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City of RochesterCity of Rochester22ndnd Street Upgrade Street Upgrade
04/19/2304/19/23
Dean Kashiwagi, PhD, PEDean Kashiwagi, PhD, PEJake SmithwickJake SmithwickArizona State UniversityArizona State University
2
This presentation is for This presentation is for educational purposes only.educational purposes only.
Please refer to the final RFQ Please refer to the final RFQ for specific instructionsfor specific instructions
RFQ Requirements
33
Summary of DB Process
44
RFQ Schedule
55
Planned Date Action
August 18, 2011 Issue RFQ
September 22 RFQ Educational Meeting
September 29, 2:00pm RFQ Questions due
October 11 SOQs Due
October 17 Notify short-listed Submitters
October 18 Issue RFP
November 3 RFP Educational Meeting
January 18 Interviews
February 2012 Pre-Award Period
March 2012 Notice to Proceed
Selection Criteria
66
Weight Criteria Rated? Attachment
RFQ Phase
20 Points Past Performance Information No Exhibit 1
50 Points Project Capability Plan Yes D
50 Points Risk Plan Yes C
Pass / Fail Resource Availability No
Pass / Fail Legal & Financial No Appendix B
RFP Phase
~100 Points Proposed Design Schematic Yes ?
~75 Points Interview Yes ?
~5 Points Schedule Yes ?
Three Phases
77
PHASE 1 PHASE 2 PHASE 3
CLARIFICATION
RFQRFP
Best Value System(alignment of expertise, minimization of effort)
88
CLARIFICATION
Vendor is an Expert
Vendor is NOT an Expert
Vendor is an Expert
Performance Information Procurement System
99
CLARIFICATION
Vendor is an Expert
Vendor is NOT an Expert
Vendor is an Expert
DominantSimpleDifferential
Clarification Both parties may walk
Risk ManagementQuality ControlQuality Assurance
Initial conditions
Final conditions
Event
Time
Laws Laws
(Control, impact, and influence)
Us
RisksRisks RisksRisks
Technical Scope Don’t
ControlTechnical
Scope
Don’t Control
Me vs. Them
Paradigm Shift: contractors should have minimal technical risk and minimize risk that they do not control
Industry Structure
High
I. Price Based
II. Value Based
IV. Unstable Market
III. Negotiated-Bid
Specifications, standards and qualification based
Management, direction, and control
Decision making
Technical expertise on client’s side
Best Value (Performance and price measurements)
Quality control and quality assurance
Perceived Competition
Pe
rfo
rman
ce
Low
High
Owner selects vendor
Negotiates with vendor
Vendor performs
Selection Process
13131313
Filter 1
PastPerformanc
eInformation
Filter 2 Filter 4
Prioritize (Identify
Best Value)
Filter 5
Pre-AwardPeriod
QU
ALI
TY O
F V
EN
DO
RS
Filter 3
Interview
Proposed Design
Value Added
Price AW
AR
D
High
Low
Blind Rating
Project Capability
Risk (no control)
PA DocsWRRRMP
Technical Documents
CriteriaPPI
InterviewTechnical
RiskValue Added (?)
FinancialsProposed Design
DominanceCheck
Ratings are dominant
Best value is within high
and low cost ranges
BV vendor has dominant information
Vendor is an Expert
Vendor is not an expertRFQ RFP
RFQ Criteria• Past Performance Information (PPI)
• Blind review– Project Capability Plan– Risk (vendor does not control)
• Resource Availability (Pass / Fail)
• Legal and Financial (Pass / Fail)
Project CapabilityOverview•Differentiate their capability to meet the technical requirements of this project
•Identify "vision” or “plan” for the alignment of expertise over the duration of the project
Evaluation•Support statements of performance with experience in design and construction of urban street and underground utility projects (metrics, numeric scores, deviation rates, etc.)
•Use either verifiable performance metrics or best value practices with performance measurements or references of best value practices
Risk Plan• List and prioritize major risk items on this project that the
submitter does not control
• Explain how proposer will mitigate, manage, and/or minimize the risk from occurring
– mitigation plan was used previously, and the impact on performance in terms of customer satisfaction and the number of times it was used
• Tracking all deviations on the project
• Method of minimizing contract transactions
• Performance measurements, past performance measurements, measurements that define performance
– Submitter has implemented the mitigation plan before– Submitter has been successful in mitigating time and cost deviation of their
past projects.– previous clients have been very satisfied with Submitter's results.– projects were similar to the current project being advertised.
Blind submittals are simple
• The what, but not the how
• Supported by verifiable performance information or best value practice with performance information (if no verifiable performance information, receive an average rating)
• Rating dominant performance, average, and dominantly poor
• No names
• 2 page limits
Blind submittal examples• Simple
– Example 1: The project manager being proposed on this project is very experienced in design-build, mechanical system type and innovative projects.
• The what, but not the how– Example 2: the mechanical subcontractor can install a system
that minimizes the installation time by 20% and the system minimizes the annual energy consumption by 15%
• Supported by performance information– Example 1: PM record over the past 5 years, 10 DB projects,
$250M average scope, customer satisfaction is 9.5/10.0, deviation rate is less than 1%
– Example 2: Last five projects, customer satisfaction is 9.5/10, deviation rate is less than 1%, 20% earlier finish, installed system have average energy consumption 15% under average consumption, references available on request.
1818
1919
2020
2121
2 pages 2 pages
max!max!
2 pages 2 pages
max!max!
11 page
max!
A note on formatting…• Project Capability and Risk Plan must NOT
contain names
• Page limits– Attachment C (Risk): Two (2)Two (2) pages max– Attachment D (Project Capability): Two (2)Two (2) pages
max– Attachment E (Resource Availability): One (1)One (1) pages
max
• Not allowed to re-create, re-format, or modify the template (cannot alter font size, font type, font color; add colors, pictures, diagrams, etc)
2424
PPI Submittal
VendorVendorVENDORVENDOR
Prepare and Send Survey Questionnaires to Past Clients Step 2
Step 3Collect/Receive Completed Surveys
Prepare Reference ListStep 1
Enter data into Reference ListStep 4
Package all material (Reference List and Surveys) and SubmitStep 5
Phase 1
2727
PPI Details
• PPI will be collected on all vendors and their critical team components.
• Critical Team “Components”:– Contractor / Design-Builder (firm)– Engineering Company (firm)– Project Manager (individual)– Project Engineer (individual)– Project Superintendent (individual)– Project Lead Design Engineer
(individual)
Phase 1
Step 1: Prepare Reference List
2828
Profile sheet
SURVEY CODE
FIRST NAME LAST NAME PHONE FAXCLIENT NAME
PROJECT NAMEDATE
COMPLETED COST OF PROJECT
PROJECT TYPE
Past Project Info sheet
Phase 1
Step 2: Prepare & Send Surveys
Past ProjectInfo
Profile
List Project
Manager &
Site
Superintenden
t on each
survey!
2929
Client
Phase 1
3030
Step 2 cont’d: Survey Form
NO CRITERIA UNIT RATING
1 Ability to manage the project cost (minimize change orders) (1-10)
2 Ability to maintain project schedule (complete on-time or early) (1-10)
3 Quality of workmanship (1-10)
4 Professionalism and ability to manage (1-10)
5 Close out process (1-10)
6 Communication, explanation of risk, and documentation (1-10)
7 Ability to follow the users rules, regulations, and requirements (1-10)
8 Overall customer satisfaction and comfort level hiring again (1-10)
Phase 1
3131
Step 2 cont’d: Add Your Fax #!Phase 1
3232
Step 2 cont’d: Surveys MUST Be SignedPhase 1
Step 3: Collect & Receive Surveys
3333
Fax, E
mail, M
ail
Client
Contractor
Phase 1
Step 4: Enter Data into Reference List
3434
Phase 1
Step 5: Scan Surveys & Burn CD
3535
Reference Lists Returned Surveys
scanned to PDF
CD-ROM
Exce
l (XL
S) fi
le
Phase 1
I already have PPI…
3636
?
Phase 1
Summary of PPI Requirements• Require number of surveys submitted:
– Firms: Five (5)– Individuals: Three (3)
• Projects must be 100% complete (final payment received)
• Project list must contain different projects
• The survey must be signed
• Turn in electronic copies of surveys (PDF) and Reference Lists (XLS)
• Projects do not need to be similar
3737
Phase 1
How The Submittal Process Works
383838
Submittal
Evaluation Members
Proposal Form(1 page)
Other Documentation
Proposal Form(1 page)
Risk Plan, ProjectCapability Plan
Average Score
ContractingOfficer
ContractingOfficer
Phase 1
2012 Best Value Annual ConferenceFeb 13-17, 2012 in Tempe, AZ
Train the trainer advanced curriculumCertification of trainersMeet most visionary clients and vendorsLessons Learned from all projects including services, IT, and constructionOrganization measurement and optimizationHow to implement changeHow to reduce size without increasing riskJob opportunities in Asia in best value environments
Early Registration before Dec 15, 2011:For more details visit us at www.pbsrg.com