36.303-1 Phase One
Source: FAR 36.303-1 on acquisition.gov
Phase One of two-phase design-build selection focuses solely on technical qualifications and limits the number of offerors advancing, with strict documentation and approval requirements for exceptions.
Overview
FAR 36.303-1 outlines the requirements for Phase One of the two-phase design-build selection procedures. This phase focuses on evaluating offerors based on technical approach and qualifications, without considering cost or price factors. The solicitation must clearly state the scope of work, the evaluation factors for both phases, and the maximum number of offerors (typically not more than five) who will be invited to submit detailed proposals in Phase Two. If more than five offerors are to be selected, a documented and approved justification is required, especially for acquisitions over $5.5 million, where higher-level approval is mandated. After evaluation, only the most highly qualified offerors, up to the specified maximum, are invited to participate in Phase Two.
Key Rules
- Scope of Work and Evaluation Factors
- Solicitations must include the project scope, Phase One evaluation factors (technical approach, qualifications, past performance), and Phase Two evaluation factors.
- Exclusion of Cost/Price in Phase One
- Cost or price factors are not permitted in Phase One evaluations.
- Limitation on Number of Phase Two Offerors
- The maximum number of Phase Two offerors is five unless a higher number is justified and approved.
- Approval Requirements for Exceeding Five Offerors
- For acquisitions over $5.5 million, higher-level approval is required to exceed five offerors, and documentation must be maintained.
- Selection for Phase Two
- Only the most highly qualified offerors, up to the specified maximum, are invited to submit Phase Two proposals.
Responsibilities
- Contracting Officers: Must structure solicitations per these requirements, document and obtain approvals for exceptions, and ensure only qualified offerors advance.
- Contractors: Should focus on demonstrating technical qualifications and past performance in Phase One; cost proposals are not required at this stage.
- Agencies: Must provide oversight for approvals and maintain proper documentation, especially for exceptions to the five-offeror limit.
Practical Implications
This section ensures a fair, qualifications-based down-selection in design-build procurements, streamlining the process and reducing proposal costs for offerors. Contractors should be aware that only technical and qualification factors matter in Phase One, and exceeding the five-offeror limit requires significant justification and approval. Common pitfalls include failing to document approvals or including cost information in Phase One proposals.
(a) Phase One of the solicitation(s) shall include-
(1) The scope of work;
(2) The phase-one evaluation factors, including-
(i) Technical approach (but not detailed design or technical information);
(ii) Technical qualifications, such as-
(A) Specialized experience and technical competence;
(B) Capability to perform;
(C) Past performance of the offeror’s team (including the architect-engineer and construction members); and
(iii) Other appropriate factors (excluding cost or price related factors, which are not permitted in Phase One);
(3) Phase-two evaluation factors (see 36.303-2); and
(4) A statement of the maximum number of offerors that will be selected to submit phase-two proposals. The maximum number specified in the solicitation shall not exceed five unless the contracting officer determines, for that particular solicitation, that a number greater than five is in the Government's interest and is consistent with the purposes and objectives of the two-phase design-build selection procedures. The contracting officer shall document this determination in the contract file. For acquisitions greater than $5.5 million, the determination shall be approved by the head of the contracting activity, delegable to a level no lower than the senior contracting official within the contracting activity. In civilian agencies, for paragraph (a)(4) of this section, the senior contracting official is the advocate for competition for the procuring activity, unless the agency designates a different position in agency procedures. The approval shall be documented in the contract file.
(b) After evaluating phase-one proposals, the contracting officer shall select the most highly qualified offerors (not to exceed the maximum number specified in the solicitation in accordance with 36.303-1(a)(4)) and request that only those offerors submit phase-two proposals.