DDEESSIIGGNN--BBUUIILLDD PPRROOCCEEDDUURREESS MMAANNUUAALL SEPTEMBER 2005 (Limited Revisions December 2011) VVOOLLUUMMEE II OOFF VV DESIGN BUILD PROCEDURES Appendix A – Abbreviations, Symbols & Definitions Appendix B – Sample Procurement Strategy Workshop Outcome – Route 9A Appendix C – Sample Orientation/Training Presentation DESIGN–BUILD PROCEDURES MANUAL VOLUME I SEPTEMBER 2005 (Limited Revisions December 2011) Section General Changes 1.1.3 Added text allowing manual to be adopted by local sponsors 1.2 Section added on Federal Major Project Requirements 1.3 Revised figure 1-1 1.4 Added text allowing manual to be adopted by local sponsors; Revised reference to design related approval matrix 3.3.1 Section added on NEPA Class I (EIS) projects 3.5 Added note that list of possible risks in step 1 is not all inclusive 3.7.5 Revised text as Design-Build projects are now allowed under 23 CFR 636 4.3.7 Corrected reference to 23 CFR 635 4.3.8 Added reference to Cost Estimate Reviews for Major Projects 7.10 Revised to clarify MBE, WBE, and DBE subcontracting requirements 7.10.1 Revised to clarify MBE and WBE subcontracting requirements 7.10.2 Revised to clarify DBE subcontracting requirements 9.6.6 Corrected reference to 23 CFR 636 10.2.1 Section added on Initial Financial Plans for Federal Aid Projects ≥$100M 10.2.2 Section added on Cost Estimate Reviews for Federal Aid Projects ≥$500M 10.2.7.2 Noted the authority of the Director of the Administrative Services Division or designee to approve Design Build Contracts 10.3.3.1 Section added on Project Management Plans for Federal Aid Projects ≥$500 M 10.3.5 Revised to clarify MBE, WBE, and DBE subcontracting requirements; Corrected refs to DB sections 102-8 & 102-9 10.3.5.1 Revised to clarify MBE and WBE subcontracting requirements; Changed 15 calendar days to 7 calendar days 10.3.5.2 Revised to clarify DBE subcontracting requirements; Changed 15 calendar days to 7 calendar days New York State Department of Transportation TABLE OF CONTENTS VOLUME I: 1.0 INTRODUCTION..............................................................................................................1 1.1 OVERVIEW, PURPOSE, AND USE .............................................................................................. 1 1.1.1 Overview ............................................................................................................................. 1 1.1.2 Purpose................................................................................................................................ 1 1.1.3 Use ...................................................................................................................................... 1 1.1.4 General Description of Volumes ........................................................................................ 2 1.2 FEDERAL MAJOR PROJECTS REQUIREMENTS ..................................................................... 2 1.3 SUMMARY OF THE DEPARTMENT’S DESIGN-BUILD PROCESS ........................................ 2 1.4 APPLICABILITY AND RESPONSIBILITIES (DESIGN-BUILD PHASES) ............................... 3 1.5 RELATIONSHIP AMONG ENVIRONMENTAL CLASSES/TYPES, DESIGN-BUILD PHASES, AND DESIGN APPROVAL DOCUMENTS ............................................................................................ 4 1.6 ROLE OF THE FUNCTIONAL MANAGER FOR TECHNICAL DECISIONS DURING DESIGN- BUILD ............................................................................................................................................. 5 1.7 ABBREVIATIONS AND TERMS AND DEFINITIONS ............................................................... 5 1.8 RESPONSIBILITY FOR PREPARING DESIGN-BUILD DOCUMENTS ................................... 5 2.0 DESIGN-BUILD DECISION ...........................................................................................7 3.0 DESIGN-BUILD PROJECT PROCUREMENT STRATEGY PROCESS .................9 3.1 SELECTION OF THE DEPARTMENT PROJECT MANAGEMENT TEAM .............................. 9 3.2 DESIGN-BUILD ORIENTATION/TRAINING (MANAGING CULTURAL CHANGE)........... 10 3.3 STAKEHOLDER IDENTIFICATION .......................................................................................... 11 3.3.1 NEPA Class I (EIS) Projects............................................................................................. 11 3.4 PROJECT GOALS ........................................................................................................................ 12 3.5 RISK IDENTIFICATION, ASSESSMENT, AND ALLOCATION............................................... 13 3.6 DESIGN-BUILD PROCUREMENT OPTIONS AND CHALLENGES ...................................... 17 3.6.1 Basis of Selection .............................................................................................................. 17 3.6.2 Stipends ............................................................................................................................. 18 3.6.3 Minority-owned Business Enterprise/Women-owned Business Enterprise/Disadvantaged Business Enterprise Requirements and Subcontracting .................................................... 18 3.6.4 Incentives/Disincentives ................................................................................................... 19 3.6.5 Determining Progress/Payment ........................................................................................ 20 3.6.6 Insurance ........................................................................................................................... 21 3.7 SPECIFIC DESIGN-BUILD PROJECT APPROACH ................................................................. 22 3.7.1 Preliminary Engineering Requirements ............................................................................ 22 3.7.2 Initial Engineering Parameters .......................................................................................... 24 3.7.3 Initial Procurement and Contract Parameters ................................................................... 25 3.7.4 Department Project Organization ..................................................................................... 26 3.7.5 Projects deviating from 23 CFR 636 Requirements (Federal-aid only) ........................... 27 3.7.6 Alternate Proposals and Alternate Technical Concepts (ATC) ........................................ 27 3.7.6.1 Alternate Proposals .............................................................................................. 27 3.7.6.2 Alternate Technical Concepts .............................................................................. 27 DBPM i September, 2005 New York State Department of Transportation 3.8 PROCUREMENT PROCESS OUTLINE ..................................................................................... 28 3.9 PRELIMINARY EVALUATION FACTORS ................................................................................ 30 3.9.1 Request for Qualifications ................................................................................................ 31 3.9.2 Request for Proposals ....................................................................................................... 32 4.0 ENVIRONMENTAL DOCUMENTATION AND DESIGN-BUILD PRELIMINARY ENGINEERING ...............................................................................................................34 4.1 INTRODUCTION AND CORRELATION OF DESIGN PHASES I THROUGH IV TO DESIGN- BUILD ........................................................................................................................................... 34 4.2 RELEVANCE OF DESIGN PHASES I THROUGH IV ACTIVITIES FOR DESIGN-BUILD .. 34 4.3 SUPPLEMENTAL PRELIMINARY ENGINEERING AND ESTIMATING FOR DESIGN-BUILD ....................................................................................................................................................... 35 4.3.1 Purpose of Supplemental Preliminary Engineering and Estimating ................................. 35 4.3.2 Supplemental Data Acquisition ........................................................................................ 35 4.3.3 Supplemental Design, Analysis, and Reports ................................................................... 36 4.3.4 Third Party Agreements .................................................................................................... 36 4.3.4.1 Utilities ................................................................................................................ 36 4.3.4.2 Non-Utility Facility Rearrangements ................................................................... 37 4.3.4.3 Railroads .............................................................................................................. 37 4.3.4.4 Interagency/Intergovernmental Agreements ........................................................ 38 4.3.5 Specifications .................................................................................................................... 38 4.3.6 Permits .............................................................................................................................. 38 4.3.7 Rights-of-Way and Easements .......................................................................................... 39 4.3.8 Cost Estimating ................................................................................................................. 39 4.3.9 Value Engineering ...........................................................................................................