LD3 0025 RFQ Final 071709 1130.pdf

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

Design‐Build Procurement

July 2009

U.S. ARMY CORPS OF ENGINEERS

St. Paul District

W912ES‐09‐R‐0025

USACE St. Paul District July 2009

TABLE OF CONTENTS

SECTION 00 05 00 Offeror’s Checklist

SECTION 00 10 00 Instructions to Offerors

SECTION 00 11 00 Submission Requirements and Evaluation Factors

SECTION 00 12 00 Request for Qualifications Evaluation Procedures

SECTION 00 83 00 List of Attachments

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

Section 00 05 00 – Offeror’s Checklist

Section 00 05 00, Page 1

SECTION 00 05 00

OFFEROR’S CHECKLIST – RFQ (PHASE I)

PART 1 GENERAL

1.1 OFFEROR’S CHECKLIST

All information required by the terms of the Solicitation must be furnished with the RFQ response.

MISTAKES AND OMISSIONS CAN BE COSTLY. Important items for the Offeror to check include, but are not limited to, those listed below. This checklist is furnished only to assist the Offeror in submitting a complete response to the RFQ (Phase I).

Is the information in TAB A complete and has the form been properly signed?

Have all amendments been properly acknowledged on the Proposal Data Sheet to be included in TAB A.

Are the envelopes containing the proposal items properly identified?

Are the envelopes marked with the correct solicitation number and submission date and time?

Is the Pro‐Forma information (TAB G) contained in a separate envelope?

Will the RFQ response arrive on time? Late hand‐carried responses will not be considered.

Late responses will be handled in accordance with FAR 52.215‐1 “ Instructions to Offerors— Competitive Acquisition.”

END OF SECTION

Section 00 10 00 – Instructions to Offerors

SECTION 00 10 00

Instructions to Offerors (PHASE I)

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 QUALIFICATIONS (RFQ) EXPENSES AND PRE‐CONTRACT COSTS

1.10 PRE‐RFQ CONFERENCE

1.11 METHOD OF PROCUREMENT

1.12 RFQ SUBMITTALS

1.13 RFQ FORMAT

1.13.1 General Requirements

1.13.1.1 Written Submission

1.13.1.2 Text

1.13.1.3 Font Size

1.13.1.4 Format

1.13.1.5 Binding

1.13.1.6 Content

1.13.1.7 Page Limitations

1.14 PROVISIONS/CLAUSES INCORPORATED BY FULL TEXT

1.14.1 52.214‐34 SUBMISSION OF OFFERS IN THE ENGLISH LANGUAGE (APR 1991)

1.14.2 52.215‐1 INSTRUCTIONS TO OFFERORS‐‐COMPETITIVE ACQUISITION (JAN 2004)11

1.14.3 52.233‐2 SERVICE OF PROTEST (SEP 2006)

1.14.4 52.236‐1 PERFORMANCE OF WORK BY THE CONTRACTOR (APR 1984)

Section 00 10 00, Page 2

1.1 INTRODUCTION

The United States Army Corps of Engineers, St. Paul District (Government) is soliciting a Request for Qualifications (RFQ) for the Lock and Dam #3 Navigation Improvements Project (Project) as Phase I of a two‐phase design‐build selection procedure. A two‐phase procurement structure will be used for the Project, consisting of a Phase I Request for Qualifications (RFQ) and a subsequent Phase II Request for Proposals (RFP). The RFQ is being issued to identify, using the criteria and methodology described herein, a shortlist of qualified and capable design‐build teams that will be invited to submit technical/price proposals for Phase II (RFP portion). The Government anticipates that three firms will be shortlisted (from the RFQ responses) and invited to submit responses to the RFP;

however, the Government reserves the right to shortlist more (but not more than five) or less firms depending on the responses to the RFQ received. All Offerors will receive written notice if they were or were not selected to compete in Phase II.

In Phase II, the RFP package will be issued to the short listed design‐build teams and will specify technical and pricing criteria. Those selected for Phase II will have approximately 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 RFQ. The guide wall extension and the associated channel work will be accomplished using a single design‐build

Section 00 10 00, Page 3 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.

Construction schedule constraints will provide project challenges. The condensed construction periods are due to the avoidance of high river discharge conditions, working around active navigation, working in winter conditions during the non‐navigation season, and environmental constraints such as restricting work during fish spawning season.

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

Not used for the RFQ.

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 00, 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 FedBizOpps website via access through the Army Single Face to Industry website. The website address is:

http://www.fbo.gov/

All amendments will be posted to the FedBizOpps website via access through the Army Single Face to Industry website. 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 11 00) to the Government point of contact (POC) in 1.6; this requirement is necessary for each amendment. The Offeror shall submit in the RFQ all requested information specified in this solicitation. There will be no public opening of the qualifications 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 RFQ 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 00, Page 5 mailto:Patricia.M.Simon@usace.army.mil

1.7 SMALL BUSINESS SIZE STANDARD

The small business size standard for this procurement is $33.5 million 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 QUALIFICATIONS (RFQ) EXPENSES AND PRE‐CONTRACT COSTS

This Request for Qualifications (RFQ) 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 I or II.

1.10 PRE‐RFQ CONFERENCE

There will be no pre‐qualification conference or pre‐qualification site visit for this project.

1.11 METHOD OF PROCUREMENT

(a) The Government intends to conduct this acquisition in accordance with the provisions set forth in the Request for Qualifications (RFQ). The materials submitted and presentations will be evaluated and a shortlist of Offerors will be selected to proceed to Phase II (RFP) that are determined to be the most highly qualified by the Government. All Offerors will receive written notice of whether they were or were not selected to compete in Phase II. The fact that a particular Phase I proposal is not selected to participate in Phase II is not necessarily an indication that the Offeror, its proposed team, or its Phase I proposal were in any way deficient or unacceptable but only that more highly rated proposals were present in this competition. Offerors not participating in Phase II are encouraged to submit bids or proposals in response to other St. Paul District procurements.

(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 Qualifications does not constitute an award commitment on the part of the Government.

(c) Qualifications must set forth full, accurate, and complete information as required by this RFQ, (including attachments). The penalty for making false statements is prescribed in 18 U.S.C. 1001.

(d) The Government reserves the right to hold discussions with Offerors in the competitive range for both the RFQ and the RFP processes. Offerors are advised that the Government intends to select Offerors for participation in the Phase II RFP process without discussions, clarifications or any contact concerning the proposals received.

Section 00 10 00, Page 6

1.12 RFQ SUBMITTALS

Offerors who have their qualifications 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 qualifications materials. At the time specified below it will be announced that receipt of qualifications is closed. Official time will be established by the clock located in the area where the qualifications are received. Offers determined to be late shall be rejected.

Qualifications will be received until 2:00 p.m. (local time) on 17 August 2009, 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 Qualifications shall be marked:

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

Section 00 10 00, Page 7

1.13 RFQ FORMAT

1.13.1 General Requirements

General requirements regarding qualifications submission formats for Phase I of this solicitation are described below. See Section 00 11 00 for detailed RFQ submission requirements. Preliminary RFP information, included only for the Offeror’s information, is included in Sections 00 10 50 and 00 11

50. The following table summarizes the major RFQ submittals:

Phase I (RFQ) Item Description Location

Proposal Data Sheet TAB A

Factor 1 – Technical Experience Subfactor 1a ‐ Navigation and Marine Design Experience Subfactor 1b ‐ Navigation and Marine Construction Experience Subfactor 1c ‐ Local Conditions

TAB B

Factor 2 ‐ Past Performance Subfactor 2a – Quality of Product/Service Subfactor 2b – Customer Satisfaction Subfactor 2c – Adherence to Project Schedules Subfactor 2d – Safety Record

TAB C

Factor 3 – Key Project Personnel Capabilities and Experience TAB D

Factor 4 – Organization and Business Management Plan TAB E

Factor 5 – Project Approach Subfactor 5a – Available Equipment Subfactor 5b – Materials Handling and Logistics Subfactor 5c – Technical Approach

TAB F

Factor 6 – Pro‐forma Information Subfactor 6a – Financial Subfactor 6b – Bonding

TAB G

Separate Envelope

1.13.1.1 Written Submission

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

1.13.1.2 Text

Text shall be at least single space, on 8 ½” x 11” paper, with a minimum one‐inch margin all around and contained in one volume. Pages shall be numbered consecutively within each TAB. 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

Section 00 10 00, Page 8 paper is encouraged. Include a detailed table of contents, numbered pages, and tabbed sections for each of the evaluation criteria. For drawing sheets, use half‐size sheets (11”x17”).

1.13.1.3 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.

1.13.1.4 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.

1.13.1.5 Binding

The original and each of the copies should be submitted as individual documents using tabbed, 3‐ ring binders. Note that Pro Forma material shall be submitted separately in a sealed manila envelope.

1.13.1.6 Content

Do not submit any materials not required by this solicitation (such as company brochures and marketing material).

1.13.1.7 Page Limitations

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

Section 00 10 00, Page 9

Volume Title Page Limitation

RFQ TAB A Phase I Proposal Data Sheet Per Form and as needed.

RFQ TAB B Subfactor 1a – Design Experience (SF 330 format, 1 page/project)

Min. 3, Max 5 project examples

RFQ TAB B Subfactor 1b – Construction Experience (SF 330 format, 1 page/project)

Min. 3, Max 5 project examples

RFQ TAB B Subfactor 1c – Local Conditions (SF 330 format, 1 page/project)

Min. 3, Max 5 project examples

RFQ TAB C Factor 2 – Past Performance ‐

RFQ TAB C Design Experience Past Performance As needed

RFQ TAB C Construction Experience Past Performance As needed

RFQ TAB C Subfactor 2d – Safety Past Performance Information

As needed

RFQ TAB D Factor 3 – Key Project Personnel ‐

RFQ TAB D Narrative 2 pages

RFQ TAB D Resumes (SF 330 Format) 20 pages

RFQ TAB E Factor 4 – Proposed Org. & Business Management Plan

RFQ TAB E Organizational Chart 2 pages

RFQ TAB E Narrative 5 pages

RFQ TAB F Factor 5 – Project Approach ‐

RFQ TAB F Subfactor 5a – Available Equipment 2 pages

RFQ TAB F Subfactor 5b – Material Handling and Logistics 2 pages

RFQ TAB F Subfactor 5c – Technical Approach 2 pages

RFQ TAB G

Separate

Factor 6 – Pro‐Forma Requirements Separate Envelope – As needed.

Section 00 10 00, Page 10

1.14 PROVISIONS/CLAUSES INCORPORATED BY FULL TEXT

1.14.1 52.214‐34 SUBMISSION OF OFFERS IN THE ENGLISH LANGUAGE (APR 1991)

Offers submitted in response to this solicitation shall be in the English language. Offers received in other than English shall be rejected.

(End of provision)

1.14.2 52.215‐1 INSTRUCTIONS TO OFFERORS‐‐COMPETITIVE ACQUISITION (JAN 2004)

(a) Definitions. As used in this provision‐‐

“Discussions” are negotiations that occur after establishment of the competitive range that may, at the Contracting Officer's discretion, result in the offeror being allowed to revise its proposal.

“In writing or written” means any worded or numbered expression which can be read, reproduced, and later communicated, and includes electronically transmitted and stored information.

“Proposal modification” is a change made to a proposal before the solicitation's closing date and time, or made in response to an amendment, or made to correct a mistake at any time before award.

“Proposal revision” is a change to a proposal made after the solicitation closing date, at the request of or as allowed by a Contracting Officer as the result of negotiations.

“Time”, if stated as a number of days, is calculated using calendar days, unless otherwise specified, and will include Saturdays, Sundays, and legal holidays. However, if the last day falls on a Saturday, Sunday, or legal holiday, then the period shall include the next working day.

(b) Amendments to solicitations. If this solicitation is amended, all terms and conditions that are not amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendment(s).

(c) Submission, modification, revision, and withdrawal of proposals. (1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals shall be submitted in paper media in sealed envelopes or packages (i) addressed to the office specified in the solicitation, and (ii) showing the time and date specified for receipt, the solicitation number, and the name and address of the offeror. Offerors using commercial carriers should ensure that the proposal is marked on the outermost wrapper with the information in paragraphs (c)(1)(i) and (c)(1)(ii) of this provision.

(2) The first page of the proposal must show‐‐

(i) The solicitation number;

Section 00 10 00, Page 11

(ii) The name, address, and telephone and facsimile numbers of the offeror (and electronic address if available);

(iii) A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which prices are offered at the price set opposite each item;

(iv) Names, titles, and telephone and facsimile numbers (and electronic addresses if available) of persons authorized to negotiate on the offeror's behalf with the Government in connection with this solicitation; and

(v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to the issuing office.

(3) Submission, modification, or revision, of proposals.

(i) Offerors are responsible for submitting proposals, and any modifications, or revisions, so as to reach the Government office designated in the solicitation by the time specified in the solicitation. If no time is specified in the solicitation, the time for receipt is 4:30 p.m., local time, for the designated Government office on the date that proposal or revision is due.

(ii)(A) Any proposal, modification, or revision received at the Government office designated in the solicitation after the exact time specified for receipt of offers is “late” and will not be considered unless it is received before award is made, the Contracting Officer determines that accepting the late offer would not unduly delay the acquisition; and‐‐

(1) If it was transmitted through an electronic commerce method authorized by the solicitation, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m.

one working day prior to the date specified for receipt of proposals; or

(2) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of offers and was under the Government's control prior to the time set for receipt of offers; or

(3) It is the only proposal received.

(B) However, a late modification of an otherwise successful proposal that makes its terms more favorable to the Government, will be considered at any time it is received and may be accepted.

(iii) Acceptable evidence to establish the time of receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel.

(iv) If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the office designated for receipt of proposals by the exact time

Section 00 10 00, Page 12 specified in the solicitation, and urgent Government requirements preclude amendment of the solicitation, the time specified for receipt of proposals will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which normal Government processes resume.

(v) Proposals may be withdrawn by written notice received at any time before award. Oral proposals in response to oral solicitations may be withdrawn orally. If the solicitation authorizes facsimile proposals, proposals may be withdrawn via facsimile received at any time before award, subject to the conditions specified in the provision at 52.215‐5, Facsimile Proposals. Proposals may be withdrawn in person by an offeror or an authorized representative, if the identity of the person requesting withdrawal is established and the person signs a receipt for the proposal before award.

(4) Unless otherwise specified in the solicitation, the offeror may propose to provide any item or combination of items.

(5) Offerors shall submit proposals in response to this solicitation in English, unless otherwise permitted by the solicitation, and in U.S. dollars, unless the provision at FAR 52.225‐17, Evaluation of Foreign Currency Offers, is included in the solicitation.

(6) Offerors may submit modifications to their proposals at any time before the solicitation closing date and time, and may submit modifications in response to an amendment, or to correct a mistake at any time before award.

(7) Offerors may submit revised proposals only if requested or allowed by the Contracting Officer.

(8) Proposals may be withdrawn at any time before award. Withdrawals are effective upon receipt of notice by the Contracting Officer.

(d) Offer expiration date. Proposals in response to this solicitation will be valid for the number of days specified on the solicitation cover sheet (unless a different period is proposed by the offeror).

(e) Restriction on disclosure and use of data. Offerors that include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall‐‐

(1) Mark the title page with the following legend: This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed‐‐in whole or in part‐‐for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of‐‐or in connection with‐‐ the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; and

(2) Mark each sheet of data it wishes to restrict with the following legend: Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.

Section 00 10 00, Page 13

(f) Contract award. (1) The Government intends to award a contract or contracts resulting from this solicitation to the responsible offeror(s) whose proposal(s) represents the best value after evaluation in accordance with the factors and subfactors in the solicitation.

(2) The Government may reject any or all proposals if such action is in the Government's interest.

(3) The Government may waive informalities and minor irregularities in proposals received.

(4) The Government intends to evaluate proposals and award a contract without discussions with offerors (except clarifications as described in FAR 15.306(a)). Therefore, the offeror's initial proposal should contain the offeror's best terms from a cost or price and technical standpoint. The Government reserves the right to conduct discussions if the Contracting Officer later determines them to be necessary. If the Contracting Officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the Contracting Officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals.

(5) The Government reserves the right to make an award on any item for a quantity less than the quantity offered, at the unit cost or prices offered, unless the offeror specifies otherwise in the proposal.

(6) The Government reserves the right to make multiple awards if, after considering the additional administrative costs, it is in the Government's best interest to do so.

(7) Exchanges with offerors after receipt of a proposal do not constitute a rejection or counteroffer by the Government.

(8) The Government may determine that a proposal is unacceptable if the prices proposed are materially unbalanced between line items or subline items. Unbalanced pricing exists when, despite an acceptable total evaluated price, the price of one or more contract line items is significantly overstated or understated as indicated by the application of cost or price analysis techniques. A proposal may be rejected if the Contracting Officer determines that the lack of balance poses an unacceptable risk to the Government.

(9) If a cost realism analysis is performed, cost realism may be considered by the source selection authority in evaluating performance or schedule risk.

(10) A written award or acceptance of proposal mailed or otherwise furnished to the successful offeror within the time specified in the proposal shall result in a binding contract without further action by either party.

(11) If a post‐award debriefing is given to requesting offerors, the Government shall disclose the following information, if applicable:

(i) The agency's evaluation of the significant weak or deficient factors in the debriefed offeror's offer.

Section 00 10 00, Page 14

(ii) The overall evaluated cost or price and technical rating of the successful and the debriefed offeror and past performance information on the debriefed offeror.

(iii) The overall ranking of all offerors, when any ranking was developed by the agency during source selection.

(iv) A summary of the rationale for award.

(v) For acquisitions of commercial items, the make and model of the item to be delivered by the successful offeror.

(vi) Reasonable responses to relevant questions posed by the debriefed offeror as to whether source‐selection procedures set forth in the solicitation, applicable regulations, and other applicable authorities were followed by the agency.

(End of provision)

Section 00 10 00, Page 15

Section 00 10 00, Page 16

1.14.3 52.233‐2 SERVICE OF PROTEST (SEP 2006)

(a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from

James Roloff

Contracting Officer

U.S. Army Corps of Engineers, Suite 401

190 Fifth Street East

St. Paul, MN 55101

(b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO.

(End of provision)

1.14.4 52.236‐1 PERFORMANCE OF WORK BY THE CONTRACTOR (APR 1984)

The Contractor shall perform on the site, and with its own organization, work equivalent to at least 15 percent of the total amount of work to be performed under the contract. This percentage may be reduced by a supplemental agreement to this contract if, during performing the work, the Contractor requests a reduction and the Contracting Officer determines that the reduction would be to the advantage of the Government.

(End of clause)

Section 00 11 00 – Submission Requirements and Evaluation Factors

Section 00 11 00, Page 2

Section 00 11 00

Phase I: Request For Qualifications

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 I (RFQ) SUBMISSION REQUIREMENTS AND EVALUATION FACTORS

9.1 PROPOSAL DATA SHEET (TAB A)

9.2 FACTOR 1 – TECHNICAL EXPERIENCE (TAB B)

9.2.1 Subfactor 1a ‐ Navigation and Marine Design Experience

9.2.2 Subfactor 1b ‐ Navigation and Marine Construction Experience

9.2.3 Subfactor 1c ‐ Local Conditions

9.3 FACTOR 2 – PAST PERFORMANCE (TAB C)

9.4 FACTOR 3 – KEY PROJECT PERSONNEL CAPABILITIES AND EXPERIENCE (TAB D)

9.5 FACTOR 4 – PROPOSED ORGANIZATION AND BUSINESS MANAGEMENT PLAN (TAB E)

9.6 FACTOR 5 – PROJECT APPROACH (TAB F)

9.6.1 Subfactor 5a ‐ Available Equipment

9.6.2 Subfactor 5b – Material Handling and Logistics

9.6.3 Subfactor 5c – Technical Approach

9.7 FACTOR 6 – PRO‐FORMA REQUIREMENTS (TAB G – Separate Envelope)

9.7.1 Subfactor 6a – Financial Capability

9.7.2 Subfactor 6b – Bonding Capability

ATTACHMENTS

ATTACHMENT 1 – PHASE ONE PROPOSAL DATA SHEET (TAB A)

ATTACHMENT 2 – PAST PERFORMANCE EVALUATION QUESTIONAIRE: DESIGN (TAB C)

ATTACHMENT 3 – PAST PERFORMANCE EVALUATION QUESTIONAIRE: CONSTRUCTION (TAB C)

USACE St. Paul District June 2009

1 OVERVIEW

The United States Army Corps of Engineers, St. Paul District (Government) is soliciting a Request for Qualifications (RFQ) for the Lock and Dam #3 Navigation Improvements Project (Project) as Phase I of a two‐phase design‐build selection procedure. A two‐phase procurement structure will be used for the Project, consisting of a Phase I Request for Qualifications (RFQ) and a subsequent Phase II Request for Proposals (RFP). The RFQ is being issued to identify, using the criteria and methodology described herein, a shortlist of qualified and capable design‐build teams that will be invited to submit technical/price proposals for Phase II (RFP portion). The Government anticipates that three firms will be shortlisted (from the RFQ responses) and invited to submit responses to the RFP; however, the Government reserves the right to shortlist more (but not more than five) or less firms depending on the responses to the RFQ received. All Offerors will receive written notice if they were or were not selected to compete in Phase II.

In Phase II, the RFP package will be issued to the short listed design‐build teams and will specify technical and pricing criteria. Those selected for Phase II will have approximately 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 RFQ. 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 00, Page 3

3 SCHEDULE

The anticipated schedule is as follows:

Schedule Activity Date

Request for Qualification (RFQ) materials issued by the Government

July 17, 2009

RFQ responses due to Government August 17, 2009, 2:00 PM

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 Phase I (RFQ) or Phase II (RFP) evaluations as needed.

6 STIPEND

A stipend will not be paid to those Offerors that submit a response to the RFQ in Phase I, or to the short‐ listed firms invited to submit proposals to the RFP in Phase II.

Section 00 11 00, Page 4

7 GENERAL INSTRUCTIONS

Submit the Phase I (RFQ) proposal in a tabbed, three‐ring binder; refer to Section 00 10 00, “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 00. PHASE I DOES NOT INVOLVE PRICING

SUBMISSION.

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.

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

Phase I (RFQ) Item Description Location

Proposal Data Sheet TAB A

Factor 1 – Technical Experience Subfactor 1a ‐ Navigation and Marine Design Experience Subfactor 1b ‐ Navigation and Marine Construction Experience Subfactor 1c ‐ Local Conditions

TAB B

Factor 2 ‐ Past Performance Subfactor 2a – Quality of Product/Service Subfactor 2b – Customer Satisfaction Subfactor 2c – Adherence to Project Schedules Subfactor 2d – Safety Record

TAB C

Factor 3 – Key Project Personnel Capabilities and Experience TAB D

Factor 4 – Organization and Business Management Plan TAB E

Factor 5 – Project Approach Subfactor 5a – Available Equipment Subfactor 5b – Materials Handling and Logistics Subfactor 5c – Technical Approach

TAB F

Factor 6 – Pro‐forma Information Subfactor 6a – Financial Subfactor 6b – Bonding

TAB G

Separate

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 complete and signed proposal transmittal form (TAB A), a technical/quality proposal (TABS B‐F), or pro‐forma requirements (TAB G) in response to Phase I.

Section 00 11 00, Page 5

9 PHASE I (RFQ) SUBMISSION REQUIREMENTS AND EVALUATION FACTORS

9.1 PROPOSAL DATA SHEET (TAB A)

Submit one copy of the Proposal Data Sheet, completed and signed, as provided in Attachment 1.

9.2 FACTOR 1 – TECHNICAL EXPERIENCE (TAB B)

The Offeror shall provide a minimum of three (3), and no more than five (5), project examples to address each of the subfactors. The examples should be similar in terms of construction type, size, schedule, and complexity, which the Offeror’s company, proposed contracting entity (such as a joint venture (JV)), or component companies of the proposed contracting entity has completed within the last ten (10) years, or which are currently under contract with preconstruction or design services 100% completed and construction 50% or greater completed. One project may qualify under more than one subfactor, but must be listed under each to be considered. In an SF 330 Block F format (1 page per project), provide the project name, a short description, the size (e.g. in terms of capacity or geometric extents) and dollar value, the owner’s name and telephone number, the date of completion, the percentage of the project self‐performed, and whether the Offeror performed as the Prime Contractor and/or Designer. Information regarding the type and the extent of work completed under the contract shall be included, as well as any challenges and solutions. Demonstrate how projects the Offeror submits are comparable in scope, schedule and complexity to the project descriptions included in each subfactor (see below).

Explain the extent of participation by current key personnel to help validate "corporate memory" or “corporate experience” that will be applicable to this project. Indicate prior relationships between the Construction Contractor and Lead Architect‐Engineering Designers on the projects. The three (3) subfactors that will be considered under this Factor are described as follows:

9.2.1 Subfactor 1a ‐ Navigation and Marine Design Experience

For this subfactor, a design project of similar type, schedule and complexity is considered to be a navigation or marine project with similar navigation structures with a construction schedule of less than three years. Example projects should have a construction value at or exceeding $10M. Example projects with a construction value exceeding $30M should be provided, if available. Experience with Federal Government or US Army Corps of Engineers (USACE) projects similar in type, size, and complexity and projects with aggressive schedules or larger than $30M will be given additional weight.

9.2.2 Subfactor 1b ‐ Navigation and Marine Construction Experience

For this subfactor, a construction project of similar type, schedule and complexity is considered to be a navigation or marine project with similar navigation structures, and projects with marine channel excavation and fill placement components, with a construction schedule of less than three years.

Example projects should have a construction value at or exceeding $10M. Example projects with a construction value exceeding $30M should be provided, if available. Experience with Federal Government or USACE projects similar in type, size, and complexity and projects with aggressive

Section 00 11 00, Page 6 schedules or larger than $30M will be given additional weight. As an example, similar projects might include:

a. Marine excavation and fill operations

b. Navigation locks or other similar navigable structures

c. Marine foundations (as a component of a project)

d. Levees, floodwalls, and other embankments designed to resist hydraulic forces

9.2.3 Subfactor 1c ‐ Local Conditions

For this subfactor, describe the Offeror’s knowledge of and/or experience with civil or marine construction projects in locations that have similar elements or conditions to those involved with the above listed components. This may include areas similar to the riverine environment and work conditions found on the Mississippi River near Lock and Dam #3 (near Red Wing, Minnesota). The Offeror, through these projects, should demonstrate knowledge of working in and with similar conditions in terms of suitable design and construction knowledge and practices. The Offeror is encouraged to address each of the below components to the extent possible but is not required to provide project examples for all of the below components:

a. Cold Weather Design and Construction Considerations

b. Similar Geotechnical Conditions

c. Active Navigation Areas

d. Projects requiring significant material transportation to and from the site via marine conveyance methods (barged materials)

9.3 FACTOR 2 – PAST PERFORMANCE (TAB C)

The Offeror shall submit a list including at least three (3), and no more than five (5), projects each for both the designer and construction contractor (if different) that were completed (preconstruction or design services 100% completed and construction 50% completed or higher) within the last ten (10) years. If design and construction will be completed by the same company, the list should include at least three (3) and no more than five (5) projects for which the company served as designer and at least three (3) and no more than five (5) projects for which the company served as construction contractor.

The Offeror shall include the points of contact with its list of past performance projects, so that the Government may, at its sole discretion, follow up with the points of contact. Design and construction past performance will receive separate ratings under each subfactor. The Government prefers past performance information on projects presented in Factor 1 – Technical Experience. The list should include projects where the Offeror provided design or preconstruction services with subsequent construction work where the Offeror was the construction (prime) contractor, if available. The Offeror must provide certification if it has not completed, and therefore is not providing, the minimum number of projects.

The Offeror shall provide a Past Performance Evaluation Questionnaire to the point of contact and/or the person that represents the project owner’s evaluation of the Offeror’s past performance for each of the projects listed. The project point of contact for the listed references shall complete the questionnaire and remit it as instructed, no later than the closing date of receipt of proposals stated in

Section 00 11 00, Page 7 the RFQ, but preferably three (3) days prior to the closing date. Offerors are encouraged to follow up on the submittal of past performance questionnaires to ensure that all questionnaires have been mailed to the Government successfully. The Past Performance Questionnaires to be used are included as Attachment 2 for design past performance and Attachment 3 for construction past performance.

Each questionnaire requests information that addresses performance areas in relation to the quality of the Offeror’s products and services, the degree of Customer satisfaction with the Offeror’s performance, and the Offeror’s timeliness of performance. These performance areas constitute evaluation subfactors that will be used by the Government as follows:

Subfactor 2a – Quality of Product/Service

Subfactor 2b – Customer Satisfaction

Subfactor 2c – Adherence to Project Schedules

In addition to the above past performance information, the Offeror shall submit safety information in regard to the following subfactor:

Subfactor 2d – Safety

The Offeror shall submit Workers Compensation Experience Modification Rating (EMR) information for the last three (3) years. The EMR information shall be in the form of a letter from their carrier, and shall include the carrier’s name and contact information. The Offeror must provide certification if it does not have an EMR for the last three years, and must provide EMRs for the years that it does have. If the Offeror is a current or proposed JV, member of a teaming arrangement, limited liability company, or other conglomeration of more than one legal entity, EMR information for the construction contractor must be submitted.

9.4 FACTOR 3 – KEY PROJECT PERSONNEL CAPABILITIES AND EXPERIENCE (TAB D)

In addition to identifying the key project personnel for design and construction in a personnel organization chart, the Offeror shall provide a consolidated list of key personnel with name, position title and description of project responsibility. Indicate whether each individual has had a significant role in any of the cited project examples for Factor 1 or 2. If reassignment of personnel is considered possible, provide alternate professionals in each assignment. Include key designers, whether employed by the prime or by a design subcontractor (or through a JV relationship). For each person provide a one‐ page resume using the SF 330 Block E format. At a minimum include resumes for the following individuals:

1) Overall project manager responsible for design and construction

2) Overall design manager

3) Designers responsible for the civil, structural, geotechnical, and hydraulic disciplines. The proposed designers shall be registered architects or engineers.

4) On‐site project superintendent

5) Quality control manager

Section 00 11 00, Page 8

Provide similar key personnel information for specialty subconsultants, if any. The on‐site Project Superintendant shall have, as a minimum, an associate’s degree in construction management, engineering, or other appropriate construction discipline and at least six (6) years experience as a Project Superintendent on projects similar in monetary size and/or scope to the project described in this solicitation. However, if the proposed superintendant has 15 or more years of experience in construction, including at least six (6) years experience as a Project Superintendent on projects similar in monetary size and/or scope to the project described in this solicitation, then no formal education or degree is required.

The Quality Control Manager shall have, as a minimum, an associate’s degree in construction management, engineering, or other appropriate construction discipline and at least five (5) years experience in related duties on projects similar in monetary size and/or scope to the project described in this solicitation, or shall have a minimum of 15 years experience in related duties on construction projects.

9.5 FACTOR 4 – PROPOSED ORGANIZATION AND BUSINESS MANAGEMENT PLAN (TAB E)

This information considers the Offeror's intended approach to executing the design‐build contract. Limit the plan to the page limits and formatting requirements specified in Section 00 10 00 of this solicitation, clearly but concisely detail the organizational approach to project management and execution.

Describe all firms, including partnering firms and subcontractors, in the following manner: their resources and how their resources will be utilized, and their roles and responsibilities and any contractual arrangements that have been established. Identify the relationship between the prime contractor and all other firms required for successful program execution. Clearly describe any teaming or joint venture arrangements, including a clear description of each firm’s roles and responsibilities in the execution of this project. The Designer of Record must be identified with particularity. Describe the legal entity that will be submitting a proposal if selected to participate in the RFP (Stage II) process.

Include a simple organizational chart, outlining the primary management personnel responsible for project execution. Present a matrix of responsibilities for each firm in executing the key work breakdown structure activities of the project including design and construction activities for each major project feature. Identify the design firm(s) chosen for the project, if not to be self‐performed.

If a JV arrangement is proposed, identify, where appropriate, whether key…