DOT 23 CFR PART 636-2011 DESIGN-BUILD CONTRACTING.pdf

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1、212 23 CFR Ch. I (4111 Edition) Pt. 636 such materials produced in such facil-ity for use in Federal-aid highway con-struction during the 12-month period ending July 1, 1987. (b) Qualified prison facility means any prison facility in which convicts, dur-ing the 12-month period ending July 1, 1987, p

2、roduced materials for use in Fed-eral-aid highway construction projects. 53 FR 1923, Jan. 25, 1988, as amended at 58 FR 38975, July 21, 1993 PART 636DESIGN-BUILD CONTRACTING Subpart AGeneral Sec. 636.101 What does this part do? 636.102 Does this part apply to me? 636.103 What are the definitions of

3、terms used in this part? 636.104 Does this part apply to all Federal- aid design-build projects? 636.105 Is the FHWA requiring the use of de-sign-build? 636.106 Reserved 636.107 May contracting agencies use geo-graphic preference in Federal-aid design- build or public-private partnership projects? 6

4、36.108 Reserved 636.109 How does the NEPA process relate to the design-build procurement process? 636.110 What procedures may be used for so-licitations and receipt of proposals? 636.111 Can oral presentations be used dur-ing the procurement process? 636.112 May stipends be used? 636.113 Is the stip

5、end amount eligible for Federal participation? 636.114 What factors should be considered in risk allocation? 636.115 May I meet with industry to gather information concerning the appropriate risk allocation strategies? 636.116 What organizational conflict of in-terest requirements apply to design-bu

6、ild projects? 636.117 What conflict of interest standards apply to individuals who serve as selec-tion team members for the owner? 636.118 Is team switching allowed after con-tract award? 636.119 How does this part apply to a project developed under a public-private partner-ship? Subpart BSelection

7、Procedures, Award Criteria 636.201 What selection procedures and award criteria may be used? 636.202 When are two-phase design-build se-lection procedures appropriate? 636.203 What are the elements of two-phase selection procedures for competitive pro-posals? 636.204 What items may be included in a

8、phase-one solicitation? 636.205 Can past performance be used as an evaluation criteria? 636.206 How do I evaluate offerors who do not have a record of relevant past per-formance? 636.207 Is there a limit on short listed firms? 636.208 May I use my existing prequalification procedures with design- bu

9、ild contracts? 636.209 What items must be included in a phase-two solicitation? 636.210 What requirements apply to projects which use the modified design-build pro-cedure? 636.211 When and how should tradeoffs be used? 636.212 To what extent must tradeoff deci-sions be documented? Subpart CProposal

10、Evaluation Factors 636.301 How should proposal evaluation fac-tors be selected? 636.302 Are there any limitations on the se-lection and use of proposal evaluation factors? 636.303 May pre-qualification standards be used as proposal evaluation criteria in the RFP? 636.304 What process may be used to

11、rate and score proposals? 636.305 Can price information be provided to analysts who are reviewing technical proposals? Subpart DExchanges 636.401 What types of information exchange may take place prior to the release of the RFP document? 636.402 What types of information exchange may take place afte

12、r the release of the RFP document? 636.403 What information may be exchanged with a clarification? 636.404 Can a competitive range be used to limit competition? 636.405 After developing a short list, can I still establish a competitive range? 636.406 Are communications allowed prior to establishing

13、the competitive range? 636.407 Am I limited in holding communica-tions with certain firms? 636.408 Can communications be used to cure proposal deficiencies? 636.409 Can offerors revise their proposals during communications? VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00222 Fmt 8010 Sf

14、mt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-213 Federal Highway Administration, DOT 636.103 Subpart EDiscussions, Proposal Revisions and Source Selection 636.501 What issues may be

15、addressed in dis-cussions? 636.502 Why should I use discussions? 636.503 Must I notify offerors of my intent to use/not use discussions? 636.504 If the solicitation indicated my in-tent was to award contract without dis-cussions, but circumstances change, may I still hold discussions? 636.505 Must a

16、 contracting agency establish a competitive range if it intends to have discussions with offerors? 636.506 What issues must be covered in dis-cussions? 636.507 What subjects are prohibited in dis-cussions, communications and clarifica-tions with offerors? 636.508 Can price or cost be an issue in dis

17、-cussions? 636.509 Can offerors revise their proposals as a result of discussions? 636.510 Can the competitive range be further defined once discussions have begun? 636.511 Can there be more than one round of discussions? 636.512 What is the basis for the source se-lection decision? 636.513 Are limi

18、ted negotiations allowed prior to contract execution? 636.514 How may I provide notifications and debriefings? AUTHORITY: Sec. 1503 of Pub. L. 10959, 119 Stat. 1144; Sec. 1307 of Pub. L. 105178, 112 Stat. 107; 23 U.S.C. 101, 109, 112, 113, 114, 115, 119, 128, and 315; 49 CFR 1.48(b). SOURCE: 67 FR 7

19、5926, Dec. 10, 2002, unless otherwise noted. Subpart AGeneral 636.101 What does this part do? This part describes the FHWAs poli-cies and procedures for approving de-sign-build projects financed under title 23, United States Code (U.S.C.). This part satisfies the requirement of sec-tion 1307(c) of t

20、he Transportation Eq-uity Act for the 21st Century (TEA21), enacted on June 9, 1998. The con-tracting procedures of this part apply to all design-build project funded under title 23, U.S.C. 636.102 Does this part apply to me? (a) This part uses a plain language format to make the rule easier for the

21、 general public and business community to use. The section headings and text, often in the form of questions and an-swers, must be read together. (b) Unless otherwise noted, the pro-noun you means the primary recipi-ent of Federal-aid highway funds, the State Transportation Department (STD). Where t

22、he STD has an agree-ment with a local public agency (or other governmental agency) to admin-ister a Federal-aid design-build project, the term you will also apply to that contracting agency. 636.103 What are the definitions of terms used in this part? Unless otherwise specified in this part, the def

23、initions in 23 U.S.C. 101(a) are applicable to this part. Also, the following definitions are used: Adjusted low bid means a form of best value selection in which qualitative as-pects are scored on a 0 to 100 scale ex-pressed as a decimal; price is then di-vided by qualitative score to yield an adju

24、sted bid or price per quality point. Award is made to offeror with the lowest adjusted bid. Best value selection means any selec-tion process in which proposals contain both price and qualitative components and award is based upon a combination of price and qualitative considerations. Clarifications

25、 means a written or oral exchange of information which takes place after the receipt of proposals when award without discussions is con-templated. The purpose of clarifica-tions is to address minor or clerical re-visions in a proposal. Communications are exchanges, be-tween the contracting agency an

26、d offerors, after receipt of proposals, which lead to the establishment of the competitive range. Competitive acquisition means an ac-quisition process which is designed to foster an impartial and comprehensive evaluation of offerors proposals, lead-ing to the selection of the proposal rep-resenting

27、 the best value to the con-tracting agency. Competitive range means a list of the most highly rated proposals based on the initial proposal rankings. It is based on the rating of each proposal against all evaluation criteria. Contracting agency means the public agency awarding and administering a de

28、sign-build contract. The contracting VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00223 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-214 23 CFR Ch. I (4111 E

29、dition) 636.103 agency may be the STD or another State or local public agency. Deficiency means a material failure of a proposal to meet a contracting agen-cy requirement or a combination of significant weaknesses in a proposal that increases the risk of unsuccessful contract performance to an unacc

30、ept-able level. Design-bid-build means the tradi-tional project delivery method where design and construction are sequential steps in the project development proc-ess. Design-build contract means an agree-ment that provides for design and con-struction of improvements by a con-tractor or private dev

31、eloper. The term encompasses design-build-maintain, de-sign-build-operate, design-build-finance and other contracts that include serv-ices in addition to design and construc-tion. Franchise and concession agree-ments are included in the term if they provide for the franchisee or conces-sionaire to d

32、evelop the project which is the subject of the agreement. Design-builder means the entity con-tractually responsible for delivering the project design and construction. Discussions mean written or oral ex-changes that take place after the es-tablishment of the competitive range with the intent of al

33、lowing the offerors to revise their proposals. Final design means any design activi-ties following preliminary design and expressly includes the preparation of final construction plans and detailed specifications for the performance of construction work. Fixed price/best design means a form of best

34、value selection in which contract price is established by the owner and stated in the Request for Proposals document. Design solutions and other qualitative factors are evaluated and rated, with award going to the firm of-fering the best qualitative proposal for the established price. Intelligent Tr

35、ansportation System (ITS) services means services which provide for the acquisition of technologies or systems of technologies (e.g., computer hardware or software, traffic control devices, communications link, fare payment system, automatic vehicle lo-cation system, etc.) that provide or contribute

36、 to the provision of one or more ITS user services as defined in the National ITS Architecture. Modified design-build means a vari-ation of design-build in which the con-tracting agency furnishes offerors with partially complete plans. The design- builders role is generally limited to the completion

37、 of the design and construc-tion of the project. Organizational conflict of interest means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or ad-vice to the owner, or the persons ob-jectivity in performing

38、the contract work is or might be otherwise im-paired, or a person has an unfair com-petitive advantage. Preliminary design defines the general project location and design concepts. It includes, but is not limited to, prelimi-nary engineering and other activities and analyses, such as environmental a

39、ssessments, topographic surveys, metes and bounds surveys, geotechnical investigations, hydrologic analysis, hydraulic analysis, utility en-gineering, traffic studies, financial plans, revenue estimates, hazardous materials assessments, general esti-mates of the types and quantities of materials, an

40、d other work needed to es-tablish parameters for the final design. Prior to completion of the NEPA re-view process, any such preliminary en-gineering and other activities and anal-yses must not materially affect the ob-jective consideration of alternatives in the NEPA review process. Prequalificatio

41、n means the con-tracting agencys process for deter-mining whether a firm is fundamen-tally qualified to compete for a certain project or class of projects. The prequalification process may be based on financial, management and other types of qualitative data. Prequalification should be distin-guishe

42、d from short listing. Price proposal means the price sub-mitted by the offeror to provide the re-quired design and construction serv-ices. Price reasonableness means the deter-mination that the price of the work for any project or series of projects is not excessive and is a fair and reasonable pric

43、e for the services to be performed. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00224 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-215 Federal Highway Admin

44、istration, DOT 636.105 Proposal modification means a change made to a proposal before the solicita-tion closing date and time, or made in response to an amendment, or made to correct a mistake at any time before award. Proposal revision means a change to a proposal made after the solicitation closin

45、g date, at the request of or as al-lowed by a contracting officer, as the result of negotiations. Public-private agreement means an agreement between a public agency and a private party involving design and construction of transportation im-provements by the private party to be paid for in whole or

46、in part by Federal- aid highway funds. The agreement may also provide for project financing, at- risk equity investment, operations, or maintenance of the project. Qualified project means any design- build project (including intermodal projects) funded under Title 23, United States Code, which meets

47、 the require-ments of this part and for which the contracting agency deems to be appro-priate on the basis of project delivery time, cost, construction schedule, or quality. Request for Proposals (RFP) means the document that describes the procure-ment process, forms the basis for the final proposal

48、s and may potentially be-come an element in the contract. Request for Qualification (RFQ) means the document issued by the owner in Phase I of the two-phased selection process. It typically describes the project in enough detail to let poten-tial offerors determine if they wish to compete and forms

49、the basis for re-questing qualifications submissions from which the most highly qualified offerors can be identified. Short listing means the narrowing of the field of offerors through the selec-tion of the most qualified offerors who have responded to an RFQ. Single-phase selection process means a procurement process where price and/or technical proposals are submitted in response to an RFP. Short listing is not used. Solicitation means a public noti