Attachment 3 draft RFP Nav Improvements.pdf

Request for Qualifications (Phase I) Lock and Dam #3 Navigation Improvements

Design‐Build Procurement

July 2009

Attachment 3 – DRAFT RFP (STAGE II) DOCUMENTS For Information Only

U.S. ARMY CORPS OF ENGINEERS

St. Paul District

W912ES‐09‐R‐0025

THIS PAGE INTENTIONALLY LEFT BLANK

Request for Proposals (Phase II)

<<For Reference Only: Draft RFP Document – Subject To Change>>

USACE St. Paul District July 2009

RFP Lock and Dam #3 Navigation Improvements Solicitation No. W912ES‐09‐R‐0025 Table of Contents, Page ii

TABLE OF CONTENTS

Cover

Transmittal Letter

SF 1442

DIVISION 00 ‐ BIDDING REQUIREMENTS, CONTRACT FORMS AND CONTRACT CONDITIONS

Section Title 00 01 00 Solicitation, Offer and Award – SF‐1442 Bid Schedule 00 05 50 Proposers Check list 00 10 50 Bidding Schedule/Instructions to Offerors 00 11 50 Submission Requirements and Evaluation Factors 00 12 50 Evaluation Methodology and Procedures 00 60 00 Representations and Certifications 00 70 00 Contract Clauses 00 80 00 Special Contract Requirements 00 83 00 Attachments

DIVISION 01 ‐ GENERAL REQUIREMENTS

Section Title 01 11 00.00 23 Summary of Work ‐ Design/Build 01 11 00.01 23 General 01 11 01.00 23 Geotechnical Requirements‐ Design/Build 01 11 02.00 23 Structural requirements – Design/Build 01 11 03.00 23 Hydrologic requirements – Design Build

01.14 00.00 13 Work Restrictions 01 22 00.00 13 Measurement And Payment 01 32 01.00 13 Project Schedule – Design/Build 01 33 00. Submittal Procedures Design/Build 01 35 29 Safety and Occupational Health Requirements 01 41 26.00 13 Pollutant Discharge Elimination System (Wisconsin) 01 42 00. Sources For Reference Publications 01 45 02.00 10 Quality Control System (Qcs) – Design/Build 01 45 04.00 13 Contractor Quality Control – Design/Build 01 50 02.00 13 Temporary Construction Facilities 01 57 20.00 13 Environmental Protection – Design/Build 01 57 23.00 13 Storm Water Pollution Prevention Measures – Design/Build 01 71 23.00 13 Contractor Surveys 01 78 02.00 23 Closeout Submittals Design/Build

DIVISION 02 ‐ 25

(Not Applicable)

RFP Lock and Dam #3 Navigation Improvements Solicitation No. W912ES‐09‐R‐0025 Table of Contents, Page iii

DIVISION 26 – ELECTRICAL

Section Title 26 00 00.00 01 Electrical – Design/Build

DIVISION 27 – DIVISION 30

(Not Applicable)

DIVISION 31 – EARTHWORK

Section Title 31 00 00.00 13 Earthwork

DIVISION 32– DIVISION 34

(Not Applicable)

DIVISION 35 – WATERWAY AND MARINE CONSTRUCTION

Section Title 35 20 23.00 13 Excavation of Dredge material 35 20 23.40 13 Placement of Dredge Material 35 31 10.00 13 Stone Protection (Riprap)

DIVISION 36– DIVISION 48

(Not Applicable)

Request for Proposal (Phase II)

Section 00 01 00 – Solicitation Contract Form

Lock and Dam #3 Navigation Improvements Solicitation No. W912ES‐09‐R‐0025 Section 00 01 00, Page 2

Section 00 01 00 – PROPOSAL SCHEDULE

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 1 Lump Sum __________________ Design – Navigation Improvements Includes all material, labor, and equipment required to perform all design for the guidewall extension, channel excavation and sand fill, channel cap rock, and all necessary appurtenances.

0002 1 Lump Sum __________________ Guidewall ‐ Construction Includes all material, labor, and equipment required to perform all guidewall construction and related work. Includes, but is not limited to, design, clearing, grubbing, demolition, site grading, excavation, foundation construction, structure construction, fill and embankment construction, all necessary appurtenances, and clean‐up required to provide a complete and functioning guidewall extension.

0003 First 118,300 118,300 CY __________________ Over 118,300 29,700 CY __________________

Channel Excavation and Sand Fill ‐ Construction Includes all material, labor and equipment required for channel excavation of in channel sediments and placement of sediment (sand fill) in areas and to the grades necessary to facilitate channel modifications.

0004 First 98,500 98,500 CY __________________ Over 98,500 85,500 CY __________________

Channel Cap Rock Placement ‐ Construction Includes all material, labor and equipment required for placement of a cap rock layer to the necessary thickness and grades required to prevent erosion and migration of the placed sand fill.

Section 00 01 00, Page 3

TOTAL SCHEDULE ‐ $ ___________________

Request for Proposal (Phase II)

Section 00 10 50 – Instructions to Offerors

For Reference Only: Draft RFP Document – Subject To Change

SECTION 00 10 50

INSTRUCTIONS TO OFFERORS – RFP (PHASE II)

Table of Contents

1.1 INTRODUCTION

1.2 GENERAL DESCRIPTION OF WORK

1.3 CONTRACT COST CEILING LIMITATION (CCL) FOR DESIGN AND CONSTRUCTION COSTS

1.4 GOVERNMENT SECURITY REQUIREMENTS

1.5 COPIES OF SOLICITATION DOCUMENTS AND AMENDMENTS

1.6 OFFEROR'S QUESTIONS AND COMMENTS

1.7 SMALL BUSINESS SIZE STANDARD

1.8 NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)

1.9 REQUEST FOR PROPOSAL (RFP) EXPENSES AND PRE‐CONTRACT COSTS

1.10 PRE‐RFP CONFERENCE

1.11 METHOD OF PROCUREMENT

1.12 RFP SUBMITTALS

1.13 RFP FORMAT

1.13.1 General Requirements

1.13.2 Written Submission

1.14 JOINT VENTURE REQUEST FOR RFP REQUIREMENTS

1.15 SUBCONTRACTING PLAN/SUBCONTRACTING GOALS REGARDING THE UTILIZATION OF

SMALL BUSINESS CONCERNS

CLAUSES INCORPORATED BY REFERENCE

ATTACHMENT 1 AMENDMENT ACKNOWLEDGEMENT SHEET

Section 00 10 50, Page 2

1.1 INTRODUCTION

The United States Army Corps of Engineers, St. Paul District (Government) is soliciting a Request for Proposals (RFQ) for the Lock and Dam #3 Navigation Improvements Project (Project) as Phase II of a two‐phase design‐build selection procedure. A two‐phase procurement structure is being used for the Project, consisting of a Phase I Request for Qualifications (RFQ) and a subsequent Phase II Request for Proposals (RFP). The Phase I RFQ was issued in July 2009 to identify a shortlist of qualified and capable design‐build teams. The Government has evaluated the RFQ responses and has shortlisted XX design‐build teams and invited the teams to submit technical/price proposals for the Project. The Phase II Offerors have 45 calendar days for submittal of Phase II proposal requirements. The responses to the RFP will be evaluated by the Government to select the design‐ build contractor for the project.

1.2 GENERAL DESCRIPTION OF WORK

Lock and Dam #3 is a navigation dam and lock on the Mississippi River approximately 6 miles upstream from Red Wing, Minnesota. Its position on a bend in the river makes down bound navigation difficult because of an out draft current that tends to sweep towboats and barges away from the lock toward the gated part of the dam. The out draft current has resulted in many accidents, including 11 incidents since 1968 when tows have collided with the gated part of the dam.

A related problem is with the low and weak embankments on the Wisconsin side of the river.

Navigation accidents can render the four roller gates inoperable, resulting in overtopping and erosion of the Wisconsin embankments. The Wisconsin side embankment system divides the 8‐foot head at the dam into three steps and works together as part of Lock and Dam #3. Failure of the embankment system could result in accidental drawdown of Pool 3 with significant economic and environmental consequences.

An Environmental Impact Statement was completed in November 2006, and a Record of Decision was signed on April 3, 2007 and endorsed by Corps Headquarters. The Record of Decision approved a project to address the navigation safety problem and strengthen the embankments. The Office of Management and Budget made a positive determination of budgetability on May 5, 2008. The recommended plan includes strengthening the Wisconsin embankments and constructing an extended landward guide wall with channel modifications to improve navigation safety. The guide wall extension and the associated channel modifications are the subject of this RFP. The guide wall extension and the associated channel work will be accomplished using a single design‐build contract. The upper embankment work will be procured by a separate construction contract, and the lower embankment work will be procured by a separate design‐build contract.

Section 00 10 50, Page 3

1.3 CONTRACT COST CEILING LIMITATION (CCL) FOR DESIGN AND CONSTRUCTION COSTS

<<to be determined>>

1.4 GOVERNMENT SECURITY REQUIREMENTS

Offeror(s) must ensure that ALL mail sent to the St. Paul District, U.S. Army Corps of Engineers, either pre‐contract or post‐contract award, has a return mailing address on the outside of the envelope, package, box, etc. ANY MAIL addressed to the U.S. Army Corps of Engineers, including but not limited to bids, modifications to bids, proposals, revised proposals, bonds, correspondence, etc., will be REJECTED by the US Army Corps of Engineers if it does not contain a return mailing address.

There will be no exceptions.

The mail room facility is located at:

US Army Corps of Engineers Sibley Square at Mears Park 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638

Section 00 10 50, Page 4

1.5 COPIES OF SOLICITATION DOCUMENTS AND AMENDMENTS

Copies of the solicitation are available by INTERNET ACCESS ONLY. All solicitation documents will be posted to the Federal Technical Data Solutions (FedTeDS) website via access through the Army Single Face to Industry/FedBizOpps websites. The website address is:

http://www.fbo.gov

All amendments will be posted to the Federal Technical Data Solutions (FedTeDS) website via access through the Army Single Face to Industry/FedBizOpps websites. It shall be the contractor’s responsibility to check the websites for any amendments. The Offeror shall acknowledge any amendments by subsequently returning Attachment 1 (Section 00 10 50) to the Government point of contact (POC) in Section 1.6 of this document; this requirement is necessary for each amendment. The Offeror shall submit in the RFP all requested information specified in this solicitation. There will be no public opening of the proposal received as a result of this solicitation.

1.6 OFFEROR'S QUESTIONS AND COMMENTS

Questions and/or comments relative to these documents should be submitted via e‐mail or mailed to:

Patricia Simon (Contract Specialist) – Primary POC U.S. Army Corps of Engineers, St. Paul District, Sibley Square at Mears Park ATTN: Patricia Simon 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638 Phone: 651‐290‐5418 E‐mail: Patricia.M.Simon@usace.army.mil

Note: All questions and/or comments should reach the above referenced Contracting Office no later than twelve (12) calendar days prior to the due date for receipt of all RFP materials (see 1.12), in order that they may be given consideration or actions taken prior to receipt of offers.

Lock and Dam #3 Navigation Improvements Solicitation No. W912ES‐09‐R‐0025 Section 00 10 50, Page 5 http://www.fbo.gov/ mailto:Patricia.M.Simon@usace.army.mil

1.7 SMALL BUSINESS SIZE STANDARD

The small business size standard for this procurement is $33.5M in average gross annual receipts for the preceding 3 fiscal years.

1.8 NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)

In accordance with Section 23 of the NAICS Manual, the work in this solicitation is assigned classification code 237990.

1.9 REQUEST FOR PROPOSAL (RFP) EXPENSES AND PRE‐CONTRACT COSTS

This Request for Proposal (RFP) does not commit the Government to pay any costs incurred in the preparation and submission of materials or for any other costs incurred by any firm submitting materials in response to this solicitation for Phase II. A stipend will not be paid to those short‐listed firms invited to submit proposals in Phase II who are not awarded a contract. Finally, the Government will not pay for or subsidize any costs incurred for attendance at the pre‐proposal conference.

1.10 PRE‐RFP CONFERENCE

A pre‐proposal conference and site visit will be scheduled approximately 15 days after the issuance of the Request for Proposal. All interested Offerors are urged to attend. During this conference, the requirements set forth in the solicitation will be reviewed and discussed, with part of the conference to include a question and answer period. All interested Offerors are urged to attend.

1.11 METHOD OF PROCUREMENT

(a) The Government intends to conduct this acquisition in accordance with the provisions set forth in the Request for Proposal (RFP). The Government has set a target range of three (3) Offerors to be selected in Phase I (RFQ) that are determined to be most advantageous/best value to the Government. These Offerors will submit materials for Phase II (RFP).

(b) Note specifically that the Offeror will not be participating in a sealed bid procurement process under this acquisition method. Issuance of this Request for Proposal does not constitute an award commitment on the part of the Government.

(c) Proposal submittals must set forth full, accurate, and complete information as required by this RFP, (including attachments). The penalty for making false statements is prescribed in 18 U.S.C.

1001.

(d) For Phase II, the Government reserves the right to discuss aspects of proposals with Offerors in the competitive range, which may be limited for efficiency (FAR Part 15.306I(2)), and to award a contract to other than the Offeror submitting the lowest priced offer. Offerors are advised that the

Section 00 10 50, Page 6

Government may make award without discussions, clarifications or any contact concerning the proposals received (FAR Part 15.306(a)(2)). Therefore, proposals should be submitted initially on the most favorable terms from a price and technical standpoint. Do not assume that Offerors will be contacted or afforded an opportunity to clarify, discuss or revise their proposals.

1.12 RFP SUBMITTALS

Offerors who have their proposal hand‐delivered shall contact Patricia Simon (ph: 651‐290‐5418) prior to delivering to the address shown below. On the date specified, and thirty minutes prior to the time specified below, a Contracting representative will be in the 2nd floor lobby near the U.S.

Army Corps of Engineers, St. Paul District elevators to accept proposal materials. At the time specified below it will be announced that receipt of proposals is closed. Official time will be established by the clock located in the area where the proposals are received. Offers determined to be late shall be rejected.

As stated on Standard Form SF 1442: Proposals will be received until 2:00PM on (date to be determined) at:

U.S. Army Corps of Engineers, St. Paul District Sibley Square at Mears Park ATTN: Patricia M. Simon 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638

The packaging that contains the Proposals shall be marked:

“Proposals for Solicitation Number: W912ES‐09‐R‐0025, DO NOT OPEN”

1.13 RFP FORMAT

1.13.1 General Requirements

General requirements regarding proposal submission formats for Phase II of this solicitation are described below. See Section 00 11 50 for detailed RFP submission requirements. The following table summarizes the major RFP submittals:

Phase II (RFP) Item Description Location

Factor 1 – SF 1442/CLIN/Price Information/Assumptions

TAB A

Separate Envelope

Representations and Certifications (Section 00 60 00) TAB B

Factor 2 – Management Approach TAB C

Section 00 10 50, Page 7

Subfactor 2a – Key Personnel Subfactor 2b – Quality Control and Safety Plan Subfactor 2c – Communication Approach Factor 3 – Schedule Management Plan TAB D

Factor 4 – Project Solutions Subfactor 4a – Technical Solutions Subfactor 4b – Construction Narrative

TAB E

Factor 5 – Small Business Subcontracting Approach TAB F

Section 00 10 50, Page 8

1.13.2 Written Submission

Number of Copies: Offerors shall submit an original and six (6) copies of their proposal as described herein. An electronic version of the entire submission shall also be included in PDF format on a CD.

1.13.2.1 Text

Text shall be at least single spaces, on 8 ½” x 11” paper, with a minimum one‐inch margin all around and contained in one volume. Pages shall be numbered consecutively. Additional pages submitted in excess of the stated maximum will not be evaluated. A page printed on both sides shall be counted as two pages. Submission as double‐spaced printing/copying on recycled paper is encouraged.

Include a detailed table of contents, numbered pages, and tabbed sections for each of the evaluation criteria. For drawing sheets, use 22” x 33.1” for full size drawings; half‐size sheets are also acceptable (11”x17”).

1.13.2.2 Font Size

Print shall be a minimum of 11‐point font size. Bolding, underlining, and italics may be used to identify topic demarcations or points of emphasis. Graphic representations, including tables, while not subject to the same font size and spacing requirements, shall have spacing and text that is easily readable.

1.13.2.3 Format

Provide a Tab or other means to clearly identify each individual section of the submission. Provide an individual section for each of the evaluation criteria. Section covers or tabs used only to identify individual sections are not included in page limits.

1.13.2.4 Binding

The original and each of the copies should be submitted as individual documents using tabbed, 3‐ ring binders. Note that Factor 1 (see above) material shall be submitted separately in a closed manila envelope.

1.13.2.5 Content

Do not submit any materials not required by this solicitation (such as company brochures and marketing material). The Government will utilize the required data listed below for evaluation and for the determination of a Merit Rating System.

Section 00 10 50, Page 9

1.13.2.6 Page Limitations

Page limitations include all text, figures, tables, and graphics. Refer to the following table for page limitations:

Volume Title Page Limit

RFP TAB A

Separate Envelope

Factor 1 – Price Information Separate Envelope – As needed.

RFP TAB B Representations and Certifications As needed.

RFP TAB C Factor 2 – Management Approach

RFP TAB C Subfactor 2a – Narrative 5 pages

RFP TAB C Subfactor 2a – Resumes 5 pages

RFP TAB C Subfactor 2a – Organizational Structure & Chart

2 pages, can be 11x17.

RFP TAB C Subfactor 2a – Staffing for Quality and Safety Management Narrative

5 pages

RFP TAB C Subfactor 2b – Quality Narrative 5 pages

RFP TAB C Subfactor 2b – Safety Narrative 5 pages

RFP TAB C Subfactor 2c – Communication Narrative 5 pages

RFP TAB D Factor 3 – Schedule Management

RFP TAB D CPM Schedule No limit of schedule plots.

RFP TAB D CPM Schedule Narrative 5 pages

RFP TAB E Factor 4 – Project Solutions

RFP TAB E Subfactor 4a – Channel Modifications Narrative

5 pages w/ max. 2‐3 11 x 17 sheets of illustrations (if any)

RFP TAB E Subfactor 4a – Drawings No limit.

RFP TAB E Subfactor 4a – Supporting Documentation No limit.

RFP TAB E Subfactor 4a – Technical Discussion 20 pages

RFP TAB E Subfactor 4b – Construction Narrative 20 pages

RFP TAB F Factor 5 – Small Business Subcontracting Approach

1 page

Section 00 10 50, Page 10

1.14 JOINT VENTURE REQUEST FOR RFP REQUIREMENTS

When proposing as a joint venture, all members of the joint venture must sign the SF 1442 and the bond unless a written agreement by the joint venture is furnished with the qualifications designating one firm with the authority to bind the other member(s) of the joint venture. In addition, a copy of the joint venture agreement must be submitted with the proposal. Failure to comply with the foregoing requirements may eliminate the proposal from further consideration.

1.15 SUBCONTRACTING PLAN/SUBCONTRACTING GOALS REGARDING THE UTILIZATION

OF SMALL BUSINESS CONCERNS

NOTICE TO LARGE BUSINESS: The U.S. Army Corps of Engineers, St. Paul District, is committed to the participation of Small Business, Small Disadvantaged Business and Women‐Owned Small Business in the performance of work under this solicitation and resulting contract. Your attention is directed to the solicitation clauses 52.219‐8 entitled "Utilization of Small Business Concerns", 52.219‐9 entitled "Small Business Subcontracting Plan," and 252.219‐7003 entitled "Small, Small Disadvantaged and Women‐Owned Small Business Subcontracting Plan (DOD Contracts)".

If you are a large business and the apparent awardee with an offer exceeding $1,000,000.00, submission of a Subcontracting Plan in accordance with the above clauses will be required. The Contracting Officer will review the plan using the following goals to assure that it represents your best efforts to maximize subcontracting opportunities. Award will not be made until the Contracting Officer approves the Subcontracting Plan.

The following subcontracting goals are informational only and not legally binding but are considered reasonable and achievable during the resulting contract from this solicitation. The goals expressed in percent of total planned subcontracting dollars are:

Small Business 70% Small Disadvantaged Business 6.2% Women‐Owned Small Business 7.0% HUBZone Small Business 9.8% Veteran‐Owned Small Business 3.0% Service‐Disabled Veteran‐Owned Small Business 0.9% Subcontract Reporting (SF 294 & SF 295) 100.0%

For purposes of the clause entitled “52.219‐4 ‐‐ Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Jan 1999)”, the term “otherwise successful offer” means the offer from tentatively selected awardee prior to the application of any evaluation preference required by this clause.

The solicitation clause FAR 52.219‐4 expressed that Small Disadvantaged Business (SDB) firms would receive both the HUBZone and SDB evaluation preference adjustments (See FAR clause 52.219‐23).

Guidance from the Office of the Under Secretary of Defense provides that DOD contracting activities, including the Department of the Army, shall suspend the use of price evaluation

Section 00 10 50, Page 11 adjustments for SDB businesses in DOD Acquisitions, as prescribed in FAR subpart 19.11. Therefore the clause 52.219‐23 is not contained in this solicitation and no SDB evaluation preference adjustment will be utilized.

CLAUSES INCORPORATED BY REFERENCE

Bidding Schedule/Instructions to Bidders

52.214‐34 Submission Of Offers In The English Language APR 1991

52.214‐35 Submission Of Offers In U.S. Currency APR 1991

52.215‐1 Instructions to Offerors‐‐Competitive Acquisition JAN 2004

52.215‐20 Alt IV Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data (Oct 1997) ‐ Alternate

IV

OCT 1997

52.216‐1 Type Of Contract APR 1984

52.222‐5 Davis‐Bacon Act‐‐Secondary Site of the Work JUL 2005

52.222‐23 Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity for Construction

FEB 1999

52.225‐24 Notice of Required Use of American Iron, Steel, and other Manufactured Goods‐‐Buy american Act‐‐ Construction Materials under Trade Agreements

MAR 2009

52.233‐2 Service Of Protest SEP 2006

52.236‐27 Site Visit (Construction) FEB 1995

52.236‐28 Preparation of Proposals‐‐Construction OCT 1997

52.236‐4002 Work Performed by the Contractor JAN 2000

252.204‐7004 Alt A Central Contractor Registration (52.204‐7) Alternate A SEP 2007

Section 00 10 50, Page 12

Lock and Dam #3 Navigation Improvements Solicitation No. W912ES‐09‐R‐0025 Section 00 10 50, Page 13

ATTACHMENT 1

AMENDMENT ACKNOWLEDGEMENT SHEET

The following information must be completed by the Offeror and submitted upon receipt of communications by the Government indicating that an amendment to the request for proposal (RFP) has been released. This sheet must be submitted after each amendment is released by the Government. This sheet is to be returned to the Contracting Officer for the project at the address listed in subsection 1.6 of Section 00 10 50. A scanned version of this document sent as an e‐mail attachment to the Contracting Officer is acceptable.

Block No. 1. Name and Address of Offeror

Block No. 2. Telephone Number: ______________________________________________

Block No. 3. Title of Project: __________________________________________________

Block No. 4. Amendments (Number and Date of Acknowledgement)

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

DRAFT

For Reference Only: Draft RFP Document – Subject to Change

September 2009

Section 00 11 50 – Submission Requirements and Evaluation Factors

USACE St. Paul District DRAFT September 2009

Section 00 11 50, Page 2

Section 00 11 50

Phase II: Request For Proposal

Table of Contents

1 Overview

2 PROJECT DESCRIPTION

3 SCHEDULE

4 ACQUISITION STRATEGY

5 basis for award

6 STIPEND

7 GENERAL INSTRUCTIONS

8 PROPOSAL COMPLIANCE REVIEW

9 PHASE II (RFP) SUBMISSION REQUIREMENTS AND EVALUATION FACTORS

9.1 FACTOR 1 – PRICE INFORMATION (TAB A – Separate Envelope / Evaluated Separately)

9.2 FACTOR 2 – MANAGEMENT APPROACH (TAB B)

9.2.1 Subfactor 2a – Key Personnel & Organization

9.2.2 Subfactor 2b – Quality and Safety Management

9.2.3 Subfactor 2c – Communication Approach

9.3 FACTOR 3 – SCHEDULE MANAGEMENT PLAN (TAB C)

9.4 FACTOR 4 – PROJECT SOLUTIONS (TAB D)

9.4.1 Subfactor 4a: Technical Solutions

9.4.2 Subfactor 4b: Construction Narrative

9.5 FACTOR 5 – SMALL BUSINESS SUBCONTRACTING APPROACH (TAB E)

Section 00 11 50, Page 3

1 OVERVIEW

The United States Army Corps of Engineers, St. Paul District (Government) is soliciting a Request for Proposals (RFQ) for the Lock and Dam #3 Navigation Improvements Project (Project) as Phase II of a two‐ phase design‐build selection procedure. A two‐phase procurement structure is being used for the Project, consisting of a Phase I Request for Qualifications (RFQ) and a subsequent Phase II Request for Proposals (RFP). The Phase I RFQ was issued in July 2009 to identify a shortlist of qualified and capable design‐build teams. The Government has evaluated the RFQ responses and has shortlisted XX design‐ build teams and invited the teams to submit technical/price proposals for the Project. The Phase II Offerors have 45 calendar days for submittal of Phase II proposal requirements. The responses to the RFP will be evaluated by the Government to select the design‐build contractor for the project.

2 PROJECT DESCRIPTION

Lock and Dam #3 is a navigation dam and lock on the Mississippi River approximately 6 miles upstream from Red Wing, Minnesota. Its position on a bend in the river makes down bound navigation difficult because of an out draft current that tends to sweep towboats and barges away from the lock toward the gated part of the dam. The out draft current has resulted in many accidents, including 11 incidents since 1968 when tows have collided with the gated part of the dam.

A related problem is with the low and weak embankments on the Wisconsin side of the river. Navigation accidents can render the four roller gates inoperable, resulting in overtopping and erosion of the Wisconsin embankments. The Wisconsin side embankment system divides the 8‐foot head at the dam into three steps and works together as part of Lock and Dam #3. Failure of the embankment system could result in accidental drawdown of Pool 3 with significant economic and environmental consequences.

An Environmental Impact Statement was completed in November 2006, and a Record of Decision was signed on April 3, 2007 and endorsed by Corps Headquarters. The Record of Decision approved a project to address the navigation safety problem and strengthen the embankments. The Office of Management and Budget made a positive determination of budgetability on May 5, 2008. The recommended plan includes strengthening the Wisconsin embankments and constructing an extended landward guide wall with channel modifications to improve navigation safety. The guide wall extension and the associated channel modifications are the subject of this RFP. The guide wall extension and the associated channel work will be accomplished using a single design‐build contract. The upper embankment work will be procured by a separate construction contract, and the lower embankment work will be procured by a separate design‐build contract.

Section 00 11 50, Page 4

For Reference Only: Draft RFP Document – Subject to Change

3 SCHEDULE

The anticipated schedule is as follows:

Schedule Activity Date

Offerors selected for Phase II and Request for Proposal (RFP) sent to selected Offerors

September 8, 2009

RFP responses due to Government October 23, 2009

Contract award December 18, 2009

Delivery of completed Project September 2011

4 ACQUISITION STRATEGY

This is a competitive two‐phase (RFQ and RFP) acquisition for the award of a firm fixed price contract.

The Government will award a firm fixed price contract to the responsible Offeror whose proposal has been determined to be the most advantageous to the Government ‐ technical/quality, price and other evaluation factors considered.

5 BASIS FOR AWARD

The basis of award is best value trade‐off; therefore, the Government has the right to accept other than the lowest price offer. The right is also reserved to reject any and all offers. Price preferences for HUBZone qualified contractors will be applied during the best value trade‐off analysis. The Government intends to award without discussions, but reserves the right to conduct discussions at any time during the evaluations as needed.

6 STIPEND

A stipend will not be paid to the Offerors invited to submit proposals to the RFP in Phase II.

Section 00 11 50, Page 5

7 GENERAL INSTRUCTIONS

Submit the Phase II (RFP) proposal in a tabbed, three‐ring binder; refer to Section 00 10 50, “Instructions to Offerors” for additional information. Note that the Government will not evaluate any material that exceeds the page limits, as indicated in Section 00 10 50.

Offerors are discouraged from providing information not required by the solicitation. The Offeror shall address each of the factors in sufficient detail to permit a complete and comprehensive evaluation. Any deviation from the solicitation requirements may result in non‐consideration of its proposal.

Proposals will only be evaluated from design‐build teams shortlisted during Phase I and invited to submit proposals for Phase II. Only one proposal from each Offeror will be accepted and evaluated. Any options included with the proposal will not be evaluated.

Submit a list of betterments included in the proposal. The Government will prepare a “List of Accepted Project Betterments” that will be included in the contract award for the successful Offeror. The “List of Accepted Project Betterments” may include betterments in the proposal identified by the Government that are not included in the Offeror’s list of betterments. Betterments identified in the accepted proposal after award are also made part of the contract.

Phase II (RFQ) responses should be submitted and segregated by TAB item as shown in the following table:

Phase II (RFP) Item Description Location

Factor 1 – SF 1442/CLIN/Price Information/Assumptions/Bid Bond

TAB A

Separate Envelope

Representations and Certifications (Section 00 60 00) TAB B

Factor 2 – Management Approach Subfactor 2a – Key Personnel Subfactor 2b – Quality Control and Safety Plan Subfactor 2c – Communication Approach

TAB C

Factor 3 – Schedule Management Plan TAB D

Factor 4 – Project Solutions Subfactor 4a – Technical Solutions Subfactor 4b – Construction Narrative

TAB E

Factor 5 – Small Business Subcontracting Approach TAB F

Section 00 11 50, Page 6

For Reference Only: Draft RFP Document – Subject to Change

8 PROPOSAL COMPLIANCE REVIEW

Upon receipt of proposals, the Government will screen the proposals to ensure each offer is properly completed, executed, and submitted in accordance with the solicitation requirements. The Government may remove a proposal that fails to provide a technical/quality proposal (TABS C‐F), a completed and signed SF 1442 (TAB A), price proposal (TAB A) and a bid bond (TAB A) in response to Phase II. The price/cost submissions shall not be available to the technical evaluation team until after a technical consensus has been reached.

9 PHASE II (RFP) SUBMISSION REQUIREMENTS AND EVALUATION FACTORS

9.1 FACTOR 1 – PRICE INFORMATION (TAB A – Separate Envelope / Evaluated Separately)

Submit a completed and signed SF 1442.

Submit a bid bond as required by 52.228‐1. The surety must be acceptable to the Government and must appear on the Department of Treasury Circular 570 "Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and Acceptable Reinsuring Companies." If the Offeror submits evidence from an individual Surety, the individual surety must include documentation meeting the requirements of FAR 28.203 and contract clause 52.228‐11. An offer from a joint venture must submit a bid bond in the name of the joint venture.

Submit a completed bid schedule in a separate, sealed envelope. The Offeror shall enter a price for each item listed in the Price Proposal Schedule (Section 00 01 50). Design price shall include design before construction and design during construction. Note that the total design cost must be less than or equal to 6% of the construction cost per statutory requirement.

Contractor shall submit a M2 estimate to support their proposed construction price. The M2 estimate shall be submitted on a CD with the completed bid schedule.

HUBZone qualified contractors shall submit evidence of their HUBZone qualification with their price proposal.

9.2 FACTOR 2 – MANAGEMENT APPROACH (TAB B)

The following technical information shall be addressed in sufficient detail so as to provide the Government with a clear understanding of the Offeror’s intended performance and shall take into consideration the material provided in the technical data proposal. The Offeror shall provide a comprehensive project management plan. This is an overall plan showing how the Offeror will control the job to meet the completion date of September 2011 for the Lock and Dam #3 Navigation

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Improvements. The term “project management plan” is defined as a plan that includes the following as a minimum:

9.2.1 Subfactor 2a – Key Personnel & Organization

Discuss lines of authority, responsibilities and communications. Discussion should address how you will respond to changes. Discuss your team and corporate support. Provide the names, resumes, and levels of responsibility of the principal managers and technical personnel who will be directly responsible for the day‐to‐day design and construction activities. Provide qualifications of key project personnel including name and project assignment, and firm association. Project key personnel shall include as a minimum the engineering disciplines and key construction subcontractors listed below:

a. Give resumes of your key personnel from the Offeror’s Stage I (RFQ) document and discuss their roles and responsibilities on the overall project. Discuss any personnel or assignments that have changed since submission of the information during Stage I (RFQ). Demonstrate that all key design personnel are registered and/or licensed in their discipline and that all key personnel have experience and competence in assigned roles on projects of similar complexity, size and scope.

b. Identify any key subcontractors and describe their role and responsibilities on the project. Describe their experience and competence in assigned roles on projects of similar complexity, size and scope. Describe plans for management of these subcontractors. Discuss the extent of their roles with respect to the design and construction phases of this project. Except for the design team or prime construction contractor, as applicable, multiple subcontractors may be named for the same discipline.

c. Provide a detailed organization layout for each of the key teams depicting the interaction of the key personnel and players on this project. Show and describe how different teams will interact with one another, including designers, contractors, subcontractors, and other key members of the team, as well as with the Government.

d. Illustrate proposed staffing for quality management.

e. Illustrate proposed staffing for safety management.

Additional Information for Offerors Proposing Joint Venture (JV) Arrangements

For Joint Venture (JV) arrangements, submit the following information and documentation regarding the JV entity:

a) A certified copy of the JV Agreement.

b) A detailed statement outlining the following items in terms of percentages, where appropriate:

a. The relationship of the JV parties in terms of business ownership, capital contribution, and profit distribution or loss sharing.

b. The management approach of the joint venture in terms of who will conduct, direct, supervise and control the project and have custody and control of the assets of the joint venture and perform the duties necessary to complete the work.

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c. The structure of the joint venture and decision‐making responsibilities of the joint venture parties in terms of who will control the manner and method of performance of the work.

d. The bonding responsibilities of the joint venture parties.

e. Identification of the key personnel having authority to legally bind the joint venture to subcontracts and state who will provide or contract for the labor and materials for the joint venture.

f. Identification of the party maintaining the joint venture bank accounts for the payment of all expenses and the deposits of all receipts, book and record keeping, and payment of applicable taxes for the JV.

g. Identification of the party having overall control of the joint venture.

9.2.2 Subfactor 2b – Quality and Safety Management

Discuss the Offeror’s methods for providing quality assurance and quality control required for the project. Discuss how the Offeror will manage decision making on quality issues when there are schedule and/or cost impacts to those decisions. Discuss the management of subcontractor quality control, including responsibilities and authorities of the prime and subcontractors. Discuss the proposed staffing plan for quality control personnel as shown in the organization chart, and their responsibilities and authorities. A formal quality control plan is not required to be submitted with the proposal.

Discuss the Offeror’s corporate safety culture and philosophy. Discuss the Offeror’s proposed staffing for safety management as shown in the organization chart and their on‐site responsibilities and authority. Discuss items that may be high risk on the project from a safety perspective and what the Offeror proposes to do to mitigate the potential risk(s). The Offeror’s safety structure for this project should also address navigation safety concerns and procedures for working in proximity to commercial/industrial traffic and recreational traffic. A formal safety plan is not required to be submitted with the proposal.

9.2.3 Subfactor 2c – Communication Approach

This is a significant project for the USACE St. Paul District and for river navigation. It will not only receive significant local coverage on its progress but also national coverage. It is very important that all concerned project team members, subcontractors, partners, and stakeholders be aware of the day‐to‐ day activities and the status of the project. The formal Communication Plan (to be prepared by the successful Offeror after award) will provide the framework to ensure the St. Paul District personnel have the information needed in communicating with their stakeholders. A well‐conceived and executed communication plan will help insure that this is accomplished.

The audiences to be reached include District personnel, subcontractors, and an external audience made up of Federal, state and local agencies, industry groups (i.e. navigation industry), and other partners and stakeholders interested in or involved in this project such as navigation and recreational users.

Although a formal Communication Plan is not required to be submitted with the proposal, the Offeror shall discuss how a Communication Plan will be developed and the key elements of the Communication

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Plan. In particular, the Offeror should discuss communicating with waterway and navigation users should these resources be impacted by the Offeror’s activities. Also, identify essential processes and events that will assure that our external customers as well as District employees are fully informed of the project.

Describe the Offeror’s general plan for day‐to‐day communication of the key team members to ensure a successful execution of the project.

9.3 FACTOR 3 – SCHEDULE MANAGEMENT PLAN (TAB C)

Provide a Critical Path Method (CPM) schedule, showing how the work will be performed and completed within the duration shown in Section 01 32 01.00 13. Show all required design phases, including reviews and resolution of comments as well as all construction phases necessary to complete the work.

Show completion, turnover, and as‐built submissions. Offerors may submit schedules offering lesser duration for completion as long as the required review times are not shortened.

Provide a brief narrative describing the schedule assumptions and schedule management plan in regard to allowable work windows and schedule constraints described in the RFP. The narrative should also address any schedule contingencies or other features that would address the potential for inability to work due to seasonal high river flows or flooding. Identify any risk items that would or could impact the schedule and how the Offeror would plan to address these issues.

9.4 FACTOR 4 – PROJECT SOLUTIONS (TAB D)

9.4.1 Subfactor 4a: Technical Solutions

The purpose of these requirements is: (1) to provide sufficient information for the evaluators to determine conformance of the proposal with the project performance requirements; and, (2) to provide sufficient data to determine the engineering sufficiency and soundness of the basic approach of the proposal and confirmation of the essential engineering criteria and operation and maintenance requirements.

A design concept for the guide wall was originally proposed as part of the General Reevaluation Report (GRR). This system may be utilized for the proposal. However, Offerors may propose changes to the system or a completely different system if they provide sound engineering and reasoning to do so. The GRR design is based on a particular solution assuming a three non‐ navigation season construction window. The current construction window is shorter; therefore particular solutions proposed by the Offerors may be different to facilitate construction efficiency and access to the work area.

Each Offeror shall provide a single solution and address the benefits of this solution. Alternate solutions will not be considered.

a) Channel Modifications: Provide (via illustration, narrative, or both) a description of the Offeror’s proposed channel excavation and placement plan that will be used to accomplish the channel

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For Reference Only: Draft RFP Document – Subject to Change modification work required for the navigation improvements. Confirm the type of equipment that is proposed for use and the methodology by which the necessary quantity of sand fill material will be placed. Discuss or identify measures or adaptive management plans that will be used or considered to adjust the excavation plan to ensure that correct quantity of sand fill materials are placed in the correct locations. Describe the methodology to import and place the required cap rock layer to prevent placed sand fill from migrating or eroding during the execution of the work. In conjunction with the schedule management plan, the discussion should describe how channel excavation operations will be phased and the work protected to accommodate allowable work windows and the presence of navigation traffic.

b) Guide Wall Drawings: Provide a type, size, and configuration plan and profile showing salient features and location of the proposed guide wall. The plan should show enough features so that the Government can confirm and evaluate the Offeror’s proposed system, its geometric extents, its general conformance to the technical requirements included in this solicitation, and its functionality in regard to its intended use. A plan, profile, and representative section shall be shown for the proposed structure. The profile and section of the structure shall show the design bottom grades, proposed invert elevations, top elevations, and elevations of the skirt (openings) at the bottom the guide wall.

c) Supporting Documentation: The Government understands that the Offeror will fully develop the final design after the Notice‐to‐Proceed (if awarded). However, the Offeror shall submit supporting design information to support the proposed design elements so that the Government can confirm that the proposed design would meet the basic technical constraints or requirements mandated by this solicitation. The submitted information is not intended to be exhaustive; however this information must demonstrate to the Government that the proposed design is feasible and will meet the requirements. The types of information that could be submitted as supporting information include, but are not limited to, design calculations, catalog cuts, and examples of similar, successful applications.

d) Technical Discussions: The following discussion items are to be supplied to show the Offeror’s understanding and capabilities:

a. Provide a general discussion of all structural, electrical, and mechanical features to be supplied during construction or incorporated into the final structure.

b. Describes how your team will bring key resources, suppliers, and fabricators to bear on the project in order to meet the aggressive schedule. This narrative should demonstrate a realistic approach to obtain and provide required labor and equipment to ensure timely completion of the Lock and Dam #3 Navigation Improvements project.

c. Discuss the process by which Government owned and private property will be safeguarded and accounted for during design and construction.

d. Describe plans beyond the conceptual level. Without providing drawings and detailed design information, describe in narrative form the vision and direction of each feature.

Describe any additional innovative aspects of the solution that could save time and money if your team was awarded the contract and advanced the design beyond the concept level.

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e. Describe how the solution meets the performance requirements and specifications included in the RFP that are not addressed in the drawings or basic calculations.

f. Describe your team’s experience and confidence in building the proposed solutions.

9.4.2 Subfactor 4b: Construction Narrative

The information submitted under this subfactor is intended to confirm and build on the technical approach information submitted under the RFQ. The Offeror shall provide a construction management plan for the construction phase(s) of the project. The plan should include information that will convey the proposed means and methods of construction, methods of control of field work (schedule, cost, quality, and safety), and key decision‐making responsibilities and authorities.

The project is proposed with an aggressive schedule; provide the Offeror’s technical approach to the construction of the project, including any innovative means and methods that may be proposed to save time and/or money or to overcome schedule and logistics (materials handling) challenges. Discuss how the Offeror’s means and methods and production rates are achievable, including examples from other projects (if relevant). Describe the general sequence of construction and critical path items related to the project schedule. Discuss critical resource (labor, equipment, and/or materials) and production issues and how they are mitigated by your construction approach. Discuss the integration of the key design personnel and their organization in the preconstruction phases and during construction.

Generally describe what work will be self‐performed and what major subcontracts are anticipated including descriptions of companies that are anticipated to hold major subcontracts or supply contracts.

Discuss the Offeror’s management of and communication with key subcontractors and the Government.

9.5 FACTOR 5 – SMALL BUSINESS SUBCONTRACTING APPROACH (TAB E)

The Offeror shall submit a description of their philosophy and approach to subcontracting for this project and indicate the extent to which the Offeror has attained applicable goals for small business participation, particularly the extent of participation of small disadvantaged business concerns, under previous contracts that required subcontracting plans. Provide rationale supporting successful overall subcontracting performance and evidence demonstrating corporate support to achieve subcontracting goals.

The small business subcontracting goals of the US Army Corps of Engineers, expressed in percent of total planned subcontracting dollars, are as follows:

Small Business 70.0% Small Disadvantaged Business 6.2% Women‐Owned Small Business 7.0% HUBZone Small Business 9.8% Veteran‐Owned Small Business 3.0% Service‐Disabled Veteran‐Owned Small Business 0.9%

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Offerors that qualify as a small business automatically receive the highest rating possible for this factor and do not need to include a narrative for Factor 5.

A small business subcontracting plan per FAR 52.219‐9 that adequately addresses the required statutory elements will be required of the selected Offeror before contract award.

DRAFT

September 2009

Section 00 12 50 – Evaluation Methodology and Procedures

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Section 00 12 50

Phase II: Request For Proposals – Evaluation Methodology and Procedures

Table of Contents

1.0 Evaluation Procedures

2.0 Definitions

3.0 EVALUATION METHODOLOGY

3.1 FACTOR 1 – PRICE…