Design

Sample State Request For Proposals (RFP)

Subsurface Utility Engineering Services
Proposal Certification Form

Note: please ensure that all required signature blocks are completed. Failure to sign this form will render your proposal invalid.

In compliance with this Request for Proposals and to all conditions imposed herein, the undersigned offers and agrees to furnish the services in accordance with the attached signed proposal or as mutually agreed upon by subsequent negotiation. By signature hereto, the proponent certifies that all representations and certifications contained in its proposal are complete and accurate as required.

STATE OF _____
DEPARTMENT OF TRANSPORTATION
OFFICE OF UTILITIES
PROJECT NUMBER: _____
REQUEST FOR PROPOSALS
SUBSURFACE UTILITY ENGINEERING SERVICES

Table Of Contents

1. Section 1: General Information
   1. Subsurface Utility Engineering
   2. Reasons for Subsurface Utility Engineering
   3. Department of Transportation's History with S.U.E.
   4. Executive Summary
2. Section 2: Scope Of Services
   1. Designating
   2. Locating
   3. Data Management
   4. Design Analysis and Recommendations
   5. Relocation Design
   6. Training
   7. Time to Complete Work
3. Section 3: Proposal Format And Contents
   1. Letter of Transmittal
   2. Qualifications and Experience of Firm, Including Subconsultants
   3. Qualifications and Experience of Project Team, Including Subconsultants
   4. Understanding of Project Scope
   5. Equipment
   6. Quality Control Plan
   7. DBE/WBE Plan
4. Section 4: Criteria For Evaluation Of Proposals
   1. Evaluation of the Firm, Team, Scope, Equipment, and Quality Control
   2. DBE/WBE Plan
5. Section 5: Administrative Specifications
   1. Prequalification
   2. Requirements
   3. Employment of Department Personnel
   4. Compensation of Department Personnel
   5. DBE/WBE Goal
   6. Subcontracting
   7. Insurance Requirements
   8. English / Metric Measurement
6. Section 6: Attachments
   1. Publication FHWA-PD-96-004, Subsurface Utility Engineering, November 1995 and February 1999 Update
   2. State Manual on Traffic Control Procedures for Utilities

Section 1: General Information

1.1 Subsurface Utility Engineering

Subsurface Utility Engineering (S.U.E.) is the engineering processes that accurately and comprehensively identify, characterize, and map underground utility facilities. It includes the three major activities of designating, locating, and data management. These activities, when combined with traditional record research, coordination with utility owners, and site surveys, provide high quality utility information for use during project development and design.

1.2 Reasons for Subsurface Utility Engineering

Accurate utility data can prevent construction delays, claims, and accidents. Early accurate utility data can also be used as a design tool to avoid major utility conflicts. Over 20 states have implemented some form of a S.U.E. program with documented savings of $7 for every $1 dollar spent on S.U.E. This is also an opportunity to use additional Federal funding from TEA-21 and accelerate the preconstruction process by providing early accurate utility information to the designer. This program is supported at the national level by FHWA in an effort to reduce unexpected utility conflicts on construction, reduce unnecessary utility relocations, and enhance safety.

1.3 Department of Transportation's History with S.U.E.

The Utilities Office has been aware of and interested in S.U.E. for many years. A 1997 recommendation from a FHWA Process Review on Utility Relocations started the formal discussions leading to the new S.U.E program. The Utilities Office hired a State Subsurface Utility Engineer in the fall of 1998 and began putting the S.U.E. program together in 1999.

1.4 Executive Summary

The ________ Department of Transportation is seeking to retain two (2) Consultants to provide Subsurface Utility Engineering Services on a statewide basis. It is anticipated that each contract will have a maximum value of $1.5 million with a maximum contract life of two (2) years. Funding will be provided on a Project by Project basis.

The Project is to establish the location of existing underground utilities within the proposed project limits of various Department construction projects and to determine how they will be impacted by the proposed project. The projects will be predominately in the preconstruction / design phase. There will be some projects in the construction phase. This includes all necessary research, field investigations, test holes, plotting, design analysis, and recommendations relative to impacts on existing or proposed utility systems by highway and/or bridge construction. The Project will also include utility relocations (water and sanitary sewer) and cost estimating.

The selected Consultants shall be capable of providing the following specific services:

• Designating - Determine the existing and horizontal location of underground utilities using electromagnetic, magnetic, sonic, or other.
• Locating - Excavating test holes using vacuum excavation or comparable nondestructive equipment at critical points along a subsurface utility's path, exposing the utility and thereby allowing precise measurements of vertical and horizontal position.
• Data Management - Assembling and presenting designating and locating information in a format compatible with the Department's Computer Aided Drafting and Design (CADD) systems for use by the Department's staff or the Department's designated consultant. The Department's current CADD systems are Microstation and CaiCE.
• Design Analysis and Recommendations - After performing the necessary designating, locating, and data management, determine the extent the proposed roadway improvements impact the existing utilities and prepare a report outlining avoidance alternates, required adjustments / relocations and cost estimates to perform those relocations.
• Relocation Design - Assembling and presenting water and sanitary sewer relocation design information in a format compatible with the Department's Computer Aided Drafting and Design (CADD) systems for use by the Department's staff or the Department's designated Consultant.
• Training - Lead formalized training of Department personnel on S.U.E. invoices, S.U.E. data management, best uses of S.U.E. practices, etc...

The Consultants will be required to provide staff and equipment for simultaneous project assignments in different geographical areas of the state.

Section 2: Scope Of Services

It is the intent of this Request for Proposals that the Consultants selected as a result of this solicitation employ qualified, competent, and experienced personnel to provide the services set forth herein. Such services shall be commensurate with both the prevalent methodologies used by Consultants practicing within subject area of work and with the magnitude and intricacy of the work under consideration. The Consultant will primarily provide quality level A & B information as described in FHWA Subsurface Utility Engineering publications. See attachments. There may be occasions, very early in the design process, were quality level C & D information is required. These services will be accomplished fully by the Consultant so that it will be unnecessary for the Department to supplement any of them with its own personnel, except as noted hereinafter. The Department may, however, review the work from time to time to verify accuracy and evaluate the performance of the firm. The following items are not intended to be comprehensive or exclusive; they are merely set forth as a general outline of the work that is expected.

2.1 Designating

For the purpose of this proposal, "designate" means to indicate the presence and horizontal location of underground utilities using geophysical prospecting techniques, including electromagnetic, magnetic, sonic, or other energy fields. This work is considered quality level B.

The Consultant shall -

1. Obtain all necessary permits from city, county, municipality, railroad or other entity to allow the Consultant to work on existing streets, roads, and private property for the purpose of marking, measuring, and recording the location of existing underground utilities.
2. Coordinate with utility companies and the appropriate governmental jurisdictions in researching the location(s) of existing utilities. Secure all "as built" plans, plats, and other necessary data as supplied by the utility companies. While obtaining the information from the utility companies or governmental jurisdictions, ascertain the age, the size, the material type, the general condition, etc... of the utility and the approximate cost to relocate.
3. Designate, record, and mark the horizontal location of existing underground utilities and their major laterals to existing buildings. No storm sewers are to be designated unless required on an exception basis. Utility designations shall be returned to the Department in a digital format compatible with the Department's CADD systems (Microstation and CAiCE). All survey work will be the responsibility of the Consultant. Horizontal surveying of underground utilities shall be accurate to applicable survey standards.
4. Determine and inform the Department of the approximate depth of all existing utilities as determined by subsurface utility designating techniques when readings appear valid. This depth indication is understood by both the Consultant and the Department to be approximate only and is not intended to be used in the final design.
5. Record and mark the horizontal location of existing poles for overhead utility facilities. The Consultant does not have to determine the overhead utility owners, simply the horizontal position of the poles. In addition, the Consultant shall note the location of existing overhead crossings of the existing roadway.
6. Provide all maintenance and control of traffic to perform the work. The Department will strictly enforce Maintenance of Traffic policies and procedures. All maintenance and control of traffic shall be performed in accordance with the current State Manual on Traffic Control Procedures for Utilities.
7. Obtain a permit from the District Utility Engineer (D.U.E.) for the purposes of traffic control and possible lane closures prior to initiating any field surveys or test holes.

   If the site conditions are not addressed in the State Manual on Traffic Control Procedures for Utilities, the Consultant shall submit a written traffic plan to the D.U.E. for approval. The Consultant shall be responsible for providing all materials, equipment and personnel necessary for the maintenance of traffic. This includes, but is not limited to; temporary traffic control signs, channelizing devices, arrow panels, traffic barriers (i.e. temporary concrete barriers if required), impact attenuators, flaggers, temporary pavement markings, etc... and all other equipment / labor necessary to effectively implement the approved maintenance of traffic plan.

   Due to the amount of traffic on certain highways, the Consultant shall not work between the hours of 6:00 a.m. and 9:00 a.m. and from 4:00 p.m. to 7:00 p.m. without the written permission of the D.U.E. In addition, the Consultant shall not work on weekends, national holidays, state holidays, or the days proceeding said holidays without the written permission of the D.U.E.

8. Provide all necessary equipment and support personnel, including surveying capability, to secure the data outlined in this section.
9. All completed designating services shall be certified by an official of the Consultant firm on the plans or as directed by the Department. The Consultant shall be responsible for the accuracy of all information presented to the Department.

The Department will -

1. Provide a Survey Control Pack for the purposes of tying the horizontal position of the designated utilities to the State Plane Coordinate System and the project limits, including side roads. If available, the Department will also furnish highway plans showing topography, horizontal alignments, etc... in an electronic or paper form.
2. Provide a preliminary list of utilities within the project limits.
3. Provide a Letter of Introduction to assist the Consultant in establishing the need for their presence in a particular area.

2.2 Locating

Upon completion by the Department of preliminary storm drain and structure design, the Consultant will be required to locate utilities that have a high potential for conflicts with the proposed improvements. For the purpose of this proposal, "locate" means to obtain precise horizontal and vertical position of the utility line by excavating a test hole. The test holes shall be done using vacuum excavation or comparable nondestructive equipment in a manner as to cause no damage to the utility line. After excavating a test hole, the Consultant shall perform a field survey to determine the exact location and position of the utility line. This work is considered quality level A.

The Consultant shall -

1. Pick up and review plans furnished by the Department showing areas requiring location (test hole) sites within the project limits. Recommend changes to the Department's location plan based upon S.U.E. best practices. Obtain utility company records as required.
2. Obtain all necessary permits from city, county, municipality, railroad or other entity to allow the Consultant to work on existing streets, roads, and private property for the purpose of marking, measuring, and recording the location of existing underground utilities.
3. Comply with any and all Utilities Protection Center (UPC) and State Law requirements for notification prior to excavation.
4. Coordinate with utility company inspectors as required.
5. Neatly cut and remove existing paving with the cut area not to exceed 225 square inches (0.14 square meters). Excavate using a method enabling vertical and horizontal exploration through this cut.
6. Excavate test holes in such a manner as to prevent any damage to wrappings, coatings, or other protective coverings, such as vacuum excavation, hand digging, etc...
7. Be responsible for any damage to the utility during excavation.
8. Backfill with approved material around utility structure.
9. Furnish, install, and color code a permanent above ground marker (i.e. P.K. nail, peg, steel pin, or hub) directly above the centerline of the structure and record the elevation of the marker.
10. Provide a permanent restoration of the pavement within the limits of the original cut at the time of backfill. If the test hole is excavated in an area other than the roadway pavement, the area disturbed shall be restored to equal or better than the condition before excavation.
11. Provide all maintenance and control of traffic to perform the work. The Department will strictly enforce Maintenance of Traffic policies and procedures. All maintenance and control of traffic will be performed in accordance with the current State Manual on Traffic Control Procedures for Utilities.
12. Obtain a permit from the District Utility Engineer (D.U.E.) for the purposes of traffic control and possible lane closures prior to initiating any field surveys or test holes.

    If the site conditions are not addressed in the State Manual on Traffic Control Procedures for Utilities, the Consultant shall submit a written traffic plan to the D.U.E. for approval. The Consultant shall be responsible for providing all materials, equipment and personnel necessary for the maintenance of traffic. This includes, but is not limited to; temporary traffic control signs, channelizing devices, arrow panels, traffic barriers (i.e. temporary concrete barriers if required), impact attenuators, flaggers, temporary pavement markings, etc... and all other equipment / labor necessary to effectively implement the approved maintenance of traffic plan.

    Due to the amount of traffic on certain highways, the Consultant shall not work between the hours of 6:00 a.m. and 9:00 a.m. and from 4:00 p.m. to 7:00 p.m. without the written permission of the D.U.E. In addition, the Consultant shall not work on weekends, national holidays, state holidays, or the days proceeding said holidays without the written permission of the D.U.E.

13. Provide complete cleanup of work site to equal or better than its pre-excavation.
14. Tie all vertical elevations to a minimum of two checked benchmarks or available datum. The accuracy of these turns shall be in accordance with established surveying practices. Utility locations shall be returned to the Department in a digital format compatible with the Department's CADD systems (Microstation and CaiCE).
15. Provide the following test hole information on a certification form to the Department:
    • Elevation of top and/or bottom of utility tied to datum of the furnished plan.
    • Elevation of existing grade over utility test hole.
    • Horizontal location referenced to project coordinate datum. The Consultant shall perform all required survey work.
    • Outside diameter of pipe or width of duct banks and configuration of non-encased multiconduit systems.
    • Utility structure material compositions and condition.
    • Identification of benchmarks used to determine elevations.
    • Elevations shall have an accuracy of +/- 0.05 ft (0.015 meters)
16. Close out permits as required.
17. Maintain the quality of the permanent pavement restoration for 1 year.
18. All completed locating services shall be certified by an official of the Consultant firm on the plans or as directed by the Department. The Consultant shall be responsible for the accuracy of all information presented to the Department.

The Department will -

1. Provide a Survey Control Pack for the purposes of tying the horizontal and vertical position of the located utilities to the State Plane Coordinate System and the project limits, including side roads.
2. Furnish preliminary highway plans showing topography, horizontal alignments, vertical alignments, proposed edge of pavements, construction limits, drainage, existing utilities, etc... in an electronic or paper form. The plans will also show areas requiring location (test hole) sites.
3. Provide a Letter of Introduction to assist the Consultant in establishing the need for their presence in a particular area.

2.3 Data Management

Data management involves assembling and presenting designating and locating information in a format compatible with the Department's CADD systems (Microstation and CAiCE) for use by the Department's staff or the Department's designated Consultant.

2.4 Design Analysis and Recommendations

When the Consultant has performed all necessary designating, locating, and data management services, the Consultant shall determine to what extent the proposed roadway improvements will impact the existing utilities. The Consultant shall prepare a report outlining avoidance alternates, required adjustments / relocations, and cost estimates to perform those relocations. In some instances, the Consultant may be required to prepare utility relocation design plans for inclusion in the Department's construction plans.

2.5 Relocation Design

When requested, the Consultant shall prepare utility relocation design plans for inclusion in the Department's construction plans. The Consultant shall design the required utility relocations / adjustments for water and/or sanitary sewer within the designated project limits. This work shall be coordinated with the roadway design, utility owners, and other consultants / owners who are designing the relocations / adjustments for other utilities. Design deliverables will typically be:

• Mylar Plans
• CADD files with existing, proposed, and temporary utilities
• Summary of Quantity sheets showing water and sewer quantities
• Special Provisions and construction details
• Utility relocation cost estimates

2.6 Training

The Consultant shall participate in and conduct portions of training sessions for Department utility personnel. The sessions will be at a location provided by the Department. The topics of the training session will typically be:

• S.U.E. invoicing and billing
• S.U.E. data management
• S.U.E. best uses and practices
• S.U.E. equipment demonstrations

When requested, the Consultant shall conduct training on water and sanitary sewer construction inspection for Department construction personnel.

2.7 Time to Complete Work

The Consultant shall complete and deliver designating services within 60 calendar days after the notice to proceed on each project is given.

The Consultant shall complete and deliver locating services within 45 calendar days after the notice to proceed on each project is given.

The Consultant shall complete and deliver design services within a mutually agreed upon time after the notice to proceed on each project is given.

Section 3: Proposal Format And Contents

To be considered, Consultants shall submit a complete response to this Request for Proposal (RFP) using the format outlined below. Proposals by a joint team or a prime / subconsultant team shall list the full names and addresses of all team members and the proposed relationship / role of each. Proposals shall not exceed 50 pages and shall not include company brochures.

3.1 Letter of Transmittal

The prospective Consultant's proposal shall include a brief letter of transmittal signed by an individual or individuals authorized to bind the prospective Consultant contractually. The transmittal letter shall also include an executed Proposal Certification Form and a copy of the approved Prequalification Classification. The proposal Certification Form is located at the start of this RFP. See the Administrative Specifications section for information on prequalification.

3.2 Qualifications and Experience of Firm, Including Subconsultants

The Consultant shall provide information on their business, applicable certificates of recognition, and other pertinent information that demonstrates their qualifications to perform the contract. Information on education, training, certification, awards, etc... for individual employees of the Consultant or subconsultant may be supplied. The firm should have three years subsurface utility engineering on highway projects (four or five years preferred). The firm should have three years water / sanitary sewer design on highway projects (four or five years preferred). S.U.E. style contracts currently underway by the firm and water / sanitary sewer design contracts currently underway shall be submitted with a client contact that is familiar with the Consultant's work. S.U.E. style contracts and water / sanitary sewer design contracts completed by the firm in last five years shall be submitted with a client contact that is familiar with the Consultant's work.

3.3 Qualifications and Experience of Project Team, Including Subconsultants

The Consultant shall designate a project team comprised of experienced professional and technical staff to competently and efficiently perform the work with either their own personnel, subconsultants, or commitment to hire additional staff. The proposal shall identify the project team composition, project leadership (i.e. principle, project manager), reporting responsibilities, and address how subconsultants will fit into the management structure. As a minimum, the principle in charge, project manager, designating team leader, locating team leader, surveying team leader, and utility relocation design team leader shall be designated. Other key personnel may also be designated. The project manager must have adequate experience in managing S.U.E. projects of similar nature and scope. Resumes of the key team members, limited to two pages per person, shall be included in the proposal. The resumes should indicate employer names for experience gained under another employer. The team members should have three years experience in their fields of expertise (four or five years preferred).

3.4 Understanding of Project Scope

The Consultant shall demonstrate an understanding of the generalized scope of services for the work. The Consultant shall set forth how they propose to accomplish this work. The Consultant shall address the methodology, techniques, processes, and types of equipment they propose to use. The Consultant must describe the firms proposed solutions to designating, locating, data management, design analysis and recommendations, utility relocation design, and training. The Consultant must describe the firms proposed solutions for simultaneous project assignments in different geographical areas of the state. The Consultant must describe the firms proposed solutions for delivering designating, locating, and design services within the proposed time to complete the work.

3.5 Equipment

The Consultant shall provide a listing of all equipment available for use to support the work on this project including designating, locating, surveying, and computer (hardware and software) equipment.

3.6 Quality Control

The Consultant shall provide a Quality Control Plan (QCP) with their proposal. The QCP should address all requirements of the team members in order to ensure quality deliverables for the Department. The QCP should address who is responsible for the deliverables, who is responsible for reviewing the deliverables, and include an organizational chart showing the Quality control responsibilities of each manager.

3.7 DBE/WBE Plan

The Consultant shall propose a plan that meets or exceeds the DBE/WBE goal for this project. The plan shall propose a firm(s) from the State Department of Transportation list of certified DBE/WBE firms. The plan shall address what work the DBE/WBE subconsultant(s) will be performing and how the DBE/WBE subconsultant(s) will fit into the structure of the team.

Section 4: Criteria For Evaluation Of Proposals

Proposals will be evaluated and ranked according to the outline below. The Consultants with the highest ranking will be selected for an interview. The Consultants will be given the interview requirements a minimum of one week prior to the interview.

4.1 Evaluation of the Firm, Team, Scope, Equipment, and Quality Control

Each proposal will be evaluated in the following areas:

• Qualifications and Experience of the Firm
• Qualifications and Experience of the Team
• Understanding of Project Scope
• Equipment
• Quality Control Plan

The evaluation will be based on 0 to 5 scale.

4.2 DBE/WBE Plan

The DBE/WBE plan will not be evaluated for ranking of the Consultants firms. However, if a Consultant does not propose any plan or does not propose a plan that reasonably achieves the DBE/WBE goal, the Consultant proposal will be removed from consideration and declared non-responsive.

Section 5: Administrative Specifications

5.1 Prequalification

The State Department of Transportation firmly believes that S.U.E. services are professional services. As such, any Consultant wishing to submit a proposal on this project shall be qualified in classification 5.08 Subsurface Utility Engineering at the time of their submittal. Failure of a Consultant to become prequalified in classification 5.08 will result in the Consultant's proposal being removed from consideration and declared non-responsive.

Consultants may receive a Consultant Qualification package by calling the Prequalification Office at 404-666-5555. Consultants are cautioned that consultant qualifications normal take a minimum of four weeks for review and processing.

5.2 State Office Requirements

The State Department of Transportation believes that Consultants are more responsive to the Department's needs if the Consultant maintains an active in state office. The Department also recognizes that the S.U.E. program is new and will attract out of state Consultants. If an out of state Consultant is selected as one of the S.U.E. providers, that Consultant shall establish an active office in the State within 60 days of the execution of the contract.

5.3 Employment of Department Personnel

The Consultant shall not employ any person or persons whose services with the Department have been terminated for whatever reason except retirement within the last two (2) years preceding the date of the contract or during the life of the contract, without the written permission of the Department. This stipulation shall also apply to any subconsultant employed by the Consultant.

5.4 Compensation of Department Personnel

The Consultant shall not compensate Department personnel in any form. Department policy expressly forbids Department employees from receiving or soliciting any gifts, gratuity, favor, entertainment, loan, or anything whatever from a person who:

• Has or is seeking to obtain contractual business or financial relations with the Department
• Is regulated by the Department

5.5 DBE/WBE Goal

The Consultant shall subcontract at least ten percent (10%) of the total dollar value of the contract to a Disadvantaged Business Enterprise (DBE). The DBE subconsultant shall be certified by the State Department of Transportation. A list of State Department of Transportation certified DBE / WBE firms may be obtained from the Contracts Office at 444-666-1111 or the Equal Opportunity Office at 444-666-2222.

5.6 Subcontracting

The Consultant shall not assign, sublet, or transfer any or all of the interest in the work without prior written approval of the Department. The prime Consultant shall do a minimum of thirty percent (30%) of the work.

5.7 Insurance Requirements

Prior to beginning work, the Consultant shall obtain and furnish certificates to the Department for the following amounts of insurance:

• Workmen's Compensation: Insurance in accordance with the laws of the State shall be maintained in full force and effect during the life of the contract.
• Public Liability: Insurance in an amount of not less than one hundred thousand dollars ($100,000) for injuries, including those resulting in death to any one person, and in an amount of not less than three hundred thousand dollars ($300,000) on an account of any one occurrence. Insurance shall be maintained in full force and effect during the life of the contract.
• Property Damage: Insurance in an amount of not less than fifty thousand dollars ($50,000) from damages on account of any occurrence, with the aggregate limit of one hundred thousand dollars ($100,000). Insurance shall be maintained in full force and effect during the life of the contract.
• Valuable Papers: Insurance in an amount sufficient to assure the restoration of any plans, drawings, field notes, or other similar data relating to work covered by the project. Insurance shall be maintained in full force and effect during the life of the contract.
• Professional Liability (Errors and Omissions): Insurance in the amount of not less than one million dollars ($1,000,000) per claim, with a maximum deductible of $250,000 per claim, during the contract and for a period of at least five years after the contract is closed. Such policy shall cover the entire Consultant's professional liabilities, whether occasioned by the Consultant, his employee, subconsultants, or other agents, arising out of services performed under or in accordance with the contract.

5.8 English / Metric Measurements

The Department's current measurement system is English (US System). However, the Department has many projects that have been surveyed and are being designed in the metric system (International System of Units - SI). The Consultant shall have the ability to designate, locate, and design in either system. The Department will inform the Consultant of the measurement system on a project by project basis.

Section 6: Attachments

• Publication FHWA-PD-96-004, "Subsurface Utility Engineering." November 1995 and February 1999 Update
• State Manual on Traffic Control Procedures for Utilities

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