CALTRANS ALTERNATIVE PROCUREMENT GUIDE April 2008 Developed By Trauner Consulting Services Inc. San Diego, CA 92108 Table of Contents Table of Contents 1. INTRODUCTION....................................................................................................1 2. PROJECT SELECTION TOOL ..............................................................................7 2.1. INTRODUCTION ....................................................................................................7 2.1.1. Purpose of this Section ......................................................................7 2.1.2. Definitions............................................................................................8 2.1.3. Approach..............................................................................................9 2.1.3.1. Assemble List of Candidate Projects......................................................... 9 2.1.3.2. Convene Selection Committee.................................................................10 2.1.3.3. Evaluate Project Scope/Characteristics ...................................................10 2.1.3.4. Evaluate Project Success Factors ...........................................................10 2.1.3.5. Make Project Delivery Decision ...............................................................10 2.1.4. Conclusions.......................................................................................10 3. PROJECT DELIVERY SYSTEMS........................................................................13 3.1. INTRODUCTION ..................................................................................................13 3.1.1. What is a Project Delivery System? ................................................13 3.1.2. Traditional Delivery System .............................................................13 3.1.3. Alternative Delivery System .............................................................13 3.1.4. Selecting a Delivery System.............................................................13 3.1.5. Relation to Other Department Manuals...........................................14 3.2. DESIGN-SEQUENCING ........................................................................................15 3.2.1. Introduction........................................................................................15 3.2.1.1. Purpose of this Section ............................................................................15 3.2.1.2. What is Design-Sequencing?...................................................................15 3.2.1.3. How is Design-Sequencing Different?......................................................15 3.2.1.4. Terminology .............................................................................................16 3.2.1.5. Why Should We Use Design-Sequencing?..............................................16 3.2.1.6. Statutory Authority ...................................................................................17 3.2.1.7. Overview of the Design-Sequencing Procurement Process.....................18 3.2.2. Project Development.........................................................................19 3.2.2.1. Identify Goals and Objectives / Eligibility Criteria .....................................19 .1 Eligibility Criteria..........................................................................................19 .2 Project Goals and Objectives ......................................................................19 .3 Project Nomination / Selection ....................................................................19 .4 Project Approval Process ............................................................................20 3.2.2.2. Assemble Project Selection Team / Roles & Responsibilities ..................20 Caltrans Alternative Procurement Guide -i- Table of Contents .1 Design .........................................................................................................20 .2 Environmental .............................................................................................20 .3 Right-of-Way ...............................................................................................21 .4 Construction ................................................................................................23 3.2.2.3. Develop Scope of Work ...........................................................................26 3.2.2.4. Define and Allocate Project Risks ............................................................26 3.2.2.5. Preliminary Project Development.............................................................27 .1 Environmental .............................................................................................27 .2 Right Of Way...............................................................................................27 .3 Utilities.........................................................................................................27 .4 Railroads .....................................................................................................27 3.2.2.6. Project Preliminary Design Document Preparation (30% Min).................27 3.2.3. Contract Development / Procurement.............................................29 3.2.3.1. Preparing the Initial Bid Package .............................................................29 .1 General .......................................................................................................29 .2 Project Plans ...............................................................................................30 .3 Specifications ..............................................................................................30 .4 Engineer’s Estimate ....................................................................................33 .5 Addenda......................................................................................................34 3.2.3.2. Project Advertisement..............................................................................34 3.2.3.3. Award of a Design-Sequencing Contract .................................................34 3.2.4. Contract Administration ...................................................................35 3.2.4.1. Composing the Construction Team..........................................................35 .1 The Caltrans Team......................................................................................35 .2 The Design-Sequencing Contractor Team..................................................35 3.2.4.2. Roles of Team Members..........................................................................35 .1 Caltrans’s Responsibility .............................................................................35 .2 Pre-Construction Meeting............................................................................36 3.2.4.3. Assembly and Submittal of Subsequent Sequences................................36 .1 General .......................................................................................................36 .2 Project Plans ...............................................................................................37 .3 Specifications ..............................................................................................37 .4 Engineer’s Estimate ....................................................................................38 .5 Submittal of Subsequent Sequences ..........................................................38 .6 Changes......................................................................................................39 .7 Delays .........................................................................................................39 3.2.4.4. Planning and Charging Practices.............................................................40 3.2.4.5. Coordination with Federal Highway Administration (FHWA) ....................41 3.2.4.6. Final Payment / Contract Closure ............................................................41 3.3. DESIGN-BUILD ..................................................................................................43 -ii- Caltrans Alternative Procurement Guide Table of Contents 3.3.1. Introduction........................................................................................43 3.3.1.1. Purpose of this Section ............................................................................43 3.3.1.2. What is Design-Build?..............................................................................43 3.3.1.3. How is Design-Build Different? ................................................................43 3.3.1.4. Roles and Responsibilities.......................................................................44 3.3.1.5. Terminology .............................................................................................44 3.3.1.6. Benefits of Design-Build...........................................................................46 3.3.1.7. Statutory Authority ...................................................................................47 3.3.1.8. Nomination and Approval.........................................................................48 .1 Nomination Package ...................................................................................48 .2 Approval Process ........................................................................................48 3.3.1.9. Overview of the Design-Build Procurement Process................................48 .1 Project Scoping