2023-03-11_RFQ_HSR23-42_Independent_Safety_Assessor_Services.pdf

Request for Qualifications for Independent Safety Assessor Services

RFQ No.: HSR23-42

March 11, 2024

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California High-Speed Rail Authority RFQ No.: HSR23-42

Page i of iiiRequest for Qualifications for Independent Safety Assessor Services

Table of Contents

INTRODUCTION

1. BACKGROUND

2. PURPOSE AND OVERVIEW OF RFQ

2.1 Background for the RFQ

2.1.1 Reference Materials

2.1 Definitions

2.2 Acronyms

INSTRUCTIONS TO OFFERORS

3. PROCUREMENT SCHEDULE AND PROCESS

3.1 Authority’s Designated Point of Contact

3.2 Addenda to RFQ

3.3 Non-Commitment of Authority

3.4 Property Rights

3.5 Non-Exclusiveness of Subconsultants

3.6 Improper Communications and Contacts

3.7 Organizational Conflicts of Interest

3.7.1 Organizational Conflicts of Interest for Future Contracts

3.8 Confidentiality

3.9 Executive Order N-6-22 – Russia Sanctions

3.10 The California Environmental Quality Act

4. SUBMITTAL OF THE STATEMENT OF QUALIFICATIONS

4.1 Statement of Qualifications Submittal Information

4.2 Late Submittals

4.3 Modification or Withdrawal of SOQs

STATEMENT OF QUALIFICATIONS

5. STATEMENT OF QUALIFICATIONS REQUIREMENTS

5.1 General Requirements

5.2 Transmittal Letter

5.2.1 Minimum Qualifications

5.3 Contents of the SOQ

5.3.1 Executive Summary

5.3.2 Past Performance and Experience

5.3.3 Organization and Key Personnel

5.3.4 Understanding of Project Elements and Requirements

5.3.5 Small Business Participation

6. EVALUATION AND NEGOTIATION

6.1 Statement of Qualifications Review

6.2 Statement of Qualifications

6.3 Offeror Minimum Qualifications

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Page ii of iii

Request for Qualifications for Independent Safety Assessor Services

6.4 Discussions Evaluation

6.5 Final Scoring

6.6 Notice of Proposed Award

6.7 Agreement Negotiation Process

6.8 Debriefings

6.9 Confidentiality

7. PROTEST PROCEDURES

7.1 Applicability

7.2 Required Early Communication for Certain Protests

7.3 Deadlines for Protests

7.4 Content of Protest

7.5 Filing of Protest

7.6 Comments from Other Offerors

7.7 Authority Response to a Protest

7.8 Burden of Proof

7.9 Decision on Protest

7.10 Limitation on the Authority’s Liability

List of Tables

Table 1: Key RFQ Dates

Table 2: Firms Subject to Offeror Ex Parte Communications Prohibitions During this

Procurement

List of Figures

Figure 1: Merced to Bakersfield Map

List of Attachments

Attachment A: Minimum Qualifications Checklist

Attachment B: Criteria for Awarding Points for the Statement of Qualifications

Attachment C: Criteria for Evaluation of Discussions and Final Score Worksheet

Attachment D: Sample Agreement, including Exhibit A (Scope of Work) through Exhibit F

Attachment E: Cost Proposal/Rate Sheet Form and Schedule of Other Direct Cost Items

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Page iii of iiiRequest for Qualifications for Independent Safety Assessor Services

List of Forms and Certifications

Forms

Form A: Schedule of Subconsultant(s)

Form B: Organizational Conflicts of Interest Disclosure Statement

Form C: Disabled Veteran Business Enterprise Declaration

Certifications

Cert. 1: CCC-04/2017 and STD 204

Cert. 2: Offeror’s Overall Project Small Business Goal Commitment Certification

Cert. 3: Iran Contracting Certification

Cert. 4: Darfur Contracting Act Certification

Cert. 5: Major Participant Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification

Cert. 6: Subconsultant Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification

Cert. 7: Non-Collusion Certification

Cert. 8: Equal Employment Opportunity Certification

Cert. 9: Non-Discrimination Certification

Cert. 10: Certification Regarding Lobbying

Cert. 11: California Civil Rights Laws Certification

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INTRODUCTION

1. Background

The California High-Speed Rail Authority (Authority) is responsible for planning, designing, building, and operating the first high-speed rail system in the nation.

California high-speed rail will connect the mega-regions of the state, contribute to economic development and a cleaner environment, create jobs, and preserve agricultural and protected lands.

The Authority may enter into contracts with private and public entities for the design, construction, and operation of high-speed rail trains including all tasks and segments thereof pursuant to California Public Utilities Code section 185036.

Additional authority for a State of California agency to enter into this Agreement includes, but is not limited to, Government Code sections 4525, et seq.

Capitalized terms within this document are defined in Section 2.2.

The Authority intends to finance the Project with State of California and federal funds, including, but not limited to, funds provided by the Federal Railroad

Administration (FRA) and funds made available through the American Recovery and Reinvestment Act of 2009 (ARRA) and require that certain federal requirements apply to the Agreement for the Work. The Authority will act as the

FRA-designated recipient for federal transportation funds.

Any services or Work performed must be consistent and/or compliant with the conditions set forth within the following:

• California State Budget Act 2012-13, SB1029 (Chapter 152, Statutes of

2012)

• California High-Speed Rail Program 2022 Business Plan.

• California High-Speed Rail Program 2023 Project Update Report.

• U.S. Department of Transportation FRA Grant/Cooperative Agreements

FR-HSR-0009-10-01-07 including subsequent amendments and FR-HSR

0118-12 including subsequent amendments.

2. Purpose and Overview of RFQ

The following list provides a general overview of information related to the subject of F-this Request for Qualifications (RFQ).

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/1 1/ http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-1050/sb_1029_bill_20120718_chaptered.pdf https://hsr.ca.gov/wp-content/uploads/2022/05/2022-Business-Plan-FINAL-A11Y.pdf https://hsr.ca.gov/wp-content/uploads/2023/03/2023-Project-Update-Report-FINAL-022823.pdf http://www.hsr.ca.gov/about/capital-costs-funding/funding-agreements

1. The Authority is issuing this RFQ to receive Statements of

Qualifications (SOQs) from qualified firms (Offerors) for Independent

Safety Assessor (ISA or Independent Safety Assessor) Services. The purpose of this RFQ is to award an agreement (Agreement) to one successful Offeror (Consultant) to provide independent safety analysis of railway systems that verifies, through an independent certification process, that the System that is delivered into revenue services is safe and reliable for passengers, employees and the general public.

2. This procurement consists of evaluating SOQs and Discussions in response to this RFQ with the intent to award an Agreement to a successful, responsive, qualified Offeror whose qualifications conform to the requirements of this RFQ and is considered the most qualified by the Authority. The Offeror the Authority considers most qualified shall be the Offeror ranked “1” (top-ranked Offeror) pursuant to such evaluation (see Section 6 of this RFQ).

3. The selected Offeror may be working with the Federal Railroad

Administration (FRA), Surface Transportation Board, California Public

Works Board, California Department of Transportation (Caltrans), California Department of General Services (DGS), other partnering agencies, and Authority contractor(s)/consultant(s).

4. The term of the Agreement resulting from this RFQ will be 6 years and

5 months. No Work may begin prior to the receipt of a Notice to

Proceed (NTP) and Work Plan/Task Order.

5. The not-to-exceed dollar value for the Agreement is $9.4 million dollars. Executing an Agreement is not a guarantee of Work; the actual amount of Work requested by the Authority under the Agreement resulting from this RFQ may be less. As the Authority’s program evolves, and at its sole discretion, the Authority may add additional geographic locations to the Scope of Work as necessary. This includes, but is not limited to, extending the Work from the 119-mile

First Construction Section to include the entire 171-mile First

Construction Section.

6. Any services to be provided by the successful Offeror shall only be performed pursuant to a task order and/or Work Plan that provides a detailed description of the services to be performed, the time for the

Work to be performed, and the not-to-exceed amount to be charged, and estimated costs.

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7. The services described herein are not exclusive, and the Authority reserves the right to enter into other agreements covering the same or similar services, or to perform the same or similar services itself or through its agents.

8. The Authority requires its professional consultants to provide services that meet or exceed the applicable professional standard(s) of care and produce deliverables of the highest quality within a constrained schedule to meet program commitments. It is acknowledged by the

Offeror that time is of the essence in the performance of each assigned task. The services, and any defined deliverables, shall be completed and delivered to the Authority, or its agent, in a prompt and timely manner so as to permit the effective review and deployment of the deliverable by the Authority during and throughout the performance of any Agreement resulting from this procurement.

9. This RFQ is governed by Government Code section 4525 et seq., and shall follow the process in California Code of Regulations, title 21, section 10000 et seq., and the Authority Board’s RFQ policy. The evaluation/selection will be based on the factors/criteria contained in this RFQ including Attachments A through C.

10. This RFQ incorporates by reference the Authority’s HSR SB Program

Plan, dated November 2, 2023, which establishes a 25 percent Small

Business (SB) goal, inclusive of a 3 percent goal for Microbusinesses

(MB); a separate 10 percent Disadvantaged Business Enterprise

(DBE) goal; and a separate 3 percent Disabled Veteran Business

Enterprises (DVBE) goal for contracts that receive state and federal blended funds. Further details about the Authority’s goals and its HSR

SB Program Plan may be found on the Authority’s Small Business

Program webpage.

For this Agreement, the anticipated total funds are $9.4 million. Of that, the total SB value is $1.76 million, inclusive of the MB carveout value of $50,000. The value for DBE is $940,000. The value for DVBE is

$280,000.

11. For each task order and/or Work Plan, if applicable and as required by the Agreement, the Consultant may be required to propose and/or follow performance targets and measures suitable for measuring performance towards the Authority’s performance objectives.

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/1 1/ http://www.hsr.ca.gov/business-opportunities/small-business-program http://www.hsr.ca.gov/business-opportunities/small-business-program

12. Negotiations, as set forth herein, shall be held with the top-ranked

Offeror.

13. This RFQ will be available in electronic format on the California State

Contracts Register website.

14. All questions regarding this RFQ must be submitted in writing to the email address of the Authority’s Designated Point of Contact in

Section 3.1 of this RFQ by the date and time listed in Section 3.0, Table 1, Key RFQ Dates. All such questions should use the subject line: HSR23-42 Independent Safety Assessor Services. Responses to questions submitted will be posted on the California State Contracts

Register for the benefit of all Offerors.

2.1 Background for the RFQ

The Authority intends to select an Independent Safety Assessor to undertake independent safety analysis of railway systems that verifies, through an independent certification process, and an independent safety assessment in accordance with EN 50126, EN 50128 and EN 50129, that the System that is delivered into revenue service is safe and reliable for passengers, employees and the general public, as noted in Proposition 1A.

Railway systems will include all operational railway systems, including trainsets, track, signalling and train control, communications, traction power and overhead line catenary systems.

Risk-based hazard management will begin at the system level and flow-down to subsystem or site-specific levels, as appropriate, to capture relevant information and sufficient detail to inform appropriate input to the hazard analysis process.

This risk-based hazard management is the responsibility of the Authority or its designated representative, but subject to review by the Independent Safety

Assessor.

The Authority seek to appoint a competent experienced independent safety assessor team with organizational systems and approvals that demonstrate R

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The successful ISA consultant will provide the Authority with competent individuals with significant relevant experience of rail system delivery projects of similar size, scope, and complexity.

A map of the area to which the Work will relate is included below as Figure 1.

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Figure 1: Merced to Bakersfield Map

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2.1.1 Reference Materials

As the documents are not contractual unless specific requirements are included in the language of the resulting Agreement, there is no order of precedence for the reference documents. The Reference Materials listed below are provided for the purpose of making information available e to all interested parties, that is in the Authority's possession and may be of value to the Offerors. The following documents will be provided electronically along with this RFQ on the California

State Contracts Register at www.caleprocure.gov:

1. Authority Concept of Operations

2. Authority Configuration Management Policy

3. Authority Design Criteria Manual, Version 5

4. Authority Enterprise Risk Management Policy

5. Authority FRA Program Management Plan, submitted 2023

6. Authority Network Integration Policy

7. Authority Program Risk Management Plan

8. Authority RAM Management Plan

9. Authority Quality Manual

10. Authority Safety and Security Plan

11. Authority Systemwide Alignment Schematic

12. Authority Systems Development Life Cycle (SDLC) Requirements

2.1 Definitions

Whenever used in this RFQ, the following terms have the definitions indicated:

Agreement: The written executed contract between the Authority and the successful Offeror as a result of this procurement.

Authority: The California High-Speed Rail Authority, which may include the

Authority’s authorized representatives.

Authority Board: The California High-Speed Rail Authority Board of Directors.

Authority’s Designated Point of Contact: The representative of the Authority identified in Section 3.1.

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/1 1/ http://www.caleprocure.gov/

Business Day: Monday through Friday, except for federal or State of California holidays, between the hours of 8:00 a.m. and 5:00 p.m., Pacific Time. Lists of federal and State of California holidays can be found at the U.S. Office of

Personnel Management and California Department of Human Resources websites, respectively.

Commercially Useful Function: The Authority will uniformly apply best practices in collective consideration of Commercially Useful Function (CUF) standards set forth by 49 C.F.R. Part 26.55 (c)-(d), Government Code section

14837, California Code of Regulations section 1896.4(h), and Military and

Veteran Code section 999(b) (5). An SB, Small Business for the Purpose of

Public Works (SB-PW), DBE, DVBE, or Microbusiness (MB) is deemed to perform a CUF if the business meets the following CUF standards:

1. Performs a CUF when a SB/MB/SB-PW/DBE/DVBE is responsible for the execution of a distinct element of work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

2. Performs work that is normal for its business services and functions.

3. Is responsible, with respect to materials and supplies used on the

Agreement, for negotiating price, determining quality and quantity, ordering the material, and installing and paying for the material itself.

A firm does not perform a CUF if the business:

1. Is a SB/MB/SB-PW/DBE/DVBE that is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of participation.

2. Is a DBE that does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own workforce, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved.

Consultant: The successful Offeror that executes the Agreement with the

Authority as a result of this RFQ.

Day or day: Calendar day, unless otherwise noted.

Construction Contractor: The entities performing construction work through applicable contracts with the Authority, including design-builders performing

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/1 1/ http://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/#url=Overview http://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/#url=Overview http://www.calhr.ca.gov/employees/pages/state-holidays.aspx design and construction work, or other construction methods such as construction management/general contractor and progressive design-build delivery methodologies.

Disabled Veteran Business Enterprise: A for-profit business concern that meets the certification requirements set forth in California Military and Veterans

Code section 999(b)(7), including, but not limited to, at least 51 percent ownership by a veteran of the United States Military who has at least a 10 percent service-connected disability. To be counted towards meeting the goals of the HSR SB Program Plan, a Disabled Veteran Business Enterprise must: (1) Be certified by DGS’ Office of Small Business and Disabled Veteran Business

Enterprise Services, and (2) Perform a CUF, as defined herein, in providing services or goods that contribute to the fulfillment of the contract requirements for this procurement.

Disadvantaged Business Enterprise: A for-profit business concern that meets the requirements of Title 49, Part 26.61 through 26.73 inclusive of the Code of

Federal Regulations, including, but not limited to, at least 51 percent owned by individuals who are both socially and economically disadvantaged. To be counted towards meeting the goals of the HSR SB Program Plan, a

Disadvantaged Business Enterprise must be certified by the California Unified

Certification Program.

Discussions: Oral interviews conducted in accordance with California Code of

Regulations, title 21, section 10000.6 and the Authority Board’s RFQ policy. See

Section 6.4 and Attachment C of this RFQ.

Early Operating Segment: The fully electrified, dedicated segment of the

System upon which the Authority will conduct initial passenger revenue operations. It is approximately 171 miles in length beginning on the north side of

Merced Station at R Street in Merced and extending to the south side of

Bakersfield Station at Chester Avenue in Bakersfield.

First Construction Section: A component of the Early Operating Segment over which the Authority will complete testing and commissioning activities necessary to certify the System. It is approximately 119 miles in length beginning at Avenue

19 in the County of Madera and extending to Poplar Avenue in the County of

Kern.

Governance Framework: The governance and collaboration requirements, structures, and procedures for the Project, and ultimately the System, that are specified in the governance framework document maintained and provided by

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/1 1/ the Authority, which will be finalized following development and input from

Interfacing Contractors and updated from time to time.

Grant/Cooperative Agreements: Any federal agreements between the

Authority, the Federal Railroad Administration (FRA), the United States

Department of Transportation (U.S. DOT), and/or other federal agency providing terms for expenditure of additional federal funds, including the Agreement numbers No. FR-HSR-0118-12, as amended (FY 10 Grant), and FR-HSR-0009‐

10‐01‐0, as amended (ARRA Grant).

HSR SB Program Plan: The Authority’s HSR SB Program Plan.

Interfacing Contractor: A Person engaged with the Authority to design, deliver, manufacture, construct, and/or maintain or conduct other activities related to or adjacent to any portion of the System that interfaces or could interface with the

Work. This definition includes Persons engaged with the Authority for these services after the execution of this Agreement.

Key Personnel: Those individuals identified in the Offeror’s SOQ to fill the roles specified in Section 5.3.3.2.

Microbusiness: A for-profit small business concern that meets the certification requirements set forth in California Government Code section 14837(d) and

California Code of Regulations, title 2 sections 1896.4 (Definitions) and 1896.12

(Eligibility), including but not limited to, its principal office is located in California, its owners reside in California, it is not dominant in its field, and it has an average gross revenue of $5 million or less over the previous three tax years. To be counted towards meeting the goals of the HSR SB Program Plan, a

Microbusiness must be certified by DGS.

Offeror: A Person that submits a Statement of Qualifications in response to this

Request for Qualifications.

Offeror Team: Collectively, the Offeror and its members and Subconsultants.

Open Government Laws: Collectively, the California Public Records Act

(Government Code sections 7920.000, et seq.), the Bagley-Keene Open Meeting

Act (Gov. Code section 11120 et seq.), and the Freedom of Information Act

(FOIA) (5 U.S.C. section 552, as amended by Public Law No. 104-231, 110 Stat.

3048), and other applicable State and federal open records laws.

Person: Any individual or entity, including corporation, limited liability company, sole proprietorship, joint venture, partnership, voluntary association, trust, unincorporated organization, or governmental agency including the Authority.

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/1 1/ https://hsr.ca.gov/wp-content/uploads/2023/12/HSR-BusinessProgram-2023-FINAL-A11Y.pdf https://hsr.ca.gov/wp-content/uploads/2023/12/HSR-BusinessProgram-2023-FINAL-A11Y.pdf

Project: Independent Safety Assessor services for the 171-mile Early Operating

Segment of the System between the cities of Merced and Bakersfield.

Public Records Act: The California Public Records Act, Government Code sections 7920.000, et seq.

Small Business: A for-profit business concern that meets the certification requirements set forth in the California Small Business Procurement and

Contract Act in California Government Code section 14837(d) and Title 2

California Code of Regulations sections 1896.4 (Definitions) and 1896.12

(Eligibility), including, but not limited to, that its principal office is located in

California, its owners reside in California, it is not dominant in its field, and it has average gross annual revenue of $15 million or less over the previous three tax years. To be counted towards meeting the goals of the HSR SB Program Plan, a

SB must be certified by DGS.

Small Business for the Purpose of Public Works (SB-PW): A for-profit small business that is independently owned and operated, with its principal office located in California, and with owners, officers, members/managers, partners living in California, has an average of $37 million or less in gross annual receipts over the previous three (3) tax years, is not dominant in its field of operations and has 200 or fewer employees. This certification is issued by the California

Department of General Services.

Subconsultant:

a. Prior to award of the Agreement resulting from this RFQ, any Person with whom the Offeror proposes to enter into a subcontract/subagreement for any part of the Work, at any tier; or

b. After award of the Agreement resulting from this RFQ, any Person with whom the Consultant has entered into a subcontract/subagreement for any part of the Work, at all tiers.

c. The term Subconsultant shall include subcontractor.

System: The entire high-speed rail system as described in California Proposition

1A (2008), including Phase 1, which shall run from the San Francisco Bay Area to the Los Angeles basin, and Phase 2, which shall run from Sacramento to San

Diego.

Work: All of the tasks required under the Agreement resulting from this RFQ, in the proposed form found in Attachment D, including Exhibit A (Scope of Work).

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2.2 Acronyms

ACA Affordable Care Act

ARRA American Recovery and Reinvestment Act of 2009

CalSTA California State Transportation Agency

Caltrans California Department of Transportation

CEO Chief Executive Officer or Executive Director

CEQA California Environmental Quality Act of 1970

CP 1 Construction Package 1

CP 2-3 Construction Package 2-3

CP 4 Construction Package 4

CUF Commercially Useful Function

DBE Disadvantaged Business Enterprise

DGS California Department of General Services

DLA Deputy Lead Assessor

DVBE Disabled Veteran Business Enterprise

ESG Environmental, Social, and Governance

ETCS L2 European Train Control Systems Level 2

FOIA Freedom of Information Act

FRA Federal Railroad Administration

ICCTA Interstate Commerce Commission Termination Act of 1995

ISA Independent Safety Assessor

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LGA Locally Generated Alternative

MB Microbusiness

NEPA National Environmental Policy Act of 1969

NTP Notice to Proceed

ODC Other Direct Cost

PLA Program Lead Assessor

PSA Project Safety Authority

RFQ Request for Qualifications

SB Small Business

SB-PW Small Business for the Purpose of Public Works

SME Subject Matter Expert

SOQ Statement of Qualifications

U.S. DOT United States Department of Transportation

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INSTRUCTIONS TO OFFERORS

3. Procurement Schedule and Process

Table 1: Key RFQ Dates

Key Dates Activity Description

March 11, 2024 RFQ advertised.

March 18, 2024 Pre-Bid conference location: virtual. The pre-bid conference is not mandatory.

March 22, 2024 Last day to submit written questions by 5 p.m. Pacific

Time.

March 28, 2024 Authority to Post Responses to Offeror Questions.

May 14, 2024 SOQs due at the address specified in Section 4.1 of this

RFQ by 12 noon Pacific Time.

May 30, 2024 Invitation to Discussions sent.

June 5-6, 2024 Discussions with Offerors held in Sacramento.

June 11, 2024 Notice of Proposed Award.

June 18, 2024 Cost Proposal/Rate Sheet Form due from top-ranked

Offeror.

June 18-Aug 2, 2024 Negotiation with top-ranked Offeror.

August 2024 Anticipated Notice to Proceed Issued.

*All dates subsequent to the SOQ deadline may be modified at the discretion of the Authority without issuing a formal addendum to this RFQ.

3.1 Authority’s Designated Point of Contact

The Authority’s Designated Point of Contact for communications concerning this

RFQ shall be as follows:

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Kristal McCain

California High-Speed Rail Authority

770 L Street, Suite 620

Sacramento, CA 95814

Phone: (916) 324-1541

Email: ISArail@hsr.ca.gov

Persons intending to submit SOQs in response to this RFQ shall not contact or discuss any items related to this process with any Authority Board member or

Authority staff other than the Point of Contact listed above either directly or through intermediaries. Failure to comply with this communication prohibition may result in disqualification. See Section 3.6, Improper Communications and

Contacts, for more information.

3.2 Addenda to RFQ

The Authority reserves the right to amend the RFQ by addendum before the final date of SOQ submission. It is the responsibility of the Offeror to check the

California State Contract Register for all addenda.

3.3 Non-Commitment of Authority

This RFQ does not commit the Authority to award a contract, to pay any costs incurred in the preparation of an SOQ in response to this request, or to procure or contract for services or supplies. In connection with this procurement, the Authority reserves to itself all rights (which rights shall be exercisable by the Authority in its sole discretion) available to it under the applicable law, including without limitation, with or without cause and with or without notice, the right to the following:

1. Cancel this RFQ in whole or in part at any time prior to the execution of a contract or contracts without incurring any cost obligations or liabilities.

2. Accept or reject any or all SOQs received as a result of this RFQ.

3. Negotiate with any qualified Offeror selected for award.

4. Modify the RFQ, in whole or in part.

5. Waive informalities, immaterialities, irregularities, mistakes, and deficiencies in an SOQ; and/or permit clarifications related to such.

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3.4 Property Rights

SOQs received within the prescribed deadline become the property of the

Authority and all rights to the contents therein become those of the Authority. All material developed and produced for the Authority under any Agreement resulting from this RFQ shall belong exclusively to the Authority and the State of

California. All products used or developed in the execution of any Agreement resulting from this RFQ will be governed in accordance with the Ownership of

Data Rights and Patent Rights Sections in Attachment D, Sample Agreement.

3.5 Non-Exclusiveness of Subconsultants

Subconsultants are not precluded from being on more than one Offeror Team, subject to the provisions of Section 3.6, Improper Communications and Contacts.

There is no prohibition against Subconsultants being exclusive to one Offeror, however, exclusivity is strongly discouraged for SB/DBE/DVBE Subconsultants.

3.6 Improper Communications and Contacts

For purposes of this section, the definitions of Offeror and Offeror Team shall include potential Offerors and potential Offeror Teams as this section specifically applies to all interested parties from the date of issuance of the RFQ. The following rules of contact shall apply during this procurement that began upon the date of issuance of this RFQ and will be completed with either the execution of the Agreement resulting from this procurement, or the cancellation of the procurement. These rules are designed to promote a fair and unbiased procurement process. Contact includes, but is not limited to, face-to-face, telephone, web-based meeting platforms (including viewing/sharing information on screen), text message/SMS, facsimile, email, electronic messaging of any kind or formal written communication. Contact and communications include direct contact or direct communication and those made through an intermediary.

The specific rules of contact are as follows:

1. After submittal of SOQs, no Offeror, or any of its team members, may communicate with another Offeror or its team members with regard to the

RFQ or any other team’s SOQ with the exception of Subconsultants that are shared between two or more Offeror Teams. In such cases, those

Subconsultants may communicate with their respective team members so long as those Offerors establish a protocol to ensure that the

Subconsultant will not act as a conduit of information between the teams.

Contact among Offeror organizations is allowed during Authority sponsored informational meetings. Protocols established to ensure that

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Subconsultants do not act as conduits of information between teams are subject to Authority review and approval, at the Authority’s discretion.

2. Offerors shall correspond with the Authority regarding the RFQ only through the Authority’s Designated Point of Contact.

3. Except for communications expressly permitted by the RFQ, or approved in advance by the Authority’s Chief Counsel in his or her sole discretion, no Offeror or representative thereof shall have any ex parte communications regarding the RFQ or the procurement described herein with any member of the Authority Board or with any Authority staff. This includes any of the Authority’s advisors, contractors, or consultants (and their respective affiliates) that are involved with the procurement.

4. Offerors shall not contact the entities listed below, including any employees, representatives, and members regarding this RFQ:

a) Federal Railroad Administration (FRA);

b) California State Transportation Agency (CalSTA);

c) California Department of Transportation (Caltrans);

d) California Department of General Services (DGS);

e) California High-Speed Rail Authority, including the Authority Board, except as provided in this RFQ; and,

f) Firms subject to Offeror Ex Parte Communications prohibitions during this procurement (Table 2).

5. The foregoing restrictions shall not, however, preclude or restrict communications with regard to matters unrelated to the RFQ, or the procurement, or from participating in public meetings with the Authority or any Authority workshop related to this RFQ.

6. Any communication determined to be improper, at the sole discretion of the Authority, may result in disqualification.

7. The Authority will not be responsible for any oral exchange or any other information or exchange that occurs outside the official RFQ process.

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Table 2: Firms Subject to Offeror Ex Parte Communications Prohibitions During this Procurement

Firms

AECOM Technical Services, Inc. Greenberg Traurig, LLP

AECOM-Fluor Joint Venture Intueor

Ashurst KPMG LLP

Cordoba Corporation Network Rail Consulting Inc.

DB Engineering & Consulting USA

Inc.

WSP USA, Inc.

Fluor Enterprises, Inc.

Any Program Delivery Support (HSR

21-17) and Rail Delivery Partner (HSR

14-66) subconsultants that participated in the development of the procurement

3.7 Organizational Conflicts of Interest

The use of the term “Offeror” in this section specifically applies to all interested parties from the date of issuance of the RFQ including Offerors, potential

Offerors, and subconsultants. The Authority has adopted an Organizational

Conflicts of Interest Policy (Policy) that will apply to this procurement and the resulting Agreement, in addition to the Authority’s Conflict of Interest Code and other applicable requirements. The Policy can be found on the Authority’s website.

Offerors are advised to carefully review the Policy, and to have their team members review the Policy, since it includes provisions that may:

1. Preclude certain firms from participation in this procurement; and,

2. Affect the ability of an Offeror, its subconsultants, and their Affiliates (as defined in the Policy) to contract with the Authority.

Failure to comply with the Policy in any respect, including the failure to disclose any actual, perceived, or potential organizational conflict of interest, may result in serious consequences as described in section V(2) of the Policy.

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An organizational conflict of interest is a circumstance arising out of a

Consultant’s existing or past activities (including projects outside of the

Authority’s program), business or financial interest, familial relationships, contractual relationships, and/or organizational structure (i.e., parent entities, subsidiaries, Affiliates, etc.) that results in or would result in the following:

i. Impairment or potential impairments of a Consultant’s ability to render impartial assistance or advice to the Authority or of its objectivity in performing work for the

Authority;

ii. An unfair competitive advantage for any Offeror submitting an SOQ on an

Authority procurement; or

iii. A perception or appearance of impropriety with respect to any of the

Authority’s procurements or contracts, or a perception or appearance of unfair competitive advantage with respect to a procurement by the Authority (regardless of whether any such perception is accurate).

If an organizational conflict of interest is found to exist, the Authority may:

A. Disqualify the Offeror; or

B. Determine that the Authority may contract with such Offeror if it is appropriate and possible to mitigate, neutralize, or avoid such conflict, which may include the addition of mitigation provisions to in the

Agreement awarded.

Each Offeror shall fully disclose any actual, perceived, or potential organizational conflicts of interest in its SOQ using Form B, Organizational Conflicts of Interest

Disclosure Statement. Form B shall be filled out and signed, under penalty of perjury, by the Offeror, including a separate Form B for all members if proposing as a joint venture. A separate Form B shall also be filled out and signed, under penalty of perjury, by each Offeror Team member, including all subconsultants.

Form B requires a statement, signed under penalty of perjury by the company’s executive that the company considered the Policy and performed conflicts checks prior to submitting its SOQ. The refusal to provide the required disclosure, or any additional information required, may result in disqualification of the Offeror. If nondisclosure or misrepresentation is discovered after award of the

Agreement resulting from this procurement process, the Agreement may be terminated.

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Note that business relationships on projects other than the California High-Speed

Rail project may require disclosure if they involve consultants or contractors working on the California High-Speed Rail project.

By submitting its SOQ, each Offeror agrees that, if an organizational conflict of interest is discovered following submittal of the SOQ, including after any contract award arising out of this RFQ process, the Offeror will make an immediate and full written disclosure to the Authority that includes a description of the action taken, or proposed to be taken, to avoid or mitigate such conflicts. To the extent applicable, the Consultant is required to self-certify annually that all required organizational conflict mitigations are in place, and Authority Contract Managers will enforce and provide oversight for required conflict mitigations.

If an Offeror requires an organizational conflict of interest determination related to this procurement, please immediately consult the Policy and provide the required information to the Chief Counsel Alicia Fowler at Legal@hsr.ca.gov [Optional:

with a copy to the attorney assigned to procurement’s email]. The determination may take between two to four weeks from receipt of all required information and/or documents in the checklist below. To expedite the determination process, the requestor is asked to provide the following information with the request:

Organizational Conflict of Interest Checklist:

(1) A summary of each of your company’s current and former contracts with the Authority, either as a consultant or subconsultant (include project section(s), if applicable, and the current status).

(2) A brief description of the scopes of work for the above-identified contracts, including tasks, deliverables, and key roles of personnel, if applicable.

(3) A brief description of the work, tasks, deliverables, and any key roles that your company expects to perform relative to the contract resulting from this procurement. (If not yet final, please be as detailed as possible.)

(4) A statement about whether your company or principals/employees of your company had any role in the development of this procurement or scope of work.

(5) A statement about whether your company or principals/employees of your company have learned, received, or were privy to any non-public information regarding the scope of work, content or development of this procurement.

(6) Information regarding the type of entity and/or corporate make-up of your company (for example, an LLC, sole proprietorship, corporation, etc.). If applicable, include whether it is a subsidiary of another company

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/1 1/ and/or if it is owned, in whole or in part, by another consultant working on the project.

(7) If your company is planning to seek work related to other Authority procurements, provide information regarding the procurement and the scope of work your company would likely perform.

(8) Any other information and/or documents that you believe are relevant to this analysis, including information regarding other public projects your company is a part of that may impact the Authority.

Please note that the Policy does not address all applicable requirements that may affect persons and entities wishing to enter into contracts with the Authority.

Examples of such requirements include but are not limited to: (a) the California

Political Reform Act and regulations promulgated by the California Fair Political

Practices Commission; (b) restrictions in Public Contract Code section 10365.5 with respect to certain contractors engaged to perform consulting services; and

(c) applicable rules of conduct established by the California Board for

Professional Engineers, Land Surveyors, and Geologists

3.7.1 Organizational Conflicts of Interest for Future Contracts

Pursuant to the Authority’s Organizational Conflict of Interest Policy, the successful Offeror may be precluded from participating on future contracts. A consultant may also request an organizational conflict of interest determination utilizing the same contact information as above for any questions that arise.

As the Consultant is required to work independently from the Authority and will be providing independent safety assessments, the Consultant will likely be conflicted out of participating on other Authority procurements for track and systems related work. Procurements for track and systems related work include, but may not be limited to, Program Delivery Support (HSR21-17), Rail Systems

Engineering Services (HSR23-21), Track and OCS Design (HSR 23-32), Integration Support Services, Track and OCS Construction, Rail Systems Design and Construction, Trainsets, Construction Management, Rail Facilities Design and Construction, Station Design and Construction, and Civil Works Design and

Construction.

3.8 Confidentiality

All written correspondence, exhibits, photographs, reports, printed material, tapes, electronic disks, and other graphic and visual aids submitted to the

Authority during this procurement process, including as part of a response to this

RFQ are, upon receipt by the Authority, the property of the Authority and are

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/1 1/ subject to the Open Government Laws. None of the aforementioned materials will be returned to the submitting parties. Any materials that are delivered to FRA are subject to the Freedom of Information Act (FOIA) or other federal open records laws. Offerors should familiarize themselves with the Open Government

Laws, including the California Public Records Act and FOIA. In no event shall the

State, the Authority, FRA, or any of their agents, representatives, consultants, directors, officers, or employees be liable to an Offeror or Offeror Team member for the disclosure of all or a portion of an SOQ submitted in response to this

RFQ, or other information provided in connection with this procurement.

If an Offeror or Offeror Team member has special concerns about information that it desires to make available to the Authority, but which it believes constitutes a trade secret, proprietary information, or other information exempt from disclosure, such Offeror should specifically and conspicuously designate that information as “TRADE SECRET” or “CONFIDENTIAL” in its SOQ. Blanket, all-inclusive identifications by designation of whole pages or sections as containing proprietary information, trade secrets, or confidential commercial or financial information shall not be permitted and shall be deemed invalid. The specific proprietary information, trade secrets, or confidential commercial and financial information must be clearly identified as such. Under no circumstances, however, will the Authority guarantee confidentiality or non-disclosure of information so designated, nor will it be responsible or liable to the Offeror or any other party for the disclosure of any such labeled materials, whether the disclosure is deemed required by law, by an order of court, or occurs through inadvertence, mistake, or negligence on the part of the Authority or its officers, employees, contractors, or consultants. All such information shall remain subject to the Authority’s rights and obligations under Open Government Laws, including the California Public

Records Act and FOIA.

The Authority will not advise a submitting party as to the nature or content of documents entitled to protection from disclosure under the Public Records Act, FOIA, U.S. DOT, FOIA regulations (49 C.F.R. section 7.17) or other applicable laws and implementing regulations, as to the interpretation of the Public Records

Act or FOIA, or as to the definition of trade secret. The submitting party shall be solely responsible for all determinations made by it under applicable laws and for clearly and prominently marking each and every page or sheet of materials with

“TRADE SECRET” or “CONFIDENTIAL” as it determines to be appropriate. Each submitting party is advised to contact its own legal counsel concerning the Public

Records Act, FOIA, and other applicable laws and their application to the submitting party’s own circumstances. In the event of litigation concerning the disclosure of any material submitted by the submitting party, the Authority’s sole involvement will be as a stakeholder retaining the material until otherwise

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/1 1/ ordered by a court, and the submitting party shall be responsible for otherwise prosecuting or defending any action concerning the materials at its sole expense and risk. The submitting party shall reimburse the Authority for any expenses it incurs in connection with any such litigation.

3.9 Executive Order N-6-22 – Russia Sanctions

On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S.

government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under State law. By submitting an SOQ, Offeror represents that it is not a target of Economic Sanctions. Should the Authority determine Offeror is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for rejection of the

Offeror’s SOQ any time prior to contract execution, or, if determined after contract execution, shall be grounds for termination by the Authority.

3.10 The California Environmental Quality Act

By issuing this RFQ, and by entering into any resulting Agreement that mentions or refers to the California Environmental Quality Act (CEQA), Environmental

Impact Report (EIR), and State environmental permitting laws/agencies and initially authorizes related work, the Authority does not: (a) waive the Authority’s rights regarding the application of the Interstate Commerce Commission

Termination Act of 1995 (ICCTA), including the defense that ICCTA preempts

CEQA’s application to the System; or (b) create an implied agreement that CEQA and/or such environmental permitting requirements apply to the System.

4. Submittal of the Statement of Qualifications

4.1 Statement of Qualifications Submittal Information

SOQs submitted in response to this RFQ shall be provided in electronic and hard copy formats as required by Section 5 of this RFQ. Hard copies shall be mailed or hand delivered to:

California High-Speed Rail Authority

Attention: Kristal McCain

770 L Street, Suite 620 MS 2

Sacramento, CA 95814

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The following information must be placed on the lower left corner of the submittal shipping packages:

RFQ No.: HSR23-42

California High-Speed Rail Authority

Independent Safety Assessor Services Statement of

Qualifications

Offeror:

ONLY TO BE OPENED BY AUTHORITY’S DESIGNATED

POINT OF CONTACT

Due to building access restrictions, Offerors that will hand deliver their SOQs are requested to notify the Authority’s Designated Point of Contact identified in

Section 3.1 at least 24 hours before their anticipated arrival time. Offerors that will deliver their SOQs by mail are requested to notify the Authority’s Designated

Point of Contact of the expected delivery date.

4.2 Late Submittals

SOQs received after the specified date and time are considered late and will not be accepted. There are no exceptions. Postmark dates of mailing, email, and facsimile transmissions are not accepted under any circumstances and are not acceptable toward meeting the submission deadline for SOQ delivery. An SOQ is late if received any time after the date and time listed in Table 1. SOQs received after the specified time will not be considered and will be returned unopened to the Offeror. Offerors are responsible for requesting a receipt or delivery confirmation for delivery of their SOQ packages.

4.3 Modification or Withdrawal of SOQs

Any SOQ received may be withdrawn or modified before the SOQ submittal deadline by written request to the Authority that is signed by the Offeror or an authorized agent and received before the SOQ submittal deadline by the

Authority’s designated representative. An Offeror may thereafter submit a new

SOQ prior to the SOQ deadline. The only method for an Offeror to modify its

SOQ is by withdrawing its submission in its entirety prior to the SOQ deadline, by written notification to the Authority. A complete, corrected submission package may be resubmitted prior to the SOQ deadline. Modifications offered in any other manner will not be considered.

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STATEMENT OF QUALIFICATIONS

5. Statement of Qualifications Requirements

Offerors shall include one original and five hard copies in separate 3-ring binders contained in a sealed shipping package. The original must be clearly marked “Original” on its face and spine, and each copy must be marked with the Offeror’s name and numbered 1 through 5 on the spines. Each Offeror shall also provide an electronic version of its SOQ. The electronic copy should be submitted as a single PDF file. The

PDF file should be printable, searchable, in a read-only…