New York State Department of Transportation Page 1

November 13, 2020

Last revised on: Initial Publication Revisions:

Reminder - The current CONR-385 and FAR overhead Audit Report must have been submitted to or be on file with NYSDOT, for all team members by the due date of the EOI submission.

This project will follow the department's electronic consultant selection process (Process II).

NEW - Please see sections 9. Evaluation Factors and Weights and 9a. D/M/WBE Factors (added to overall score) 9b. Last Designation Factor of this document for scoring changes.

Engineering firm(s) authorized to perform Engineering Services in the State of New York proposed as the prime must retain at least 55% of this projects work.

This is a term agreement for statewide Design-Build projects support. The Designated firms, when directed by the

Department, shall provide services to support the Department in administering one or more Design-Build projects.

The Department anticipates designating more than one firm for this contract. Designation(s) will be made from one

shortlist with the first contract number being assigned to the highest ranked firm, and any additional designations

being made in order from the same shortlist starting with the second ranked firm.

Firms will provide services under one or more of the following areas (See Section 3 below for details).

I. Design-Build Project Procurement Assistance

II. Contract Implementation Design Quality Assurance

III. Contract Implementation Construction Management and Construction Quality Assurance

All firms are invited to respond to this solicitation. The Department will not bar a winning firm from subsequently

being a participant on a DB pursuit team, or from working as a subcontractor on a DB project, provided that: (1)

the winning firm did not participate in the preparation of the DB Procurement Documents for the project at issue;

and (2) there is no separate conflict of interest. The Department will make multiple awards for this contract,

allowing the Department to alternate assignments such that no winning firm will perform DB Procurement work on all projects. This will free winning firms to pursue DB projects that it has not worked on, provided no other conflict

of interest exists.

For any proposed majority subconsultant(s) (who are not proposed as a DBE sub) with over 20% work, at least one

alternate subconsultant must be proposed, along with their preferred priority use. Alternate subconsultant information will

be added to the NYSDOT 255C Item 6F regardless of D/M/WBE status.

1. Project Identification Contract: D038086

PIN: ZDBS.21.101 Title: Design -Term Agreement for Design Build Projects Support - Statewide

Notice is hereby given that the New York State Department of Transportation (NYSDOT) is seeking to retain an engineering firm(s) to perform the following: Design - Statewide Design-Build Projects Support

The following items are of specific importance to potential consultant firms:

1. Register using the NYSDOT Consultant Selection System (CSSWeb) application, including the provision of

required salary roster information; https://www.dot.ny.gov/main/business-center/consultants/css-web 2. Consistent with Consultant instruction CI 11-04, submit required annual overhead audit performed in accordance

with Federal Acquisition Regulation. Refer to CI 11-04 for instructions regarding submission requirements: http://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/overhead

3. Obtain the appropriate registration and authorizations from the NYS Dept of State and the NYS Education Dept . Ofc of Professions (CI 93-10): https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practices

New York State Department of Transportation Page 2

4. For applicable firms, verify their certification status as Disadvantaged Business Enterprises (DBE): https://nysucp.newnycontracts.com, Minority/Women Owned Business Enterprises (M/WBE):

https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp , or Service-Disabled Veteran-Owned Businesses (SDVOB): http://www.ogs.ny.gov/Core/SDVOBA.asp.

5. Successful respondents to this procurement must comply with Executive Order 162, ENSURING PAY

EQUITY BY STATE CONTRACTORS, dated January 9, 2017. Please refer to https://www.dot.ny.gov/main/business-center/consultants/forms-publications-and-instructions under the heading

Executive Order 162, Ensuring Pay Equity By State Contractors, Reporting Requirement for further information.

2. General Description of Agreement Work phases included: Highway and Bridge Design, Final Design V-VI, and Construction Support Services.

Estimated Contract Duration: 60 Months In the following county(s): Statewide

2a. Funding Expected to be Federally and State funded.

2b. Key Dates (anticipated) Consultant Start Date ---------------- March 01, 2021

Consultant Completion Date -------- February 28, 2023

2c. Electronic EOI For the purpose of submitting an electronic EOI only, use the KEY PIN value: ZDBS.21.101

The firm has advised all team members that the contracting process will require that they possess an acceptable accounting system capable of segregating contract cost.

Chapter 10 of the Laws of 2006 amends State Finance Law § 8 and 163 by requiring:

State Contractors to disclose, by employment category, the number of persons employed to provide services under a contract for consultant services, the number of hours worked, and the amount paid to the contractor by the State as compensation for work performed by these employees. This will include information on any person working under any

subcontracts with the State Contractor. If designated, firms will submit the following forms:

1. Due at the time of signing the contract: "State Consultant Services - Contractor's Planned Employment from

Contract Start Date through the End of the Contract Term" (otherwise called Form A)

2. Due every year the contract is in force, on or before May 15th: "State Consultant Services - Contractor's Annual

Employment Report" (otherwise called Form B) Please note, that in contrast to the information to be included on Form A, which is a one-time report of planned employment

data for the entire term of a consulting contract on a projected basis, Form B will be submitted each year the contract is in effect and will capture historical information, detailing actual employment data for the most recently concluded State fiscal

year (April 1 - March 31).

For more information and copies of the forms, firms are advised to visit the following OSC web site:

http://www.osc.state.ny.us/procurement/ and/or the following NYSDOT web site links (Business Center Heading): http://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practices And/or: http://www.dot.ny.gov/portal/page/portal/main/business-center/consultants/forms-publications-and-instructions.

3. Description of Work

This is agreement will provide for statewide Design-Build Support Services. The Consultant, when directed by the

Department, shall provide services to support the Department in a dministering one or more Design-Build projects. This

includes but not limited to, technical support for the Department in preparing project-specific contract documents as per the

Design Build Procedures Manual; design oversight and quality assurance services as per NYSDOT Design Build RFP

Part 3, Design Management and Design Quality Assurance of project designs prepared by the Design-Builder; and

contract administration and construction quality assurance verification and auditing, sampling and testing as per NYSDOT

Design Build RFP Part 3, Construction Management and Construction Quality Assurance, and Part 3, Appendix D

Quality Assurance Plan Program Guide.

New York State Department of Transportation Page 3

The Departments expects that 80% of the funding will go towards procurement support and Design Quality

Assurance.

A Prime firm must be able to provide all of these services, either directly or by their proposed subconsultant(s).

Generally, assignments may be made anytime during the first three (3) years of the five (5) year term of this

agreement (project and work will be identified, associated individual scope of services prepared, and agreement

reached with the Consultant regarding staffing requirements, cost and schedule), provided all work is completed prior

to the contract end date.

3a. Scope of Services:

The Designated firm(s), when directed by the Department, shall provide services to support the Department in

administering one or more Design-Build projects. The Firm(s) will provide services under one or more of the following areas.

I. Design-Build Project Procurement Assistance

The Consultant Shall provide technical support for the Department in preparing project-specific design-build

procurement and contract documents. This includes but not limited to, Request for Qualification (RFQ), Draft

Request for Proposal (RFP), and Final RFP.

The Consultant shall facilitate design-build orientation and document review by the Department and the industry

and will assist the Department in managing the evaluation and selection process for select special projects when

directed by the Department.

II. Contract Implementation Design Quality Assurance

The Consultant shall provide design oversight and quality assurance services as per NYSDOT Design Build

RFP Part 3, Design Management and Design Quality Assurance, of project designs prepared by the

Design-Builder. Design oversight and quality assurance services shall include but not limited to:

• Contract compliance oversight;

• Review of the Design-Builder’s quality control plan;

• Review of Design-Builder’s design, schedule;

• Provide technical staff to be located in the office of the Engineer of Record as necessary to provide

design oversight of project designs prior to submission for final review;

• Record comments on and discussions at the design meetings;

• Provide technical staff to be located in the Consultant’s home office to provide additional reviews of

project designs as necessary prior to submission for final review;

• Perform Quality Assurance activities of the Engineer of Records Quality Control Pla n;

• Perform a final review of Design-Builder’s submittals of project designs prior to release for

construction; Including drawings, specifications, reports, calculations and other contract required

documents, related to geotechnical, structural, civil, traffic and hydraulics engineering to ensure that

they have been prepared in accordance with all the requirements set forth in Department policies,

manuals, engineering bulletins, the RFP document and engineering instructions.

III. Contract Implementation Construction Management and Construction Quality Assurance

The Consultant shall provide contract administration and construction quality assurance verification and

auditing, sampling and testing as per NYSDOT Design Build RFP Part 3, Construction Management

and Construction Quality Assurance, and Part 3, Appendix D Quality Assurance Plan Program

Guide from such time as directed to proceed until the completion of the final agreement and issuance of

final payment for the Contract.

This shall include but not limited to, Construction Quality Assurance monitoring, Quality Monitoring,

Schedule Monitoring, and Monitoring adherence to Equal Employment Opportunity (EEO) and to

Disadvantaged/Minority/women’s Business Enterprise (D/M/WBE) Labor requirements.

The Consultant may be required to work nights and weekends.

See attached "Draft Scope" for additional details.

New York State Department of Transportation Page 4

4. Guidance 4a. Staffing Requirements

1) Key staff: The selection and retention of a consultant will be contingent upon the availability of the following

proposed key staff, unless greater or equally qualified substitutes are approved during negotiation by NYSDOT.

Staffing Role Qty Resume Required

Project Manager - P.E. Required*1h 1 Yes

Design Quality Assurance Engineer (DQAE) - P.E. Required*1 2 Yes

Construction Quality Assurance Engineer (ASCE IV) - P.E. Required* 1 2 Yes

RFP Procurement Specialist (ASCE IV) - P.E. Required* 1 2 Yes Lead Staff Design - Bridge (ASCE VI) - P.E. Required* 1 1 Yes

Lead Staff Design - Highway (ASCE VI) - P.E. Required* 1 1 Yes

2) Non-key staff requiring resumes to be submitted:

Staffing Role Qty Resume Required

N/A

3) Non-key staff, not requiring resumes to be submitted:

Staffing Role Qty Resume Required N/A

4) Additional Staffing Notes*: 1. * P.E. / ASCE / NICET / NICET Equivalent requirements:

a) Be currently registered with the New York State Education Department as a Professional Engineer (P.E.). b) An out-of-state P.E. registration may be substituted for a New York State P.E. provided that the individual received the P.E. based upon satisfactory completion of a 16-hour written examination, has applied for

P.E. registration in New York State, and the New York State Education Department has acknowledged receipt of the individual’s intent to practice in New York under subsection (b) of section 7208 of the

Education Law. c) All firms proposing a P.E., ASCE, NICET, or NICET equivalent, in reference to a NYSDOT a dvertised

project, must complete and attach the Key Staff Certification Form (page 3 only - withou t the inst ruct ion

page), in PDF or RTF format. The completed Key Staff Certification Form must be attached im mediately after (any "255") section 11 (for the 255 & 255 RDSA), or section 12 (of the 255C).

d) Copies of evidence of appropriate education must be included (i.e., Diplomas, Certificates, etc.), immediately

following the Key Staff Certification Form or any attachment (as per the advertisement). e) The Designated firm shall have staff available to work on multiple Design-build projects at the same time.

f) The term agreement Project Manager shall be experienced in administering la rge m ult i -p roject a nd DB agreements. The term agreement Project Manager shall be required to manage the assignments of staff to the various term agreement assignments.

g) It is anticipated that the consultant will provide the following staff, no higher than the specified grade levels, on a full-time basis during peak periods of DB project assignments: Office Engineer (NI CET I V) up to 4 , Senior Inspector (NICET III) up to 6, Inspector (NICET II) up to 6, and an expert CPM Scheduler.

h) The term agreement Project Manager will be required on a part time basis and be experienced in administering large multi-project agreements. The term agreement Project Manager will be requ ired to

manage the assignments of staff to the various term agreement inspection sites. The term agreement Project Manager position is considered as an administrative title, and therefore is a non-billable position.

2. It is anticipated that the consultant will provide the following staff, no higher than the specified grade levels, on a full-time basis during peak periods of DB project assignments: Office Engineer (NICET IV) up to 4, Senior Inspector (NICET III) up to 6, Inspector (NICET II) up to 6, and an expert CPM Scheduler.

If appropriate to the position and educational background, a detailed work experience including names o f f irms

and dates of each pertinent assignment, arranged in reverse chronological order, must be included in Section 8 , o f the NYSDOT 255 / 255C / 255RDSA.

Resume / Certification Form must provide adequate proof to meet requirements. Failure to provide the appropriate certifications may result in your team being found non-responsive.

New York State Department of Transportation Page 5

For additional information, visit: https://www.dot.ny.gov/main/business-center/consultants/forms-publications-and-instructions

4b. Resumes:

1) Resumes must be provided within the NYSDOT255C submission for all Key Staff; and Non-Key Staff requiring

resumes to be submitted as listed in 4a. above. Submit resumes ONLY for those individuals to be used on the project.

2) The total number of resumes that may be included in the NYSDOT 255C for this project is: 9 3) Special format and content requirements of resumes: The resumes shall specify the NYS P.E. number and current

registration expiration date or include proof of intent to practice under section 7208(b) of the Education Law if

appropriate to the position, educational background, and detailed work experience including names of firms and dates of each pertinent assignment arranged in reverse chronological order.

4) Vagueness or omissions will not be interpreted in the candidate's favor and may result in disapproval. Resumes

that are found to be inaccurate will result in disqualification.

4c. Special Factor Question 1 (SF1.) Submitted by Shortlisted Firms - Overall Approach / Understanding (Project Experience - 5%) to be addressed in Section 12 of the NYSDOT255C:

Special Guidance - Shortlisted Firms must demonstrate their teams’ relevant experience in Design Build Procurement projects (as outlined in Section 3 above), including Contract Implementation and Construction Management and Construction Quality Assurance, within the NYSDOT 255C, Section 12 Project Experience (include all pertinent

information). The response(s) to this item must be completed within Section 12 only and cannot exceed five pages and / or 10 projects. Projects listed must be Design Build Procurement Support related and meet the following criteria:

The response(s) to this item must be completed within Section 12 only and cannot exceed five pages in length and / or 10 projects.

Criteria for determining relevant experience for Section 12 of the NYSDOT 255C and or Special Factor questions

• The project included a Bridge and Highway work. Description of Work; include experience relating to road

work (ramps and parking lot) and underground utility work (waterline and/or sanitary main).

• The firm directly provided the Design, QA/QC and or inspection services for the project.

• The contract value of the construction portion of each Design-Build project claimed must have been at least

$100+ million.

• The project owner was NYSDOT, a transportation agency in NYS, a municipality within NYS or the primary

transportation agency of another U.S. state, state departments of transportation, local governmental entities and major transportation agencies/authorities where the project was federally funded.

Each assignment if conducted under a NYSDOT Agreement may be considered as a project. Reference Check Name and Telephone Number listed for each Project must be correct. Failed attempts to reach an

individual will not be viewed in the Firm’s favor.

4d. Special Factor Question 2 (SF2.) Submitted by Shortlisted Firms - General Management/Management Plan (5%) to be addressed in Attachment A1 to the NYSDOT255C (this item will be attached immediately after Section 12 of the NYSDOT255C):

1) Explain (in detail) how the Prime/Team’s role on this Design-Build project would differ from that as a Design or CI Prime / Team working for NYSDOT on a Design Bid Build project.

1a) Explain the function of each consultant on your team in performing Construction Quality Assurance Engineering on

behalf of NYSDOT for this Design-Build project. Include in your explanation how you would interact with NYSDOT field staff, the Design-Build Contractor, Design-Build QC/CI firm, the Design-Build Designer and any familiarity with Federal or NYSDOT specifications and requirements. (2 %.)

2) What do you see as your team's and NYSDOT staff's biggest challenge and greatest risk for this project in executing an effective quality assurance function on this complex bridge project? How do you plan on managing these? (2 %.)

3) Additionally, explain the availability of a principal (employed by the prime) to deal with sudden and/or unexpected

events or issues. (1%.) Attachment 1 Special Instructions:

• No more than 3 pages of text - provide a response to all three (3) Factor 4D. questions.

• Attachment 1 must be submitted electronically as an attachment to the standard NYSDOT 255C Submittal Form.

New York State Department of Transportation Page 6

• NOT part of item 9 Section A, NYSDOT 255C.

• Font cannot be smaller than 10 pitch.

• There should be no graphics.

• In order to assist evaluators in scoring each issue separately, responses must each be individually numbered.

• Team response - include as appropriate a description of the different roles of the Prime and Subconsultant(s). The prime should state whether they have worked with the subconsultant as a team on prior projects.

The information provided in Section 12 of the NYSDOT 255C, and the Attachment 1 to the NYSDOT 255C as well as any additional clarification information which may be requested, will be used to quantify experience and understanding, and to

score Items 4C. Overall Approach / Understanding and 4D. General Management/Management Plan.

NYSDOT reserves the right to request additional clarification information and back up material from shortlisted firms at a later date. This information request may come with a compressed response turnaround time frame. Firms should be prepared for such requests.

Team members must coincide with the Organization Chart from Section 7 of the NYSDOT255C.

4e. Proofs of Authority

When a firm is short-listed in the electronic selection process, the Proofs of Authority from the New York State Education Department and the Department of State, authorizing professional services for the Prime Consultant and all Team partners, must be downloaded from the appropriate websites with copies provided. If a Proof of Authority does not exist, the firm

must provide a written explanation. For further details, refer to the short-list submittal instructions on the NYSDOT website: https://www.dot.ny.gov/main/business-center/consultants/general-info/electronic-consultant-selection-(process-2)

5. Cost and Complexity Work Class: Highway and Bridge

Anticipated overall level of Complexity for this project is: Moderately Complex

Estimated highway/appurtenances construction cost: $31,000,000.00

Highway/Appurtenances Complexity: Complex

Estimated bridge construction cost: $30,000,000.00 Bridge Complexity: Moderately Complex

6. Contract Implementation Schedule

By responding to this advertisement, the Consultant is committing to and will be expected to meet the following schedule. Days are calendar days. (This is a projected schedule that may be revised based on the needs of the State).

Upon notification of being short-listed: Provide NYSDOT 255C with attachments, days from shortlist notification -------- 10

If designated:

Scope of services meeting, days from designation --------------------------------- 7 First proposal due, days from designation -------------------------------------------21 Final proposal due, days from designation ------------------------------------------35

Completion of financial negotiation, days from designation ---------------------51 7. Advertisement Data

Key Contract Number: D038086 Key Pin: ZDBS.21.101

Submission Due Date: November 30, 2020 by 12:00 noon Submit the following items by the due date: Utilizing the Electronic Consultant Selection System web (CSSWeb)

application, upload / submit the following information in the requested format:

1) Electronic Expression of Interest (E-EOI): CSSWeb application.

2) The Offerer's Affirmation of Understanding and Agreement pursuant to State Finance Law §139-j (3) and

§139-j (6) (b). PDF format.

https://www.dot.ny.gov/main/business-center/consultants/forms-publications-and-instructions

3) The Offerer Disclosure of Prior Non-Responsibility Determinations form (must be submitted for the Prime).

PDF format. https://www.dot.ny.gov/main/business-center/consultants/forms-publications-and-instructions

4) The current CONR386 Workload Disclosure Form (must be submitted by the Prime and include ALL team

members - prime, joint venture partner and subconsultants). PDF format.

New York State Department of Transportation Page 7

5) The Vendor Assurance of No Conflict of Interest and Sexual Harassment Prevention attestation form is to be filled out by both Primes and subconsultants and submitted with the proposing firm’s Expression of Interest (EOI) along

with the CONR 386. PDF format. https://www.dot.ny.gov/main/business-center/consultants/forms-publications-and-instructions. See announcement posted to the NYSDOT website for further information.

The current CONR-385 and FAR overhead Audit Report must have been submitted to or be on file with NYSDOT, for all team members by the due date of the EOI submission.

FAILURE TO SUBMIT ALL OF THE ABOVE MATERIAL, WHEN IT IS DUE, MAY RESULT IN YOUR SUBMISSION TO BE FOUND NON-RESPONSIVE.

Type of D/M/WBE Credit: DBE

D/M/WBE Credit Cap: 20%

Number of Required D/M/WBE Alternates: 2 - One distinct alternate for each proposed DBE Subconsultant

Small Firm Credit: None

Electronic Inventory used: Design

When claiming D/M/WBE Credit or SDVOB Participation, Prime Firms are responsible for ensuring all of their proposed D/M/WBE and SDVOB sub-consultants are currently certified thru either the M/WBE Directory

(https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp for M/WBE credit), the NYSUCP DBE Directory (https://nysucp.newnycontracts.com for DBE credit) or the NYSOGS SDVOB Directory

(http://www.ogs.ny.gov/Core/SDVOBA.asp for SDVOB participation) for the type work they are being proposed to perform. Claiming D/M/WBE credit or SDVOB participation for a non-certified firm at the time of E-EOI submission may be grounds for a non-responsibility determination.

8. Measuring Distance to the Project Site and the Regional/Functional Office Consistent with the established scoring methodologies, for the purpose of estimating distances to the Project Site each team

member must use one of their own registered offices as the Functional Office at which the Project Manager (or the person in charge of the subconsultants activities in the case of a subconsultant) is available on essentially a daily basis for direct

and visual supervision of the firms staff that is providing the key elements of its assigned activities. The Functional Office must satisfy the following criteria to be scored as a “qualified” office location:

• The physical location must be in a building either owned by the consultant company or rented pursuant to a lease of one year or more and accessible by the public.

• The consultant company is registered, licensed, and authorized to do business at the office location in accordance with applicable state and local rules and regulations.

• The proposed prime consultant or Joint Venture partner will operate the office locat ion as a bona-fide office

with a minimum of three full time equivalents employees (FTEs) for the consultant based on the consultant’s FTE breakout at that location per its current active NYSDOT consultant inventory information and physically located in and assigned to the qualifying office.

• The consultant company must agree to provide notification to NYSDOT’s Selection Unit Supervisor if the location is closed or moved during the pendency of any project awarded to that company by NYSDOT.

Distance to the Project Site/Regional Office should be measured from each Firm's Functional Office to:

NYS-DOT Region 11, 47-40 21st St., Long Island City, NY 11101 Distance must be measured in miles as you would drive a car -- not a straight line measurement. We require accurate

numbers, either an actual odometer reading, through use of a map drawn to scale or a reputable database of distances. (Distance is subject to verification by NYSDOT.)

New York State Department of Transportation Page 8

9. Evaluation Factors and Weights Step 1 - automated shortlisting (all firms are scored)

Step 2 - committee review (only shortlisted firms are scored) Step 1 Step 2 Scoring

Weight Weight Factor 1. Prior Experience

59% 8% A. Firm in general 0% 56% B. Staff 2% 2% C. With NYSDOT

2. Organizational capability for this type of work 20% 6% A. Prior NYSDOT performance ratings (Design) B. Workload/Capacity

3% 3% (1) Project type workload (Design) with NYSDOT vs. capacity 3% 3% (2) Total remaining workload with NYSDOT

3. Logistics & Familiarity 0% 0% A. Logistics 0% 5% B. Familiarity with project type

4. Other Factors 13% 7% A. Standard Other Factors

0% 5% C. SF1. Special Factor Question 1: Overall Approach /

Understanding 0% 5% D. SF2. Special Factor Question 2: General Management Plan

100% 100% Total It is expected that the Prime Firm will be assigned all weighted major tasks (M07 and M08) unless otherwise noted

below. All subconsultants must be assigned no less than 5% of the total work. All assigned tasks must be in 5% increments. The splitting of percentages among subconsultant team members, across tasks, to reach a 5% increment is prohibited.

Before assigning a firm to a Standard Other Factor Tasks (O01, O04, O06, O08, O09, O10 and or O12), they must also

be assigned to an M or E task. You cannot assign a firm to an O Task without assigning them to an M or E Task as well . Please note:

• Team composition and tasks assigned to each team member should be consistent from the E-EOI submission through the NYSDOT 255C submission.

• Proposals including an excessively large number of team members may be viewed negatively by NYSDOT, due to

potential difficulties related to efficient team management and meeting established goals. Tasks/Responsibilities Breakout for Prior Experience (Firm and NYSDOT) Above (1A. & 1C)

5% M03. Project Scoping Highway

5% M04. Project Scoping Bridge

20% M07. Final Design (Highway)

35% M08. Final Design (Bridge)

10% E08. Wetlands Study

10% E12. *Storm Water Management

5% E21. Asbestos Sampling, Testing and Specifications

10% E26. Landscape Design

100% Total

Breakout for Standard Other Factors Above (4A.)

Step 1 Step 2 Standard

Weight Weight Factor

2% 1% O01. Traffic Forecasting

2% 1% O04. Bridge Carrying a Railroad

2% 1% O06. Final Design Urban Arterial Interconnected Signal Design

2% 1% O08. Final Design Complex MPT - Over 75 MPT Sheets

1% 1% O09. Final Design Highway Lighting

2% 1% O10. Extensive Capacity Analysis of Urban Freeway Mainline and Interchanges

2% 1% O12. Involvement with NYC Agencies

13% 7% Total

New York State Department of Transportation Page 9

Breakout for Special Other Factors Above (4C.)

Step 1 Step 2 Special

Weight Weight Factor

0% 5% 4CSF1. Special Factor Question 1: Overall Approach/Understanding - Project Experience

0% 5% 4CSF2. Special Factor Question 2: General Management Plan

0% 10% Total

9a. D/M/WBE Factors (added to overall score) 1) Percentage of participation assigned to D/M/WBE subs = 5.5% (x D/M/WBE % of participation)

a. *Storm Water Management does not currently have a DBE Certification code

2) Experience and prior NYSDOT performance = 2.0% (x D/M/WBE % of participation) 3) Workload with the Division (Design) = 1.0% (x D/M/WBE % of participation)

9b. Last Designation Factor (subtracted from overall score) Last Designation Factor Weight: 0%

Special Notes: See paragraph 11 for additional Information on Last Designation adjustments for Multiple Term Agreements being advertised within the Calendar Year.

10. Joint Ventures

Joint Ventures shall not be proposed due to the scope of the work and the size of the agreement. 11. General Information

11a. Process, Policies and Conventions The New York State Department of Transportation (NYSDOT), in accordance with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Transportation, Subtitle

A, Office the Secretary, Part 21, Nondiscrimination in Federally-assisted programs of the Department of Transportation and Title 23 Code of Federal Regulations, Part 200, Title VI Program and Related Statutes, as amended, issued pursuant to such

Act, hereby notifies all who respond to a written NYSDOT solicitation, request for proposal or invitation for bid that it will affirmatively insure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds

of race, color, national origin, sex, age, disability/handicap and income status in consideration for an award. It is the policy of New York State to encourage the use of New York State subcontractors and suppliers and to promote the

participation of minority and women-owned businesses and service-disabled veteran-owned businesses, where possible, in the procurement of goods and services. Information concerning the availability of New York State M/WBE and SDVOB

subcontractors and suppliers is available from the NYS Department of Economic Development and the NYS Office of General Services respectively.

Please Note: See CI 11-04 (Revised), effective June 22, 2011, Title "Requirements for Submission of FAR Overhead Audit & CONR385 & FAR Overhead Audit Report required prior to selection for Engineering Services Work" See our website for more details: https://www.dot.ny.gov/portal/page/portal/main/business-center/consultants/architectural-

engineering/consultant-instructions/selection-process and/or https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/overhead.

Failure to have this information in place at the time of EOI submission may result in the team being found non-responsive.

1. To qualify to perform surveying services, all firms must be duly authorized to provide those services by the State Department of Education. Refer to CI 93-10: https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practices

2. All business entities legally permitted to provide professional geology services in New York State are required to

obtain a “Certificate of Authorization to Provide Professional Geology Services in New York State” from the State Education Department according to section 7210 of Education Law.

3. It is the consultant's responsibility to ensure they propose staff that is eligible to work on the proposed project. It is an individual's responsibility to comply with the Public Officer's Law.

4. An announcement of the Department's designation(s) will be posted to the NYSDOT Web site (https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/css-advertisements-shortlists-

New York State Department of Transportation Page 10

and-designations).

5. The New York State Department of Transportation (NYSDOT) has an administrative procedure for protest established which may be utilized by an interested party in challenging an Architectural / Engineering consultant designation made by NYSDOT. The complete procedure can be accessed via: www.dot.ny.gov/main/business-

center/consultants/consultants-repository/misrep_protest.pdf

6. All proposers are afforded an opportunity to receive a debriefing. Arrangements for a debriefing must be requested through the Contract Management Bureau at (518) 457-2600

7. If you are included on another firm's proposal for more than 20% of the work, you may not include that firm on your proposal. Should this infraction occur one team must withdraw; firms will be contacted to resolve the situation. If not resolved by the firms, NYSDOT will reject both firms' proposals. A redistribution of the offered percent of

work will not be accepted as a means of resolution after the proposal due date.

8. Designated Prime consultants and Joint Ventures must be able to demonstrate proof of coverage or exemption for Workers Compensation and Disability Benefits prior to the execution of the resulting contract. An ACORD Form is not an acceptable document for proof of this coverage.

9. Under normal situations the following process is used:

a) Winning Teams are selected first.

b) Once a prime/team receives a designation for a Design-Build Term agreement advertised this calendar year, the Department adjusts the prime/team's last designation factor by minus 2 points. This will affect that firm's score and

relative position in any subsequent selection for agreements of this type advertised in the same calendar year. c) All Firms shortlisted on more than one Design-Build Term contract advertised together are required to submit

a preference form stating the priority order in which they wish to be designated. This form will be posted on

the Department’s Web Site with each project announcement of the Shortlisted Firms. Once completed, upload the Preference Form through CSS Web as an “Other” Shortlist submission document.

d) A firm can be on more than one winning team, but a firm's participation cannot exceed 100% of the work on

all their Design Build Design Term contracts advertised in the same calendar year for similar services. e) As a subconsultant, firms are limited to a cumulative total of 60% of the work on all their Design-Build Term

contracts advertised in the same calendar year for similar services. f) Subconsultant assignments as an alternate will be eliminated first, followed by their least preferred choices

where they were not an alternate.

10. Work assignments under this term agreement will be made based upon an evaluation performed by the managing Program Area. The evaluation will be based on the staff requirements, consultant staff experience, consultant staff

availability, and project location.

11b. Compliance Procurement Lobbying Law 11b1. Required Form: "Permissible Contacts Certification Form"

a) Offerer's Affirmation of Understanding and Agreement pursuant to State Finance Law §139-j (3) and §139-j (6) (b) b) Offerer Disclosure of Prior Non-Responsibility Determinations

11b2. NYSDOT Guidelines and Procedures Under the requirements of the State Procurement Act all communications regarding advertised projects are to be channeled

through the Contract Management Bureau (*Designated Contacts). Until a designation is made, communication with any other NYSDOT employee concerning this project that is determined to be an attempt to influence the procurement may result in disqualification. Refer to "NYSDOT Procurement Lobbying Law Guidelines and Procedures" - see the NYSDOT

web site: https://www.dot.ny.gov/portal/page/portal/main/business-center/consultants/general-info 11b3. Summary of the policy and prohibitions regarding permissible contacts

Contacts prior to designation Any communications involving an attempt to influence the procurement are only permitted with the following Designated

Contact Persons: The Contract Management Designation Specialist

The Contract Management Designation Specialist Supervisor The Contract Management Assistant Directors The Contract Management Director

The Contract Management Civil Rights Unit Supervisor The Contract Management Administrative Staff

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These are some communications exempted from this restriction:

Participation in a pre-proposal conference Protests, complaints of improper conduct or misrepresentation

If any other NYSDOT employee is contacted and they believe a reasonable person would infer that the communication was intended to influence the procurement, the contact must be reported by the NYSDOT employee. If the Department

determines an impermissible contact was made, that offerer cannot be awarded the contract. A second violation would lead to a four year bar on the award of public contracts to the offerer.

Contacts after designation - NYSDOT identifies its primary negotiation contacts. The designated contacts include: The Contract Management Negotiation Specialist The Contract Management Negotiation Specialist Supervisor

The Contract Management Assistant Directors The Contract Management Director

The Consultant Job Manager The Contract Management Civil Rights Unit Supervisor The Contract Management Administrative Staff

The Consultant Job Manager's immediate Supervisor Individual(s) that the Department may identify at or after designation

The law does not limit who may be contacted during the negotiation process. However, if any NYSDOT employee is

contacted and they believe a reasonable person would infer that the communication was intended to influence the procurement, the contact must be reported by the NYSDOT employee.

Information Required from Offerers that contact NYSDOT staff, prior to contract approval by the Office of the State Comptroller - The individuals contacting NYSDOT should refer and shall be prepared to provide the following information, either by e-mail or fax as directed by NYSDOT: Person's name, firm person works for, address of employer,

telephone number, occupation, firm they are representing, and whether owner, employee, retained by or designated by the firm to appear before or contact the NYSDOT.

Applicability to an executed contract - Restrictions similar to those described above apply to approval or denial of an assignment, amendment (other than amendments that are authorized and payable under the terms of the procurement

contract as it was finally awarded or approved by the comptroller, as applicable), renewal or extension of a procurement contract, or any other material change in the procurement contract resulting in a financial benefit to the offerer. The staff noted above as well as the project manager and consultant manager are considered designated contact persons. The

Department may identify other contact persons for each of these processes.

11b4. Rules and regulations and more information on this law, please visit: https://ogs.ny.gov/acpl and/or http://www.jcope.ny.gov/

12. Iran Divestment Act As a result of the Iran Divestment Act of 2012 (Act), Chapter 1 of the 2012 Laws of New York, a new provision has been added to the State Finance Law (SFL), § 165-a, effective April 12, 2012. This act may be viewed in its entirety at

https://ogs.ny.gov/iran-divestment-act-2012. Pursuant to SFL § 165-a(3)(b), the Commissioner of the Office of General Services (OGS) has developed and maintains a list (prohibited entities list) of “persons” who are engaged in “investment

activities in Iran” (both are defined terms in the law). The list may be found on the OGS website at: http://www.ogs.ny.gov/about/regs/docs/ListofEntities.pdf

By submitting a bid in response to this solicitation or by assuming the responsibility of a Contract awarded hereunder, Bidder/Contractor (or any assignee) certifies that, it will not utilize, on such Contract, any subcontractor that is identified on

the prohibited entities list.

Additionally, any Contractor seeking to renew or extend a Contract or assume the responsibility of a Contract awarded in response to this solicitation, must certify at the time the Contract is renewed, extended or assigned that it is not included on the prohibited entities list.

During the term of the Contract, should the New York State Department of Transportation (NYSDOT) receive information that a Bidder/Contractor (or any assignee) is in violation of the above-referenced certification, NYSDOT will offer the

Bidder/Contractor (or any assignee) an opportunity to respond. If the Bidder/Contractor (or any assignee) fails to demonstrate that it has ceased its engagement in the investment which is in violation of the Act within 90 days after the

New York State Department of Transportation Page 12

determination of such violation, then NYSDOT shall take such action as may be appropriate including, but not limited to, imposing sanctions, seeking compliance, recovering damages, or declaring the Contractor in default.

NYSDOT reserves the right to reject any bid or request for assignment for an entity that appears on the prohibited entities list prior to the award of a contract, and to pursue a responsibility review with respect to any entity that is a warded a

contract and appears on the prohibited entities list after contract award.

13. Conflicts of Interest for Design-Build Contracts Please refer to Title 23 Section 636.116 of the Code of Federal Regulations, as quoted in full below. Consultants and subconsultants who perform design-related work on a project may not be allowed to compete as part of a design-build team

for the same project. The Department will make such determinations on a case by case basis. Consultants should request a determination from the Department whenever a decision is made to progress a contract as design-build and the consultant is interested in proposing as part of a design-build team.

23 CFR 636.116 - What organizational conflict of interest requirements apply to design-build projects?

A. State statutes or policies concerning organizational conflict of interest should be specified or referenced in the d esign-

build RFQ or RFP document as well as any contract for engineering services, inspection or technical support in the

administration of the design-build contract. All design-build solicitations should address the following situations as appropriate:

1) Consultants and/or sub-consultants who assist the owner in the preparation of a RFP document will not be allowed to participate as an offerer or join a team submitting a proposal in response to the RFP. However, a contracting

agency may determine there is not an organizational conflict of interest for a consultant or sub-consultant where:

i. The role of the consultant or sub-consultant was limited to provision of preliminary design, reports, or similar

"low-level" documents that will be incorporated into the RFP, and did not include assistance in development of instructions to offerers or evaluation criteria, or

ii. Where all documents and reports delivered to the agency by the consultant or sub-consultant are made available to all offerers.

2) All solicitations for design-build contracts, including related contracts for inspection, administration or auditing

services, must include a provision which:

i. Directs offerers attention to this subpart;

ii. States the nature of the potential conflict as seen by the owner;

iii. States the nature of the proposed restraint or restrictions (and duration) upon future contracting activities, if appropriate;

iv. Depending on the nature of the acquisition, states whether or not the terms of any proposed clause and the application of this subpart to the contract are subject to negotiation; and

v. Requires offerers to provide information concerning potential organizational conflicts of interest in their proposals. The apparent successful offerers must disclose all relevant facts concerning any past, present or

currently planned interests which may present an organizational conflict of interest. Such firms must state how their interests, or those of their chief executives, directors, key project personnel, or any proposed consultant, contractor or subcontractor may result, or could be viewed as, an organizational conflict of

interest. The information may be in the form of a disclosure statement or a certification.

3) Based upon a review of the information submitted, the owner should make a written determination of whether the

offerer's interests create an actual or potential organizational conflict of interest and identify any actions that must be taken to avoid, neutralize, or mitigate such conflict. The owner should award the contract to the apparent

successful offerer unless an organizational conflict of interest is determined to exist that cannot be avoided, neutralized, or mitigated.

B. The organizational conflict of interest provisions in this subpart provide minimum standards for STDs to identify mitigate or eliminate apparent or actual organizational conflicts of interest. To the extent that State-developed organizational conflict of interest standards is more stringent than that contained in this subpart, the State standards

prevail.

C. If the NEPA process has been completed prior to issuing the RFP, the contracting agency may allow a consultant or

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subconsultant who prepared the NEPA document to submit a proposal in response to the RFP.

D. If the NEPA process has not been completed prior to issuing the RFP, the contracting agency may allow a subconsultant to the preparer of the NEPA document to participate as an offerer or join a team submitting a proposal in response to the RFP only if the contracting agency releases such subconsultant from further responsibilities with

respect to the preparation of the NEPA document.

14. Public Officers Law Contractors, consultants, vendors, subconsultants and subcontractors may hire former State Agency or Authority employees. However, as a general rule and in accordance with New York State Public Officers Law, former employees of

the State Agency or Authority may neither appear nor practice before the State Agency or Authority, nor receive compensation for services rendered on a matter before the State Agency or Authority, for a period of two years following their separation from State Agency or Authority service.

In addition, former State Agency or Authority employees are subject to a “lifetime bar” from appearing before the State

Agency or Authority or receiving compensation for services regarding any transaction in which they personally participated, or which was under their active consideration during their tenure with the State Agency or Authority.

For more information, go to NYSDOT's web site at: https://www.dot.ny.gov/index Or contact:

Scott Nussbaum NYSDOT Contract Management Bureau

50 Wolf Road, 6th Floor Albany, New York 12232-0203 E-mail: Scott.Nussbaum@dot.ny.gov

(518) 457-2600

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SCOPE OF WORK (DRAFT)

Design -Term Agreement for Design Build Project Support - Statewide

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EXECUTIVE SUMMARY

Design -Term Agreement for Design Build Project Support - Statewide

The CONSULTANT when directed by the DEPARTMENT shall provide services to support the Department in administering one or more Design Build projects. The Consultant will provide services under one or more of the following

areas:

I. Design Build Project Procurement Assistance

II. Contract Implementation Design Quality Assurance III. Contract Implementation Construction Management and Construction Quality Assurance

Individual assignments will be made to this contract for Design Build projects on an as needed basis during the duration of this agreement. These assignments will be assigned and approved by the DEPARTMENT according to the terms of this

agreement. I. Design Build Project Procurement Assistance

General: The CONSULTANT shall provide technical support for the preparation of project-specific Design Build procurement and contract documents. The CONSULTANT shall facilitate design build orientation and document review by

the Department and industry and will assist the DEPARTMENT with the evaluation and selection process.

Task 1 Design Build Technical Training Program The CONSULTANT shall develop a technical training program and all necessary additional training materials, including syllabus, visual a ids and handouts, to instruct DEPARTMENT employees in the changes to the

DEPARTMENT’S policies and procedures necessitated by the Design Build program. Topics will include Selection, Design, Construction, and Administrative Procedures. These materials will supplement those the DEPARTMENT currently has.

The CONSULTANT will assist the DEPARTMENT in providing the training as needed.

Task 2 Industry and Agency Meetings The CONSULTANT shall facilitate meetings between the DEPARTMENT and interested construction and

engineering firms at various times during the procurement process. The CONSULTANT will assist the DEPARTMENT in developing the agenda, making meeting arrangements, preparing and making presentations, and documenting the meetings.

Group informational meetings may be held at about the time the RFQ, Draft RFP and Final RFP are issued to allow the

DEPARTMENT and the CONSULTANT to explain the program, the Design Build procurement process, and contract implementation.

Individual meetings may be held with Short-Listed firms after issuance of the Draft RFP to present comments and recommendations to the DEPARTMENT.

The CONSULTANT shall prepare draft responses to questions and issues raised by industry at these meetings.

In addition, meetings will be held with agencies and third parties to explain the NYSDOT Design Build approach and project status.

Task 3 Request for Letters Of Interest (RLOI) The CONSULTANT shall draft either a "Request for Letters of Interest", or a “Notice of Intent” (NOI), or an advertisement for the DEPARTMENT publication and distribution that will announce the Design Build project. The

RLOI, NOI, or advertisement will briefly describe the project scope, and solicit expressions of interest from Design Build Teams (consisting of contractor and consultant firms).

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Task 4 Evaluation and Selection Criteria

The CONSULTANT shall assist the DEPARTMENT in the preparation of preliminary written Evaluation and Selection (E&S) Criteria for the Request for Qualifications (RFQ) and Request for

Proposal (RFP) phases of the procurement. The E&S Criteria will describe each step of the evaluation and selection process and will identify the roles and responsibilities of the personnel assigned to evaluate Statements of Qualifications (SOQs) during the RFQ phase and Proposals during the RFP phase.

The CONSULTANT shall assist with the updating of the RFQ E&S Criteria just prior to issuance of the RFQ to include the final evaluation criteria. The CONSULTANT shall assist with the preparation of the RFP evaluation

criteria, specific personnel assignments designated by NYSDOT, a nd provide E&S worksheets for use by evaluation personnel.

Task 5 Request For Qualifications (RFQ) The CONSULTANT shall provide technical assistance to the DEPARTMENT in preparing a Request for

Qualifications (RFQ) to solicit Statements of Qualifications (SOQs) from interested Design Build Teams (Proposers). The RFQ will focus on determining the Proposer's experience, qualifications, and past performance, and other criteria consistent with the enabling legislation.

The RFQs may include but are not limited to:

• Federal-and NYSDOT- mandated procurement provisions; • Rules for communicating with NYSDOT;

• A description of the RFQ evaluation process; • The RFQ evaluation and selection criteria and their relative weights, including legal and financial

requirements;

• Brief scope of work and status of the project; • Preliminary list of RFP evaluation criteria;

• Specific information to be included in SOQs and the required SOQ format; • Forms to be used in preparing SOQs (hardcopy and electronic format); and

• Protest procedures.

Upon issuance of the RFQ, the CONSULTANT shall assist the DEPARTMENT in responding to requests for clarification from prospective Proposers and in preparing addenda to the RFQ, as required.

Upon receipt of the SOQs, the CONSULTANT shall provide assistance in the evaluation and Short-Listing process by:

• Providing personnel to serve on a “Procurement Management Team” that facilitates and documents the E&S

process and facilitates the exchange of information between the Department and Proposers;

• Assisting the DEPARTMENT in checking and preparing SOQs for evaluation;

• Providing orientation on the SOQ E&S evaluators;

• Providing technical advisors to assist in evaluation process;

• Preparing announcement of Short List, and

• Assisting in the debriefing of Proposers who are not Short Listed, if any.

Task 6 Instructions To Proposers The CONSULTANT shall assist the DEPARTMENT in preparing Instructions to Proposers (ITP), and Contract

Documents that will comprise the Request For Proposal (RFP). This task will require significant interaction with the Department.

Instructions to Proposers (ITP)

The CONSULTANT shall prepare, in consultation with the DEPARTMENT, an ITP to solicit proposals from short-listed firms. The ITP shall include:

• Federal-and NYSDOT-mandated procurement provisions; • Legal and financial requirements; • Rules for communicating with NYSDOT;

• Explanation of the RFP's Evaluation and Selection process; • Description of the RFP evaluation and selection criteria and their relative weights, including the relative

importance of the technical and price criteria;

• Statement of the specific information to be addressed in the Technical Proposal and the Price Proposal and the required format of the Proposals;

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• Forms for use in preparing proposals (hardcopy and electronic format); and

• Protest procedures.

Task 7 Contract Documents The CONSULTANT shall assist in the preparation and/or compilation of the following Contract Documents in consultation with the DEPARTMENT:

• Sample "DB Agreement" or "DB Form of Contract", including required federal provisions; • A detailed scope of work, including all environmental mitigation requirements;

• Preliminary drawings and design criteria; • Contract requirements for:

1.1 Design management and quality control; 1.2 Construction management and quality control; 1.3 Quality Plan Requirements; and

1.4 Escrowed Proposal documents

• Performance Specifications as required for design and construction; • Design Build utilities and third-party agreement requirements;

• Provide direction for the development of engineering drawings, design criteria, specifications and data; • Provide direction for the preparation and completion of "as-built" documents; and

• M/W/DBE/EEO and SDVOB Requirements.

Task 8 Reference Documents The CONSULTANT shall provide technical assistance with the assembling of other data, documents, drawings, reports, etc., including the environmental documents and the Record of Decision to be provided to Proposers "For

Information Only".

Task 9 Performance Specifications

The CONSULTANT shall provide technical assistance with the preparation of any Performance Specifications that are deemed appropriate for review and approval by the DEPARTMENT. In developing the performance specifications, the

CONSULTANT shall assist with the following:

• Determine the standards and references applicable to the work;

• Identify the attributes: the critical elements of the work that are of importance to the DEPARTMENT; the means by which the performance characteristics are identified. For example: pavement structure attributes

may be measured in terms of smoothness, durability, and skid resistance;

• Specify the performance requirements: a statement of the desired qualitative results;

• Specify design requirements: applicable design criteria, and/or a statement of results desired at particular times in the life of the project component; and

• Determine substantiation of performance: a statement of how and when actual performance will be measured or how predicted performance will be determined.

Task 10 Utility and THIRD-PARTY Agreements

A. Utility Agreements The CONSULTANT shall provide technical assistance to the DEPARTMENT in identifying issues to be included in Utility Agreements between the DEPARTMENT and utility owners, such as:

• Responsibilities for design and relocation of facilities; • Applicable technical specifications or other requirements;

• Time frames for reviews, approvals, design and construction by the utility owner (if applicable); and • Funding and/or reimbursement agreements.

Pertinent information relative to the Preliminary Utility Agreements shall be incorporated into the procurement and contract documents. It is assumed that utilities will include electric service, communications, cable, water, gas, and sewers.

B. Third-Party Agreements

The CONSULTANT shall provide technical assistance to the DEPARTMENT in identifying issues to be included in Third-Party Agreements, such as:

• Identification of the physical and operational constraints applicable to any work on third party property or work that could affect third party property or operations;

• Applicable specifications and criteria for approval of design and construction work done by the Design Build Team;

• The required frequency of submittals and reviews and the time frame for review and approval; identification of any work to be done by the third parties; and

• Funding and/or reimbursement agreements.

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Pertinent information relative to Third-Party Agreements shall be incorporated into the procurement and contract documents.

Task 11 Draft Request For Proposals (DRFP) The CONSULTANT shall assist with the assembling of a Draft RFP for the DEPARTMENT, the NYSDOT-

designated stakeholders and short-listed Proposers for review and comment. The CONSULTANT shall meet with the DEPARTMENT to resolve comments and incorporate resolutions in the final RFP. Prior to issuance the RFP, the CONSULTANT shall provide NYSDOT with a final draft for review and approval.

Task 12 Final Request For Proposals (RFP)

The CONSULTANT shall assist with the preparation of the final RFP, as agreed with the DEPARTMENT, for distribution to the Short-Listed Proposers, designated NYSDOT staff and NYSDOT-designated stakeholders in conformance with FHWA policies and procedures.

Following issuance of the RFP, the CONSULTANT shall assist and facilitate “Technical Concept Reviews”, if incorporated into the process; assist the DEPARTMENT in responding to requests for clarification from Short Listed

Proposers; and prepare any necessary addenda to the RFP.

Task 13 Proposal Evaluation and Selection Upon receipt of the Proposals, the CONSULTANT shall provide technical assistance and support the DEPARTMENT in the evaluation and Short-Listing process by:

• Providing personnel to serve on a “Procurement Management Team” that facilitates and documents the E&S process and facilitates exchange of information (“communications”) between the DEPARTMENT and Proposers;

• Assisting the Department in checking and preparing Proposals and Best and Final Offers (BAFO) If any, for evaluation;

• Providing orientation on the Proposal Evaluation and Selection process for evaluators;

• Providing technical advisors to assist in evaluation process;

• Assisting in preparation for interviews/presentations, if any;

• Facilitating determination of "competitive range" and preparation for "discussions", if any;

• Preparing request for final revised proposals (BAFOs), if necessary;

• Preparing announcement of selection;

• Assisting the Department with negotiations (if any) with selected Proposer; and

• Facilitating debriefing of unsuccessful Proposers.

Task 14 Special Support Activities During Design Build Procurement Activities The following services, if required, will be performed by the CONSULTANT on an as-needed basis.

• It is anticipated that the preliminary engineering effort to complete the environmental process will be completed by others. However, when requested, the Consultant may be asked to complete minor design services on the project.

• Assist the DEPARTMENT in responding to any protests or other disputes related to the procurement process.

• Provide technical support to the DEPARTMENT as needed during the procurement process;

• Provide construction cost estimates and/or reviews of cost estimates prepared by others.

Task 15 SEP.14/Projects Deviating from 23 CFR 636 Requirements (Federal-Aid only) Requests Although a SEP-14 request is not anticipated, if such a request Is needed, the Consultant shall assist the Department

with preparation of an SEP-14 request to FHWA. This request would cover any desired departure from the FHWA Design Build Contracting, Final Rule.

Task 16 Document Control and Administrative Record The Consultant shall establish and maintain a document control system and prepare and maintain the administrative record for the procurement process, including evaluation and selection.

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II. Contract Implementation Design Quality Assurance

General: The Consultant shall provide technical assistance and support during the contract implementation

phases of the project in conformance with the department Design Build policies and guidance. The Consultant, when directed, shall perform the following services.

Task 1 Design Oversight and Quality Assurance During Design-Build Implementation The CONSULTANT shall provide design oversight and quality assurance services as per NYSDOT Document Part 3

Section 5 - Design, Design Quality Control and Quality Assurance, of project designs prepared by the Design Builder. Design oversight and quality assurance services shall include but are not limited to:

• Contract compliance oversight;

• Review of Design Build Team’s design quality plans;

• Review of Design Build Team’s design schedule;

• Provide technical staff to be located in the office of the Engineer of Record (EOR) as necessary to provide

design oversight of project designs prior to submission for final review;

• Record comments and discussions at design review meetings;

• Provide technical staff to be located in the CONSULTANT’S home office to provide additional reviews of

project designs, as necessary, prior to submission for final review;

• Perform Quality Assurance activities of the Engineer of Record’s Quality Control Plan;

• Perform a final review of the Design Build Team's submittals of project designs prior to release for

construction; Including drawings, specifications, reports, calculations and other contract required documents, related to geotechnical, structural, civil, traffic and hydraulics engineering to ensure that they have been prepared in accordance with all the requirements set forth in Department policies, manuals, engineering

bulletins, the RFP document and engineering instructions.

Technical differences of opinion between the CONSULTANT and the Engineer of Record regarding designs or details

shall be brought to the attention of the DEPARTMENT’S project manager for resolution.

Task 2 Document Control and Administrative Record The Consultant shall establish and maintain a document control system and prepare and maintain the administrative record for the project Design Oversight and Quality Assurance activities.

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III. Contract Implementation Construction Management and Construction Quality Assurance

General: The Consultant shall provide contract administration and construction quality assurance

verification and auditing, sampling and testing as per NYSDOT document Part 3 Section 6 - Construction Quality Control and Quality Assurance, and Part 3 Appendix D - Quality Assurance Plan Program Guide from such time as directed to proceed until the completion of the final agreement and issuance of final payment for the Contrac t.

Task 1 Construction Quality Assurance Monitoring The firm will provide construction oversight, materials testing and independent verification staff for the project. The

firm's staff will ultimately report to the Department's Construction Quality Assurance Engineer who, at the DEPARTMENT’S discretion, can be a senior engineer provided by the Consultant to support the Department. The

Consultant shall provide technical staff to support the Department in administering the Design Build contract. This includes Construction Inspection staff and, if required, a senior engineer to serve as the Department's project manager.

If requested, Staff will be required to perform the following tasks:

• The Consultant is required to provide Construction Quality Assurance Verification and Auditing of the Design

Build Team's work for conformance with the Design Build Team's Quality Plan and other contract documents. The Consultant's Quality Assurance verification and auditing activities must adhere to, and be in accordance with, all the requirements set forth in Department policies, manuals, engineering bulletins, and engineering

instructions.

• Unless otherwise modified by this Agreement, the Department will furnish at its own expense, off-site

inspections and testing of site, cement, asphalt, concrete and asphalt aggregates, concrete sewer and drainage pipe, and such other materials as are customarily tested by Department forces or by separate contracts. The test cores from completed paving will be taken and tested by the Department at its own expense. The Design

Build Team will be required to engage one or more Independent Labs to perform a variety of tests in accordance with their contract with the Department.

• All testing equipment provided by the Consultant to be used on the Project must be checked and approved by

the Regional Materials or Geotechnical Engineer prior to use. Task 2 Quality The Consultant will enforce the specifications and identify in a timely manner local conditions, methods of

construction, errors on the plans or defects in the work or materials which would conflict with the quality of work, and conflict with the successful completion of the Project.

Task 3 Record Keeping & Payments to The Contractor

• All records must be kept in accordance with the Manual for Uniform Record Keeping (MURK) and the

directions of the Regional Director. The Consultant must take all measurements and collect all other pertinent information necessary to prepare a project diary describing the progress of the work, specific problems encountered, daily quality assurance reports, monthly and final estimates, survey notes, photographs of

various phases of construction, and other pertinent" data, records and reports which may be required by MURK for proper completion of records of the Contract.

• Any record plans, engineering data, survey notes or other data provided by the Department to the Consultant

should be returned to the Department at the completion of the Contract. Original tracings of record plans, maps, engineering data, the final estimate and any other engineering data produced by the Consultant will bear the endorsement of the Consultant. Any documents that require an appropriate review and approval of a

Professional Engineer (P.E.) licensed and registered to practice in New York State must be signed and stamped by the P.E.

• Unless otherwise modified by this Agreement, the Department will check, and when acceptable, mark as accepted accept all structural shop drawings.

• The Consultant must submit the final estimate of the Contract to the Regional Director within five (5) weeks after the date of acceptance of the Contract. All project records must be cataloged, indexed, packaged, and

delivered to the Regional Office within six (6) weeks after the date of the acceptance of the Contract.

TASK 4 Monitoring the Project Schedule

• The Consultant is responsible for monitoring the progress of the work of the Contract in accordance with the Design Build Team's approved schedule, with the goal of meeting the Contract completion date. To this end,

the Consultant must evaluate, review and comment on the Design Build Team's proposed schedule, and when said schedule is modified such that the work of the Contract is proposed to be completed in a reasonable manner, in accordance with the Contract completion date, must approve said schedule in writing on behalf of

the Department. The Consultant, when reviewing the Design Build Team's proposed schedule, will utilize the guidance contained in MURK.

• It is the Consultant's acknowledged responsibility to prevent, to the degree possible, delays in the Design

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Build Team's procedures. All delays to the Contract must be documented by the Consultant,

and the Consultant will then require an appropriate schedule modification by the Design Build Team. Where the Consultant determines that the Design Build Team's operations and

procedures might lead to a delay, the Consultant is to inform the Design Build Team and the Construction Quality Assurance Engineer immediately in writing of that fact.

• Situations incapable of disposition in the field must be brought to the immediate attention of the Regional

Director.

Task 5 Health & Safety / Maintenance & Protection of Traffic

• The Consultant must ensure that all staff assigned to the Project are knowledgeable concerning the health and safety requirements of the Contract per Department policy, procedures and specifications and adhere to all such standards. Individual inspectors must be instructed relative to the safety concerns for construction

operations they are assigned to inspect to protect their personal safety and to ensure they are prepared to recognize and address any Design Build Team oversight or disregard of project safety requirements.

• The Consultant is responsible for monitoring the Design Build Team's and Subcontractors’ efforts to maintain traffic and protect the public from damage to person and property within the limits of, and for the duration of, the Contract.

Task 6 Communications In addition to routine communications with the Department as otherwise described, the Consultant will also be required

to communicate information pertaining to progress, schedules, coordination, problems, etc., as necessary, with the Design Build Team, utilities, community representatives and the general public, etc. All communications should be accurate, clear and concise, in a professional manner, and executed in a timely fashion. Communications with and to

public officials must be cleared through the Construction Quality Assurance Engineer.

Task 7 Monitoring Equal Opportunity / Labor Requirements The Consultant must assign to one staff member (compliance specialist) the responsibility of monitoring the Design Build Team's adherence to Equal Employment Opportunity (EEO) and to Disadvantaged/Minority/Women's Business

Enterprise (D/M/WBE) Labor requirements contained in the Contract. The Consultant, when monitoring the Design Build Team's Equal Opportunity and Labor compliance, will utilize the guidance contained in the Contract, standard specifications and the MURK.