Transcription

MANUAL FORPLANNING AND EXECUTION OFSTATE PERMANENT IMPROVEMENTSPART IIDIVISION OF PROCUREMENT SERVICESOFFICE OF STATE ENGINEER2016 EDITION

2016 EditionOFFICE OF STATE ENGINEERMANUAL FOR PLANNING AND EXECUTION OF STATE PERMANENT IMPROVEMENTSPART II - 2016 EDITIONTABLE OF CONTENTSCHAPTER 1GENERAL INFORMATION1.1Related Statutory and Regulatory Authority1.2Role of the State Engineer and Office of the State Engineer (OSE)1.3Purpose of this Manual1.4Organization1.5Key Definitions1.6Agency Responsibilities1.7General Procurement Information1.8Unauthorized Procurements1.9Relationship between Local Officials and State Agencies1.10Freedom of Information Act and Trade Secrets Act1.11Legal Remedies for Solicitation and Awards1.12Legal Remedies for Contract ControversiesCHAPTER 2MINORITY BUSINESSES2.1Related Statutory Authority2.2State Policy2.3Definitions2.4Minority Business Enterprise (MBE) Utilization Plan2.5Certification of Minority Businesses2.6Contracting with Certified Minority Businesses2.7Bonding of Small and Minority Business Enterprises2.8SBA Surety Bond Guarantee Program2.9Income Tax Credit2.10Progress Payments for Construction Related Services2.11Letters of Contract Award2.12Requirements of Standard Form ContractsCHAPTER 3PRELIMINARY PROJECT PLANNING – CONCEIVING, DEFINING AND INITIATING THEPROJECT (BEST PRACTICES)3.1 . Strategic Planning3.2 . Initiating the Project3.3 . Defining/Programming the ProjectCHAPTER 3.1PRELIMINARY PROJECT PLANNING – SELECTING PROJECT DELIVERY METHOD & SOURCESELECTION METHOD3.1.1 . Authorized Project Delivery Methods3.1.2 . Project Delivery Options Translator3.1.3 . Agency Assessment of Project and Selection of Project Delivery Method3.1.4 . Selecting Source Selection Method3.1.5 . Written Determination of Appropriate Project Delivery Method3.1.6 . Written Determination Selecting Design-Bid-BuildPage 1 of 9Table of Contents

2016 EditionCHAPTER 3.2PRELIMINARY PROJECT PLANNING – SELECTING OTHER ADDITIONAL PROCUREMENTPROCEDURES INCLUDING PRE-QUALIFICATION3.2.1 . Selection of Additional Procurement Procedures3.2.2 . Approval to Pre-Qualify Bidders/Offerors and Sub-Bidders/Offerors3.2.3 . Additional Procedures Applicable to Design-Build, Design-Build-Operate-Maintain orDesign-Build-Finance-Operate-MaintainCHAPTER 3.3PRELIMINARY PROJECT PLANNING – SELECTING PERFORMANCE SECURITY3.3.1 . General3.3.2 . Selecting Performance and Payment Security3.3.3 . Form of Required Performance and Payment Security3.3.4 . Form of Optional Performance and Payment SecurityCHAPTER 4PROCURING PROFESSIONAL SERVICES INDEPENDENT OF CONSTRUCTION SERVICES4.1 . Related Statutory Authority4.2 . Definitions4.3 . Small Professional Services Contracts (Fees of 25,000 or Less)4.4 . Large Professional Services Contracts4.5 . Professional Services Indefinite Delivery Contracts (IDCs)4.6 . Procedures for Amending Professional Services Contracts4.7 . Sole Source and Emergency Selection of Professional Services4.8 . Professional Liability Insurance4.9 . Design Professional Errors and OmissionsCHAPTER 5DESIGN/CONSTRUCTION DOCUMENT & CONSTRUCTIONCERTIFICATIONSTable 5-1 . Flood Hazard Information and Flood LoadsZoning CertificationErosion and Sediment Reduction/Stormwater ManagementTable 5-2 . Soils & SiteTable 5-3 . Basic Building Code InformationTable 5-4 . Building AreaTable 5-5 . Building HeightTable 5-6 . Building Design Occupant LoadTable 5-7 . General Fire Protection RequirementsTable 5-8 . Fire Resistance Rating of Building ElementsTable 5-9 . Structural Design InformationTable 5-10 . Plumbing InformationTable 5-11 . Mechanical InformationTable 5-12 . Electrical InformationTable 5-13 . Design-Related Construction Permits/ApprovalsTable 5-14 . Statement of Special InspectionsPage 2 of 9STANDARDS–TABLES&Table of Contents

2016 EditionCHAPTER 5.1DESIGN/CONSTRUCTION DOCUMENT & CONSTRUCTION STANDARDS – BUILDING CODES,STANDARDS, REGULATIONS AND PERMITS5.1.1 . Related Statutory Authority5.1.2 . Authority Having Jurisdiction5.1.3 . Codes and Standards5.1.4 . Flood Hazard Area Development5.1.5 . Information Technology Requirements5.1.6 . Existing Structures – Special Considerations5.1.7 . Modular Buildings5.1.8 . Prohibited Building Materials5.1.9 . Design Related Construction Coordination, Permits and Approvals5.1.10 . Energy Conservation and Sustainable Construction5.1.11 . Green Purchasing Initiative5.1.12 . Required Inspection Services5.1.13 . Non-Restrictive SpecificationsCHAPTER 5.2DESIGN/CONSTRUCTION DOCUMENT & CONSTRUCTION STANDARDS – DESIGN ANDCONSTRUCTION DOCUMENT SUBMITTALS TO OSE5.2.1 . Related Statutory Authority5.2.2 . Document Submittals to OSE5.2.3 . Project Name and Number5.2.4 . Drawings5.2.5 . Project Manual5.2.6 . Special Bidding Requirements5.2.7 . Design Submittal Requirements5.2.8 . OSE Review and Approval Process5.2.9 . Schematic Design Documents5.2.10 . Construction Documents5.2.11 . Bidding DocumentsCHAPTER 6PROCUREMENT OF DESIGN-BID-BUILD CONSTRUCTION CONTRACTOR – COMPETITIVESEALED BIDDING (PROCUREMENTS GREATER THAN 50,000.)6.1 . Related Statutory Authority6.2 . Applicability6.3 . Advertising Projects for Bidding6.4 . Pre-Bid Conferences and Site Visits6.5 . Addenda6.6 . Bid Postponement6.7 . Bid Cancellation6.8 . Bid Openings6.9 . Determination of Bidders’ Responsiveness6.10 . Required Bid Tabulation6.11 . Extending Bid Acceptance Period6.12 . Bid Withdrawal, Modification, or Correction6.13 . Rejection of All Bids6.14 . Re-Bidding Projects6.15 . Tie Bids6.16 . Determination of Bidder’s Responsibility6.17 . Permitted Negotiations after Unsuccessful Bidding6.18 . Insufficient Funds Authorized by Form A-16.19 . Notice of Intent to AwardPage 3 of 9Table of Contents

2016 EditionCHAPTER 6 (cont.)6.20 . Contract Execution Waiting Period6.21 . Inspection and Testing Services and Building/Construction Permit6.22 . Submitting the Contract to Contractor for Execution6.23 . Reviewing Certificate of Insurance and Performance and Payment Bonds6.24 . Notice to Proceed6.25 . Return of Bid Security and Disposition of BidsTable 6.4-1 . Pre-Bid Conference Discussion ItemsCHAPTER 7CONSTRUCTION CONTRACT ADMINISTRATION – DESIGN-BID-BUILD7.1 . Related Statutory Authority7.2 . Pre-Construction Conference7.3 . Construction Schedules7.4 . Shop Drawings7.5 . Evaluation of Substitutions7.6 . Inspections7.7 . Substitution of Subcontractors7.8 . Change Orders7.9 . Change Orders: Delays and Time7.10 . Change Directives7.11 . Resolution of Construction Claims and Disputes between Contractor and Agency7.12 . Claims by Others7.13 . Disputes or Unresolved Claims7.14 . Application and Certification for Payment7.15 . Progress Payments to Contractors7.16 . Withholding Payment to Contractors7.17 . Retained Amounts of Progress Payments (Retainage)7.18 . Substantial Completion7.19 . Certificate of Occupancy/Use7.20 . Record Documents7.21 . Final Completion7.22 . Contract Closure and Final Payment7.23 . One-Year Corrective Work Period7.24 . Project Close-OutTable 7.2-1 . Pre-Construction Conference Discussion ItemsCHAPTER 8MISCELLANEOUS PROCUREMENTS8.1 . Related Statutory Authority8.2 . Types of Miscellaneous Procurements8.3 . Small Purchases8.4 . Sole Source Procurements8.5 . Emergency ProcurementsCHAPTER 9INDEFINITE DELIVERY CONTRACTS9.1 . General9.2 . Professional Services Indefinite Delivery Contracting9.3 . Construction Services Indefinite Delivery ContractingPage 4 of 9Table of Contents

2016 EditionCHAPTER 10REAL PROPERTY10.1 . Related Statutory Authority10.2 . Acquisition of Real Property10.3 . Demolition of Real Property10.4 . Moving Real Property10.5 . Sale of Real Property10.6 . Lease-Purchase Arrangements10.7 . Leasing and Renovation of State Property by Others10.8 . Leasing and Renovation of Non-State Property by a State AgencyCHAPTER 11.1CONSTRUCTION MANAGEMENT AT RISK – SELECTING A CONSTRUCTION MANAGER ATRISK – COMPETITIVE SEALED PROPOSALS11.1.1 . Definitions11.1.2 . Special Considerations from CM At-Risk11.1.3 . Notes Concerning Construction Manager-Agent11.1.4 . Source Selection Method11.1.5 . Organizational Structure and Staffing for Conducting the RFP Process11.1.6 . Selection Plan for the RFQ/RFP Process11.1.7 . Requests for Qualifications *RFQ* (I.E. Prequalification)11.1.8 . The Request for Proposal (RFP)11.1.9 . Non-Disclosure of Procurement and Confidential Information11.1.10 . Procurement Integrity (Conflicts of Interest/Ethics)11.1.11 . Potential Offeror’s Participation in a Report or Study Used in Preparation of DesignRequirements11.1.12 . Receipt of Proposals11.1.13 . Proposal Opening and Register of Proposals11.1.14 . Permissible Communications with Offerors after Proposal Opening But Before Award11.1.15 . Rejection of Proposals and Cancellation of Solicitation11.1.16 . Selection Committee Meetings and Ranking of Proposals11.1.17 . Award if Price is an Initial Evaluation Factor11.1.18 . Negotiations after Evaluation and Ranking11.1.19 . Best and Final Offers (BAFO)11.1.20 . Award11.1.21 . Notice of Award11.1.22 . Contract Execution Waiting Period11.1.23 . Submitting the Contract to Contractor for Execution11.1.24 . Reviewing Certificate of Insurance and Performance and Payment Bonds11.1.25 . Retention of Selection Records11.1.26 . Notification of Unsuccessful Offerors after Notice of AwardCHAPTER 11.2CONSTRUCTION MANAGEMENT AT RISK – ADMINISTERING THE CM-R CONTRACT(TO BE DEVELOPED)Page 5 of 9Table of Contents

2016 EditionCHAPTER 12.1DESIGN-BUILD, DESIGN-BUILD-OPERATE-MAINTAIN & DESIGN-BUILD-FINANCE-OPERATEMAINTAIN – SELECTING THE DESIGN-BUILDER USING COMPETITIVE SEALED PROPOSALS(DESIGN-BUILD, GUARANTEED ENERGY SAVINGS CONTRACTS)12.1.1 . Definitions12.1.2 . Source Selection Method12.1.3 . Organizational Structure and Staffing for Conducting the RFP Process12.1.4 . Conflicts of Interest12.1.5 . Selection Plan for the RFP Process12.1.6 . Pre-Qualification – The Request for Statements of Qualification12.1.7 . The Request for Proposal (RFP)12.1.8 . Non-Disclosure of Procurement and Confidential Information12.1.9 . Potential Offeror’s Participation in a Report or Study Used in Preparation of DesignRequirements12.1.10 . Receipt of Proposals12.1.11 . Proposal Opening and Register of Proposals12.1.12 . Permissible Communications with Offerors after Proposal Opening But Before Award12.1.13 . Rejection of Proposals and Cancellation of Solicitation12.1.14 . Ranking of Proposals12.1.15 . Award if Price is an Initial Evaluation Factor12.1.16 . Negotiations after Evaluation and Ranking12.1.17 . Best and Final Offers (BAFO)12.1.18 . Award12.1.19 . Notice of Award12.1.20 . Contract Execution Waiting Period12.1.21 . Submitting the Contract to Contractor for Execution12.1.22 . Reviewing Certificate of Insurance and Performance and Payment Bonds12.1.23 . Retention of Selection Records12.1.24 . Notification of Unsuccessful OfferorsCHAPTER 12.2DESIGN-BUILD, DESIGN-BUILD-OPERATE-MAINTAIN & DESIGN-BUILD-FINANCE-OPERATEMAINTAIN – ADMINISTERING THE DESIGN-BUILD CONTRACT(TO BE DEVELOPED)CHAPTER 13.1AGENCY CERTIFICATION FOR CONSTRUCTION PROCUREMENT AND CERTIFICATION FORCODE REVIEW – CERTIFICATION FOR CONSTRUCTION PROCUREMENT13.1.1 . Related Statutory Authority13.1.2 . Delegation of Construction Procurement Authority13.1.3 . Certification Request Procedures13.1.4 . Audit and Record Retention Requirements13.1.5 . In-House Construction Projects13.1.6 . Certification ViolationsCHAPTER 13.2AGENCY CERTIFICATION FOR CONSTRUCTION PROCUREMENT AND CERTIFICATION FORCODE REVIEW – CERTIFICATION FOR BUILDING CODE REVIEW13.2.1 . Related Statutory Authority13.2.2 . Delegation of Building Code Enforcement AuthorityPage 6 of 9Table of Contents

2016 EditionAPPENDIX A – PROFESSIONAL SERVICESA.1 – Forms for Use in Procuring and Administering Professional Services ContractsSE-210 . Invitation for Professional ServicesSE-212 . Notification of Selection for InterviewSE-214 . Professional Services Selection Committee - Confidentiality & Conflict of Interest PolicySE-215 . Professional Services Selection Committee Member – A/E EvaluationSE-217 . Professional Services Selection Committee SummarySE-219 . Notification of Selection for Contract NegotiationSE-220 . Request for Authority to Execute a Professional Services ContractSE-230 . Transmittal of Small Professional Services Contract - For Information OnlySE-260 . Request for Authority to Amend a Professional Services ContractSE-271 . Design Documents Transmittal FormA.2 – Professional Services ContractsSE-235 . Professional Services Incidental Services ContractSE-240 . South Caroline Small Professional Services Contract Terms and ConditionsAPPENDIX B – DESIGN-BID-BUILDB.1 – Documents, Forms and Project Manual GuideDESIGN AND CONSTRUCTION DOCUMENTS AND FORMSGUIDE FOR ORGANIZING AND COMPLETING THE PROJECT MANUALB.2 – Forms for Use in Procuring and Administering Construction Services ContractsTable of Contents - Project ManualSE-310 . Invitation for Construction ServicesSE-330 . Lump Sum Bid FormSE-332 . Unit Price Bid FormSE-355 . Performance BondSE-357 . Labor & Material Payment BondSE-360 . Request for Concurrence in Posting Notice of Intent to AwardSE-370 . Notice of Intent to AwardSE-380 . Change Order to Construction ContractSE-390 . Notice to Proceed – Construction ContractAPPENDIX C - CONSTRUCTION MANAGEMENT AT RISKC.1 – Clauses for Use on Construction Management at Risk ProjectsCLAUSES FOR USE ON CONSTRUCTION MANAGEMENT AT RISK PROJECTSC.2 – Forms for Use in Procuring and Administering Construction Management at Risk ProjectsSE-410 . Invitation for Construction Management at Risk ServicesSE-414 . CM-R Selection Committee - Confidentiality & Conflict of Interest PolicySE-415 . CM-R Selection Committee Member Evaluation - RFQSE-417 . CM-R Selection Committee Summary - RFQSE-419 . Notification of Prequalification – CM-RSE-425 . CM-R Selection Committee Member Evaluation - RFPSE-427 . CM-R Selection Committee Summary - RFPSE-460 . Request for Concurrence in Posting Notice of Intent to Award CM-R ContractSE-470 . Notice of Intent to Award CM-R ContractSE-475 . Request for Authority to Execute Exhibit A to CM-R ContractSE-480 . Change Order to CM-R ContractSE-490 . Notice to Proceed – CM-R ContractPage 7 of 9Table of Contents

2016 EditionAPPENDIX D – INDEFINITE DELIVERY CONTRACTSD.1 – Design and Construction Documents and Forms – Indefinite Delivery Contracts (IDC)(TO BE DEVELOPED)D.2 – Forms for Use in Procuring and Administering Professional Services IDCsSE-600 . Request to Award Multiple Professional Services IDCs for Same ServicesSE-610 . Invitation for Professional Services Indefinite Delivery ContractSE-612 . Notification of Selection for Interviews - Professional Services Indefinite Delivery ContractSE-614 . Professional Services Selection Committee Indefinite Delivery Contract-Confidentiality &Conflict of Interest PolicySE-615 . Professional Services Selection Committee Member A/E Evaluation-Indefinite DeliveryContractSE-617 . Professional Services Selection Committee Summary - Indefinite Delivery ContractSE-619 . Notification of Selection for Contract Negotiation - Indefinite Delivery ContractSE-620 . Request for Authority to Execute a Professional Services Indefinite Delivery ContractSE-630 . Transmittal of Small Professional Services IDC - For Information OnlyD.3 – Professional Services IDCs Contracts and Delivery OrdersSE-635 . Professional Services IDC Delivery Order – Small ContractSE-638 . Professional Services IDC Delivery Order Modification – Small ContractSE-640 . Professional Services Indefinite Delivery ContractSE-645 . Professional Services IDC Delivery Order – Large ContractSE-648 . Professional Services IDC Delivery Order Modification – Large ContractD.4 – Forms for Use in Procuring and Administering Construction Services IDCsTable of Contents – IDC Project ManualSE-650 . Request to Award Multiple Construction Services IDCs for Same ServicesSE-655 . Invitation for Construction Services Indefinite Delivery ContractSE-656 . Instruction to Bidders for Construction Services Indefinite Delivery ContractSE-657 . Construction Services Indefinite Delivery Contract Unit Price Bid FormSE-659 . Construction Services Indefinite Delivery Contract Representative Project Bid FormSE-660 . Request for Concurrence in Posting Notice of Intent to Award Indefinite Delivery ContractSE-670 . Notice of Intent to Award Indefinite Delivery C