 C O 1 D C 1 D C 2 F L 1 F L 2 F L 3 F L 4 F L 5 F L 6 F L 7 F L 8 I N 1 L A 1 M D 1 M E 1 M E 2 Year T o t a l 1 9 9 7 2 0 0 4 1 9 9 7 1 9 9 4 1 9 9 1 1 9 9 8 2 0 0 0 2 0 0 2 2 0 0 1 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 3 2 0 0 1 2 0 0 0 2 0 0 6 2 0 0 0 2 0 0 6 1 9 9 8 1 9 9 7 2 0 0 3 Required Qualifications Listed 4 x Construction QA Manager 2 x Required Qualifications Listed 1 Construction QA/QC Personnel Certification 25 x x x x x Required Qualifications Listed 9 x Pre-award Project QA Plan 1 Pre-award Project QC Plan 2 x Pre-award Project QM Plan 8 x x x x Requirements of Plan Listed 3 x Pre-award QA/QC Plan Summary 30 x x x x x x x x x Requirements of Plan Listed 13 x x x x Post-award QM Plan 8 Pre-award Design Quality Plan Draft 6 x Pre-award Construction Quality Plan Draft 6 x Pre-award Design Quality Plan 8 x x Requirements of Plan Listed 5 x Post-award Design Quality Plan 19 x x x x x x x x x Requirements of Plan Listed 12 x x x x x x Post-award Design QC Plan 4 x x Post-award Design QA Plan 1 x Requirements Listed for Design QC Plan 2 Pre-award Construction Quality Plan 10 x x x (continued on next page) Requirements of Plan Listed 7 x Pre-award Construction QC Plan 1 x Requirements of Plan Listed 1 x Post-award Construction Quality Plan 13 x x x x x x x x Requirements of Plan Listed 8 x x x x x Post-award Construction QC Plan 5 x x x Requirements of Plan Listed 1 x TABLE D1 (continued)
117 State 66 A K 1 A L B 1 A Z 1 C A 1 C A 2 C A 3 C O 1 D C 1 D C 2 F L 1 F L 2 F L 3 F L 4 F L 5 F L 6 F L 7 F L 8 I N 1 L A 1 M D 1 M E 1 M E 2 Year T o t a l 1 9 9 7 2 0 0 4 1 9 9 7 1 9 9 4 1 9 9 1 1 9 9 8 2 0 0 0 2 0 0 2 2 0 0 1 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 3 2 0 0 1 2 0 0 0 2 0 0 6 2 0 0 0 2 0 0 6 1 9 9 8 1 9 9 7 2 0 0 3 1 x Requirements Listed Construction QC Plan 2 Design Quality Audits by DOT 1 x Construction QA Responsibilities 6 x x x Design Criteria Checklists 1 x Construction Testing Matrix (testing responsibility chart) 2 x Design Responsibility Matrix 2 x QM Organization/Hierarchy Chart (quality responsibility chart) 27 x x x x x x x Change in Key Personnel Must Be Approved by DOT 23 x x x x x x x x x Owner Review/Approval of Post-award QM Plan 25 x x x x x x x Design Phase 0 Technical Review of Design Deliverables 37 x x x x x x x x x x x x x x Checking of Design Calculations 29 x x x x x x x x x x x x x Checking of Quantities 23 x x x x x x x x x x x Levels of DOT Design Submittal Reviews 42 x x x x x x x x x x x Acceptance of Design Deliverables 13 x x x Review of Specifications 24 x x x x x x x x x x Post-award Construction QA Plan (continued on next page) Approval of Final Construction Plans and Other Design Documents 43 x x x x x x x x x x x x Approval of Progress Pa ym ents for Design Progress 7 Quality Report Necessary for Progress PMT 3 Approval of Post-award Design QM/QA/QC Plans 4 x Construction Phase 0 Technical Review of Construction Shop Drawings 26 x x x x x x x x x x x Technical Review of Construction Material Submittals 5 x Checking of Pay Quantities 3 x TABLE D1 (continued)
118 State 66 A K 1 A L B 1 A Z 1 C A 1 C A 2 C A 3 C O 1 D C 1 D C 2 F L 1 F L 2 F L 3 F L 4 F L 5 F L 6 F L 7 F L 8 I N 1 L A 1 M D 1 M E 1 M E 2 Year T o t a l 1 9 9 7 2 0 0 4 1 9 9 7 1 9 9 4 1 9 9 1 1 9 9 8 2 0 0 0 2 0 0 2 2 0 0 1 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 3 2 0 0 1 2 0 0 0 2 0 0 6 2 0 0 0 2 0 0 6 1 9 9 8 1 9 9 7 2 0 0 3 Routine Construction Inspection 40 x x x x x x x x x x x x Quality Control Testing 40 x x x x x x x x x x x x x Establishment Horizontal and Vertical Control 42 x x x x x x x x x x Verification/Acceptance Testing 40 x x x x x x x x x x x x Approval of Progress Payments for Construction Progress 31 x x x x x Quality Report Necessary for Progress Performance Management Team 5 x Approval of Construction Post-award QM/QA/QC Plans 7 x Report of Nonconforming Work or Punch List 25 x x x x General 0 Design Company Had Past Experience with Specific Project Type 22 x x x x x Design Personnel Had Past Experience with Specific Project Type 18 x x x x (continued on next page) Contractor Company Had Past Experience with Specific Project Type 27 x x x x x x x x x Contractor Personnel Had Past Experience with Specific Project Type 23 x x x x x x x Design QA/QC Personnel with Experience 11 x x x Construction QA/QC Personnel with Experience 16 x x x Follow Ownerâs Standard Design Specs (for road and bridge projects) 39 x x x x x x x x x Design QM Requirements Listed by Owner 4 Construction QM Requirements Listed by Owner 3 Extra Warranties = Extra Points 9 x x x Warranties Required 39 x x x x x x x x x x Follow-on Maintenance 9 x x Design-Builder Financing 7 x x x Scoring Criteria 47 x x x x x x x x x x x x TABLE D1 (continued)
119 State M O 1 M N 1 M N 2 M N 3 M S 1 M S 2 N C 1 N C 2 N C 3 N C 4 N C 5 N C 6 N C 7 N C 8 N M 1 N V 1 O H 1 O H 2 O H 3 O H 4 O H 5 O R 1 O R 2 Year 2 0 0 6 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 5 2 0 0 5 2 0 0 2 2 0 0 2 2 0 0 5 2 0 0 6 2 0 0 4 2 0 0 6 2 0 0 5 2 0 0 5 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 2 2 0 0 6 RFQ x x x x RFP x x x x x x x x x x x x x x x x x x x x x RFQ Required x x x x x x x x x x x x x x x x x x x x x x Independent Assurance x x x x x x x x x x x x x x x Qualifications of Independent Quality Firm x Qualifications of Other Independent Quality Firms x What Design Is Required in the Proposal x x x x x x x x x x x Identify Deviation from Standard Design x x x x x Design Criteria Listed Design and Construction Schedule in Proposal x x x x x x x Construction Specs Referenced x x x x x x x x x x x x x x x x x x x Means and Methods Scored in Proposal Means and Methods Required After Award Design-Builder Has Control over Means and Methods Quality Personnel in the Proposal x x x x x x x Quality Personnel After Award x x Training Required of the Contractor Project QM Manager x x x x x x x x x x What Qualifications Required for Project QM Manager x x x x x x x x x x Project QC Manager x x On-Site Project Construction QM Manager Design QM Manager x x x x Required Qualifications Listed x Construction QM Manager x x x x Required Qualifications Listed x x (continued on next page) Design QC/QA Manager x x Required Qualifications Listed x x Construction QC Manager x x TABLE D1 (continued)
120 State M O 1 M N 1 M N 2 M N 3 M S 1 M S 2 N C 1 N C 2 N C 3 N C 4 N C 5 N C 6 N C 7 N C 8 N M 1 N V 1 O H 1 O H 2 O H 3 O H 4 O H 5 O R 1 O R 2 Year 2 0 0 6 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 5 2 0 0 5 2 0 0 2 2 0 0 2 2 0 0 5 2 0 0 6 2 0 0 4 2 0 0 6 2 0 0 5 2 0 0 5 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 2 2 0 0 6 Required Qualifications Listed x x Construction QA Manager Required Qualifications Listed Construction QA/QC Personnel Certification x x x x x x x x x x x x Required Qualifications Listed x x x x x x Pre-award Project QA Plan Pre-award Project QC Plan Pre-award Project QM Plan Requirements of Plan Listed Pre-award QA/QC Plan Summary x x x x x x x x x x Requirements of Plan Listed x x x x x x x x Post-award QM Plan x x Pre-award Design Quality Plan Draft x Pre-award Construction Quality Plan Draft x Pre-award Design Quality Plan x Requirements of Plan Listed x Post-award Design Quality Plan x x x Requirements of Plan Listed x x Post-award Design QC Plan x x Post-award Design QA Plan Requirements Listed for Design QC Plan x x Pre-award Construction Quality Plan x x (continued on next page) Requirements of Plan Listed x x Pre-award Construction QC Plan Requirements of Plan Listed Post-award Construction Quality Plan x x Requirements of Plan Listed x Post-award Construction QC Plan x x Requirements of Plan Listed TABLE D1 (continued)
121 State M O 1 M N 1 M N 2 M N 3 M S 1 M S 2 N C 1 N C 2 N C 3 N C 4 N C 5 N C 6 N C 7 N C 8 N M 1 N V 1 O H 1 O H 2 O H 3 O H 4 O H 5 O R 1 O R 2 Year 2 0 0 6 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 5 2 0 0 5 2 0 0 2 2 0 0 2 2 0 0 5 2 0 0 6 2 0 0 4 2 0 0 6 2 0 0 5 2 0 0 5 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 2 2 0 0 6 Post-award Construction QA Plan Requirements Listed Construction QC Plan x x Design Quality Audits by DOT Construction QA Responsibilities x x Design Criteria Checklists Construction Testing Matrix (testing responsibility chart) Design Responsibility Matrix QM Organization/Hierarchy Chart (quality responsibility chart) x x x x x x x Change in Key Personnel Must Be Approved by DOT x x x x x x x x x x x x Owner Review/Approval of Post-award QM Plan x x x x x x Design Phase Technical Review of Design Deliverables x x x x x x x x x x x Checking of Design Calculations x x x x x x Checking of Quantities x x x x Levels of DOT Design Submittal Reviews x x x x x x x x x x x x x x x x x Acceptance of Design Deliverables x x x Review of Specifications x x x x (continued on next page) Approval of Final Construction Plans and Other Design Documents x x x x x x x x x x x x x x x x x Approval of Progress Payments for Design Progress x x Quality Report Necessary for Progress PMT x x Approval of Post-award Design QM/QA/QC Plans x x Construction Phase Technical Review of Construction Shop Drawings x x x x x Technical Review of Construction Material Submittals x x Checking of Pay Quantities x x TABLE D1 (continued)
122 State M O 1 M N 1 M N 2 M N 3 M S 1 M S 2 N C 1 N C 2 N C 3 N C 4 N C 5 N C 6 N C 7 N C 8 N M 1 N V 1 O H 1 O H 2 O H 3 O H 4 O H 5 O R 1 O R 2 Year 2 0 0 6 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 5 2 0 0 5 2 0 0 2 2 0 0 2 2 0 0 5 2 0 0 6 2 0 0 4 2 0 0 6 2 0 0 5 2 0 0 5 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 1 2 0 0 2 2 0 0 6 Routine Construction Inspection x x x x x x x x x x x x x x Quality Control Testing x x x x x x x x x x x x x Establishment Horizontal and Vertical Control x x x x x x x x x x x x x x x x Verification/Acceptance Testing x x x x x x x x x x x x x x Approval of Progress Payments for Construction Progress x x x x x x x x x x x x x x x Quality Report Necessary for Progress Performance Management Team x x Approval of Construction Post-award QM/QA/QC Plans x x x Report of Nonconforming Work or Punch List x x x x x x x x x x x x General Design Company Had Past Experience with Specific Project Type x x x x x x Design Personnel Had Past Experience with Specific Project Type x x x x x x (continued on next page) Contractor Company Had Past Experience with Specific Project Type x x x x x x Contractor Personnel Had Past Experience with Specific Project Type x x x x x x x Design QA/QC Personnel with Experience x x x x Construction QA/QC Personnel with Experience x x x x x Follow Ownerâs Standard Design Specs (for road and bridge projects) x x x x x x x x x x x x x x Design QM Requirements Listed by Owner x Construction QM Requirements Listed by Owner x x Extra Warranties = Extra Points x x x x x x Warranties Required x x x x x x x x x x x x x x x x x Follow-on Maintenance x Design-Builder Financing Scoring Criteria x x x x x x x x x x x x x x x x TABLE D1 (continued)
123 State S C 1 S D 1 T X 1 T X 2 T X 3 T X 4 U S 1 U T 1 U T 2 U T 3 U T 4 U T 5 V A 1 V A 2 V A 3 V A 4 V A 5 W A 1 W A 2 W A 3 W A 4 Year 1 9 9 7 2 0 0 0 2 0 0 1 2 0 0 7 2 0 0 6 2 0 0 7 2 0 0 1 1 9 9 7 2 0 0 4 2 0 0 4 2 0 0 4 2 0 0 5 2 0 0 0 2 0 0 2 2 0 0 6 2 0 0 6 2 0 0 6 2 0 0 0 2 0 0 4 2 0 0 2 2 0 0 4 RFQ x x x x x x RFP x x x x x x x x x x x x x x x x x x RFQ Required x x x x x x x x x x x x x x x x x x x x x Independent Assurance x x x x x x x x x x x Qualifications of Independent Quality Firm x Qualifications of Other Independent Quality Firms x What Design Is Required in the Proposal x x x x x x x x x x x x x x Identify Deviation from Standard Design x x x x Design Criteria Listed Design and Construction Schedule in Proposal x x x x x x x x x x x Construction Specs Referenced x x x x x x x x x x x x x x x x x Means and Methods Scored in Proposal x x x Means and Methods Required After Award Design-Builder Has Control over Means and Methods x Quality Personnel in the Proposal x x x x x x x x x x x Quality Personnel After Award x x x x x x x x Training Required of the Contractor Project QM Manager x x x x x x x x What Qualifications Required for Project QM Manager x x x x x Project QC Manager On-Site Project Construction QM Manager x x Design QM Manager x x x x x x x x x Required Qualifications Listed x x x x Construction QM Manager x x x x x x x x x x Required Qualifications Listed x x x x x x x x (continued on next page) Design QC/QA Manager x x x Required Qualifications Listed x x Construction QC Manager x x TABLE D1 (continued)
124 State S C 1 S D 1 T X 1 T X 2 T X 3 T X 4 U S 1 U T 1 U T 2 U T 3 U T 4 U T 5 V A 1 V A 2 V A 3 V A 4 V A 5 W A 1 W A 2 W A 3 W A 4 Year 1 9 9 7 2 0 0 0 2 0 0 1 2 0 0 7 2 0 0 6 2 0 0 7 2 0 0 1 1 9 9 7 2 0 0 4 2 0 0 4 2 0 0 4 2 0 0 5 2 0 0 0 2 0 0 2 2 0 0 6 2 0 0 6 2 0 0 6 2 0 0 0 2 0 0 4 2 0 0 2 2 0 0 4 Required Qualifications Listed x Construction QA Manager x Required Qualifications Listed x Construction QA/QC Personnel Certification x x x x x x x x Required Qualifications Listed x x Pre-award Project QA Plan x Pre-award Project QC Plan x Pre-award Project QM Plan x x x x Requirements of Plan Listed x x Pre-award QA/QC Plan Summary x x x x x x x x x x x Requirements of Plan Listed x Post-award QM Plan x x x x x x Pre-award Design Quality Plan Draft x x x x Pre-award Construction Quality Plan Draft x x x x Pre-award Design Quality Plan x x x x x Requirements of Plan Listed x x x Post-award Design Quality Plan x x x x x x x Requirements of Plan Listed x x x x Post-award Design QC Plan Post-award Design QA Plan Requirements Listed for Design QC Plan Pre-award Construction Quality Plan x x x x x (continued on next page) Requirements of Plan Listed x x x x Pre-award Construction QC Plan Requirements of Plan Listed Post-award Construction Quality Plan x x x Requirements of Plan Listed x x Post-award Construction QC Plan Requirements of Plan Listed TABLE D1 (continued)
125 State S C 1 S D 1 T X 1 T X 2 T X 3 T X 4 U S 1 U T 1 U T 2 U T 3 U T 4 U T 5 V A 1 V A 2 V A 3 V A 4 V A 5 W A 1 W A 2 W A 3 W A 4 Year 1 9 9 7 2 0 0 0 2 0 0 1 2 0 0 7 2 0 0 6 2 0 0 7 2 0 0 1 1 9 9 7 2 0 0 4 2 0 0 4 2 0 0 4 2 0 0 5 2 0 0 0 2 0 0 2 2 0 0 6 2 0 0 6 2 0 0 6 2 0 0 0 2 0 0 4 2 0 0 2 2 0 0 4 Post-award Construction QA Plan Requirements Listed Construction QC Plan Design Quality Audits by DOT Construction QA Responsibilities x Design Criteria Checklists Construction Testing Matrix (testing responsibility chart) x Design Responsibility Matrix x QM Organization/Hierarchy Chart (quality responsibility chart) x x x x x x x x x x x x x Change in Key Personnel Must Be Approved by DOT x x Owner Review/Approval of Post-award QM Plan x x x x x x x x x x x x Design Phase Technical Review of Design Deliverables x x x x x x x x x x x x Checking of Design Calculations x x x x x x x x x x Checking of Quantities x x x x x x x x Levels of DOT Design Submittal Reviews x x x x x x x x x x x x x x Acceptance of Design Deliverables x x x x x x x Review of Specifications x x x x x x x x x x (continued on next page) Approval of Final Construction Plans and Other Design Documents x x x x x x x x x x x x x x Approval of Progress Payments for Design Progress x x x x x Quality Report Necessary for Progress PMT x Approval of Post-award Design QM/QA/QC Plans x Construction Phase Technical Review of Construction Shop Drawings x x x x x x x x x x Technical Review of Construction Material Submittals x x TABLE D1 (continued)
126 State S C 1 S D 1 T X 1 T X 2 T X 3 T X 4 U S 1 U T 1 U T 2 U T 3 U T 4 U T 5 V A 1 V A 2 V A 3 V A 4 V A 5 W A 1 W A 2 W A 3 W A 4 Year 1 9 9 7 2 0 0 0 2 0 0 1 2 0 0 7 2 0 0 6 2 0 0 7 2 0 0 1 1 9 9 7 2 0 0 4 2 0 0 4 2 0 0 4 2 0 0 5 2 0 0 0 2 0 0 2 2 0 0 6 2 0 0 6 2 0 0 6 2 0 0 0 2 0 0 4 2 0 0 2 2 0 0 4 Checking of Pay Quantities Routine Construction Inspection x x x x x x x x x x x x x x Quality Control Testing x x x x x x x x x x x x x x Establishment Horizontal and Vertical Control x x x x x x x x x x x x x x x x Verification/Acceptance Testing x x x x x x x x x x x x x x Approval of Progress Payments for Construction Progress x x x x x x x x x x x Quality Report Necessary for Progress PMT x x Approval of Construction Post-award QM/QA/QC Plans x x x Report of Nonconforming Work or Punch List x x x x x x x x x General Design Company Had Past Experience with Specific Project Type x x x x x x x x x x x Design Personnel Had Past Experience with Specific Project Type x x x x x x x x Contractor Company Had Past Experience with Specific Project Type x x x x x x x x x x x x Contractor Personnel Had Past Experience with Specific Project Type x x x x x x x x x Design QA/QC Personnel with Experience x x x x Construction QA/QC Personnel with Experience x x x x x x x x Follow Ownerâs Standard Design Specs (for road and bridge projects) x x x x x x x x x x x x x x x x Design QM Requirements Listed by Owner x x x Construction QM Requirements Listed by Owner x Extra Warranties = Extra Points Warranties Required x x x x x x x x x x x x Follow-on Maintenance x x x x x x Design-Builder Financing x x x x Scoring Criteria x x x x x x x x x x x x x x x x x x x TABLE D1 (continued)
