**FACILITIES DIVISION**

**Standard Operating Procedures**

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| **DATE:** December 7, 2006                                            |
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| **SUBJECT:** CONTRACTING OFFICER AND ENGINEERING PROJECT              |
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| MANAGER RESPONSIBILITIES UNDER CONSTRUCTION AND                       |
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| ARCHITECT-ENGINEER CONTRACTS                                          |
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| **NUMBER:** FDSOP-07-001                                              |
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| **EFFECTIVE DATE**: Immediately Until Replaced or Superseded          |
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**1. [Purpose]{.underline}**

The intent of this Standard Operating Procedure is to identify the
various responsibilities of the Contracting Officer (CO) and the
Engineering Project Manager (EPM) and the assistance they should provide
each other during the course of construction and architect-engineer
(A-E) contracts.

**2. [References]{.underline}**

ARS Manual 242.4, Major Facilities Construction

**3. [Background]{.underline}**

The Agricultural Research Services (ARS) utilizes a team concept to
accomplish its design and construction contracts. Members of the team
include program management staff at the National Program Staff, Area and
location levels, as well as contracting and engineering staff in the
Facilities Division (FD). Together, this team strives for the
construction of the highest quality facilities that best meet the
Agency's needs within established scope and budget constraints. ARS
Manual 242.4, Major Facilities Construction, provides greater detail on
the roles and responsibilities of all the parties involved, as well as
the activities and phases involved, in the design and major construction
or modernization of ARS research laboratories.

The A-E and construction contracts awarded and administered by FD
require a great deal of team work between the CO and EPM to ensure a
successful conclusion. The CO is responsible for ensuring that the terms
and conditions of the contract are fulfilled and all applicable
procurement laws and regulations are observed. The EPM is responsible
for ensuring that the design meets the Agency's needs and that the
resultant facilities are constructed within the project's scope and
budget and in accordance with the specifications and drawings. Because
FD's projects originate from Congressional mandates and are highly
visible, it is paramount that the CO and EPM work together and fully
understand their responsibilities to facilitate successful completion of
each facility.

**4. [Procedures]{.underline}**

Enclosed is an outline of the activities involved in FD's contracts and
the associated responsibilities of the CO and EPM under construction and
A-E contracts.

**5. [Point of Contact]{.underline}**

For further information, please contact the Office of the Director, FD,
on 301-504-1151.

/s/ Patrick G. Barry

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

PATRICK G. BARRY

Director

Facilities Division

Enclosure

This page is intentionally blank.

Enclosure to FDSOP-07-

**[CO AND EPM RESPONSIBILITIES UNDER CONSTRUCTION AND A-E
CONTRACTS]{.underline}**

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

1\. Overall Project Responsible Responsible The primary project team
members consists of the

Management. Research Program Representative (RPR), CO, and EPM.

> There are three distinct areas of project management

[Program Management]{.underline} is to ensure all program

requirements are articulated and included in the

> project. [Contract Management]{.underline} (CM) is responsible for
>
> enforcing terms and conditions of the contract.
>
> [Engineering Project Management]{.underline} ensures all technical and
> program management issues are addressed and incorporated into the
> project. The EPM is the lead point of contact.

2\. Orientation. Responsible Responsible EPM and CO are responsible for
coordinating and

> conducting orientation sessions with the RPR, after consulting with
> the project team.

3\. Prepare Statement Responsible Assist EPM should coordinate this
action with the CO and RPR,

> of Work and schedule to ensure adequate lead time will be available to
> solicit bids

of submittals. and award a contract.

4\. Prepare independent Responsible Assist EPM should prepare a cost
estimate and SOW (see Step 3

Government estimate above). Coordinate with CO to ensure level of detail
is

of A-E fee, CM fee, adequate.

and construction cost

estimate, when appropriate.

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

5\. A-E Selection. Responsible Responsible EPM shall provide CO with
proposed technical evaluation

> factors, sub-factors, scoring method, and scoring sheets.
>
> EPM shall act as the A-E Evaluation Board chairperson and provide
> recommendations to the CO in writing, with all supporting
> documentation regarding A-E capability, based on project scope and
> rating criteria. The CO shall make a recommendation to the selection
> authority for final selection (usually the FCB Chief).

6\. Conduct Design pre-start Assist Responsible The CO and EPM
coordinate the preparation for this

> conference. conference. The CO, EPM, RPR, and A-E meet and
>
> review scope, role, and administrative details. The CO
>
> usually leads; technical info/direction provided by EPM.

7\. Perform a review of Responsible Responsible Both CO and EPM should
review plans and specs to

specifications and the extent required to fulfill their respective

drawings. responsibilities. CO to ensure no conflicts with contract,

FAR or other special clauses, or potentially restrictive

features are present. EPM to ensure no ambiguities and

> that quality control, closeout, and commissioning requirements are
> identified, as well as technical sufficiency (use Design Review and
> Architect-Engineer for detail review).

8\. Define any additive bid Responsible Assist Coordinate with project
team to ensure that the complexity

or optional line items and cost of alternates are compatible with base
bid. This

needed to keep project should occur at 50 percent submittal.

> within funding limits. (Reference PGM 03-001.)

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

9\. Design Review Board. Responsible Responsible The CO/EPM team will
jointly prepare a one or two page

project synopsis on all aspects of the project budget. In

addition, the team will present their report and obtain the

> Board's approval prior to implementing the next phase.

10\. Determine if liquidated Assist Responsible Coordinate with project
team to determine validity

damages (LD) are of damages and impact on bidding. (EPM to complete LD

required. estimate and determination worksheet.)

11\. Conduct Market Research. Assist Responsible Coordinate with EPM to
assess the availability and size

> status of potential sources. Determine the feasibility of setting the
> project aside for a particular socio-economic group or conducting a
> full and open competition.

12\. Furnish completed design Responsible N/A EPM to transmit to CO
using Construction Project

criteria, specs/drawings, Transmittal Form. If RFP, EPM shall provide CO
with

cost estimate, time schedule, proposed technical evaluation factors,
sub-factors, scoring

evaluation criteria to CO. method, and scoring sheets, etc.

13\. Develop advanced Assist Responsible Coordinate with project team to
provide for compatibility

procurement plan. with program/project requirements.

14\. Initiate appropriate Assist Responsible CO coordinates with EPM to
determine proper

pre-solicitation notice requirements, descriptions, and time schedules.
CO

(FedBizOps, solicit bids/ prepares FedBizOps notice and solicits
bids/proposals

proposals). in cooperation with the EPM.

15\. Conduct pre-bid/pre- Assist Responsible CO leads conference with
technical support from EPM. proposal conference. CO to develop agenda in
cooperation with EPM and ensure

the A-E prepares minutes and distributes to all attendees

and interested parties.

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

16\. Issue amendments to Assist Responsible EPM to furnish description
of change, schedule, and

solicitations to change the cost impacts. CO decides on need to issue
amendment

specs, performance times, and extend bid/proposal due date.

or bid/proposal due dates.

17\. Receive and open bids/ N/A Responsible CO responsible for
establishing time and place to receive

proposals. and open bids/proposals.

18\. On IFB - review bids. Assist Responsible Award is based on lowest
price and price-related factors.

CO to review bids and make determination of

responsiveness, responsibility, and whether price is fair

and reasonable.

19\. RFP - evaluate Responsible Responsible EPM responsible for
evaluating technical factors; CO for

proposals and prospective cost and price analysis. EPM/Chairperson
submits written

contractor's qualifications. evaluation report addressing strengths and
weaknesses of

> each offeror and makes recommendation on A-E short list
>
> and final selection for negotiation and award, as well as for
>
> construction contract award. CO should normally accept

EPM's recommendations in technical areas such as level

of effort, subcontracts, consultants, material quantities,

> rental items, etc., but CO makes independent
>
> recommendation to selection official for final
>
> determination.

20\. RFP - conduct discussion/ Responsible Responsible Overall
responsibility belongs to CO, but from a

negotiations with practical standpoint, EPM and CO will share
responsibility

> contractors. for their respective areas of expertise.

21\. Award contract. Assist Responsible CO to coordinate with EPM, but
CO makes final

decision after evaluating all alternatives and potential

program, legal, and contractual consequences.

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

22\. RFP - de-brief Assist Responsible CO should lead, but this should
be a team effort by

unsuccessful offerors. EPM and CO in all cases. Exceptions would include

rejection of offers based solely on contractual/legal issues.

23\. Conduct pre-construction/ Assist Responsible CO prepares agenda in
coordination with EPM and other

> post award conference. team members. The CO conducts this meeting with
> technical support provided by EPM. CO ensures A-E prepares minutes and
> distributes to all attendees and interested parties. (Reference FDSOP
> 05-001.)

24\. Contract monitoring. Responsible Responsible Overall legal
responsibility belongs to CO. EPM monitors

contractors effort to determine if progress is commensurate

with contract requirements. Advises CO of any unusual

problems affecting the progress or cost of the project. All

contractors and program personnel shall be advised of

EPM's authority and limitations.

25\. Negotiations. Responsible Responsible CO conducts negotiations. EPM
leads technical discussion.

26\. Formal contract change. Assist Responsible CO executes formal
document against contract reflecting

appropriate equitable adjustment. EPM should provide

adequate specification, Government cost estimate,

> time impact, and recommendation on contractor's proposal
>
> relative to level of effort, material types, and quantities.

27\. Issue stop-work (A-E)/ Assist Responsible CO has overall legal
responsibility.

suspension of work

(Construction).

28\. Issue show cause/cure Assist Responsible CO makes final decision
after close coordination

notices and terminate with Office of General Counsel and EPM.

contracts.

**[ACTION]{.underline} [Engineering]{.underline}
[Contracting]{.underline} [REMARKS]{.underline}**

29\. Final inspection. Responsible Responsible CO responsible for
timeliness in accordance with contract

period of performance. EPM should participate and

coordinate development of punch list with A-E and RPR.

> CO provides punch list to contractor with due date for
>
> completion.

30\. Acceptance/Closeout. Assist Responsible EPM coordinates
verification with A-E and RPR that all

work is complete and sends written recommendations to

CO that project be accepted. CO accepts and closes out

per FAR and FD policy.

31\. Warranty Phase. Assist Responsible CO informs RPR of warranty
contacts and obligations.

CO involvement only when RPR/location unable to get

appropriate response from contractor.

32\. Protests/Disputes. Assist Responsible EPM provides technical advice
and assistance to CO.

Only CO communicates with Protestor.

10/2006 Version