64A0281_-_RFP_Solicitation_Package.pdf

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CALIFORNIA STATE TRANSPORTATION AGENCY GAVIN NEWSOM, GOVERNOR

California Department of Transportation

ADMINISTRATION

DIVISION OF PROCUREMENT AND CONTRACTS

1727 30TH STREET, MS 65

SACRAMENTO, CA 95816-7006

PHONE (916) 227-6000

TTY 711

https://dot.ca.gov/programs/procurement-and-contracts/

August 15, 2024

Request For Proposal

Notice to Prospective Proposers RFP Number 64A0281

You are invited to review and respond to this Request for Proposal (RFP) Number 64A0281, titled FTA Drug and Alcohol Oversight. In submitting your proposal, you shall comply with the instructions found herein. In addition to those programs and preferences that are specified in this solicitation, Prospective Contractors are encouraged to consider programs and preferences that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, and other businesses covered by State and Federal programs and preferences.

As required by Executive Order S-02-06, the California Department of Transportation (Caltrans) is committed to meeting the State’s 25 percent (25%) Small Business (SB) participation goal.

Certified SBs, Micro Businesses (MB) are encouraged to submit bids. See Section D, Special Programs, Item 1, in this RFP for requirements.

The Department of Transportation (Caltrans) is committed to meeting the State’s 25% Small Business participation goal, as required by Governor Executive Order S-02-06 and want to encourage Certified Small Businesses (SB), Microbusinesses (MB), and any Contractors willing to commit to subcontracting a minimum of 25% of their net bid price to certified SB or MB to submit proposals.

The Department of Transportation (Caltrans) set an overall annual DBE goal comprising of both race neutral and race conscious elements. Caltrans wants to encourage DBE to submit proposals to ensure equal participation for DBE groups specified in 49 CFR 26.5, for Agreements financed in whole or in part with Federal Funds.

Note that all Agreements entered into with Caltrans will include, by reference, General Terms and Conditions (GTC 04/2017) and Contract Certification Clauses (CCC 04/2017) that must be downloaded at Internet site https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of- Legal-Services-Resources-List-Folder/Standard-Contract-Language.

The designated contact person for this RFP is:

Erik Groen Department of Transportation Email address: erik.groen@dot.ca.gov Phone: 279-234-2400

Please note that no verbal information given will be binding upon Caltrans unless such information is issued in writing as an official addendum.

Technical questions regarding this solicitation will be addressed, in writing, in accordance with the Questions and Answers portion of this RFP. See Section C.3 Questions and Answers for more details.

Sincerely, ERIK GROEN

Contract Analyst

Caltrans RFP Number 64A0281

Table of Contents

Section Page

A) Purpose and Description of Service 1

B) Minimum Qualifications for Proposers 1

C) Proposal Requirements and Information 2

1. Time Schedule 2

2. Optional Pre-Proposal Conference 2

3. Questions and Answers 2

4. Technical Proposal Requirements 3

5. Cost Proposal Requirements 5

6. California Civil Rights Laws 5

7. Darfur Contracting Act 6

8. Executive Order N-6-22 - Russia Sanctions 6

9. Executive Order N-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting

10. Standard Title VI/Nondiscrimination Assurances (United States Department of Transportation DOT Order No. 1050.2A)

11. Mandatory Organic Waste Recycling 7

12. Submission of Proposal 7

13. Evaluation Process 9

14. Pre-Award Audit 11

15. Award and Protest 11

16. Disposition of Proposals 12

17. Standard Conditions of Service 12

D) Special Program(s) 13

Small Business Enterprise or Microbusiness Preference 13

Disadvantaged Business Enterprise (DBE) Program 13

Attachments

1 Cost Proposal Worksheet 4

2A Key Personnel Hours Table (Sample) 1

2B Sample Reference Form 1

3 Proposal/Proposer Certification Sheet 2

4 Required Attachment Checklist 3

5 Technical Evaluation: Phase I (Criteria for Evaluation of Consultant - Technical Proposal Evaluation)

6 Accounting and Audit Guidelines 1

7 Proposed form of the Agreement 1

A) Purpose and Description of Services

The Caltrans, Division of Local Assistance, Office of Transit Grants and Contracts (Caltrans) is seeking a professional services consultant to perform an evaluation of each Federal Transit Administration (FTA) §5311 and §5311(f) subrecipient’s compliance/oversight/management of the requirements identified in 49 CFR Part 40 and Part 655.

Background and Purpose

Caltrans is the designated recipient of FTA §5311 and §5311(f) funds. As the recipient of these federal funds, Caltrans is responsible for “filling the shoes” of the FTA to ensure that subrecipients are in compliance with 49 CFR Part 40 and Part 655. Approximately eighty-nine (89) subrecipients receive FTA §5311 and §5311(f) funds from Caltrans. Twenty-four (24) of these subrecipients receive direct Drug and Alcohol Program oversight from the FTA because they also receive FTA §5307 urban resources. This means approximately 65-70 subrecipients will need direct services offered through this contract. These subrecipients are located throughout California, sometimes in very isolated localities.

Proposer shall develop a program to evaluate each subrecipient’s compliance, follow-up on subrecipient’s activities to achieve compliance, provide ongoing technical assistance to comply with requirements, report program status, and to coordinate training that is identified throughout the duration of the contract with Caltrans.

The evaluation of subrecipients is not intended to be punitive. It is however, meant to provide Caltrans

– and therefore FTA, with an opportunity to identify subrecipient Drug and Alcohol Program weaknesses/deficiencies so that they can be corrected, and to identify training or other technical assistance needs for programmatic dissemination. The evaluation will identify best practices so that subrecipients can pursue excellence in drug and alcohol program management. This action will help ensure the rural transit systems in California remain safer modes of travel.

Refer to the Proposed Form of Agreement, which is attached to this RFP as Attachment 7 (Exhibit A) for a more complete description of services.

B) Minimum Qualifications for Proposers

Information needed to substantiate meeting these requirements must be documented and submitted in the “Qualifications and Experience” Section of the Technical Proposal, Attachment 2 to the RFP. The individual qualifications and work experience of proposed project personnel, especially the Project Coordinator, will be reviewed, and the firm must be able to show that it will be able to assign employees and/or third-party contractors with relevant skill sets and knowledge.

The following experience, knowledge skills and abilities must be demonstrated:

At least ten (10) years of experience facilitating a statewide Drug and Alcohol Oversight Program that is consistent with Federal Transit Administration (FTA) §5311 requirements identified in 49 CFR Part 40 and Part 655.

At least three (3) years of experience working in the B2GNOW, BlackCat electronic grants management system.

At least seven (7) years of experience working with and reporting to the US Department of Transportation Drug and Alcohol Management Information system (DAMIS).

At least three (3) years of experience training transit agencies to help them comply with FTA §5311 requirements identified in 49 CFR Part 40 and Part 655.

At least three (3) years of experience networking with State Departments of Transportation, FTA, and California’s rural transit agencies and drug and alcohol collection sites.

C) Proposal Requirements and Information

1. Time Schedule

It is recognized that time is of the essence. All proposers are hereby advised of the following schedule and will be expected to adhere to the required dates and times.

Event Date Time

(Pacific Time)

RFP available to prospective proposers 08/15/2024

Optional Pre-Proposal Teleconference 8/22/2024 1:30 PM

Written Question Submittal 8/29/2024

Final Date for Proposal Submission 9/17/2024 2:00 PM

Cost Proposal Opening 10/3/2024

Posting of Notice of Intent to Award (estimate) Week of 10/7/2024

Proposed Agreement Award Date (estimate) Week of 10/14/2024

2. Optional Pre-Proposal Conference

An optional pre-proposal telephone conference will be held at 1:30 PM on 8/22/2024 for the purpose of discussing this RFP.

Teleconference Dial-In Number: 408-418-9388

Participant Code: 2495 123 8811

An authorized representative may attend the optional pre-proposal teleconference on behalf of a potential prime contractor. The representative may only sign-in for one (1) company.

Subcontractors may not represent a potential prime contractor at optional pre-proposal conference.

For proposers who need assistance due to a physical impairment, a reasonable accommodation will be provided upon request for the optional pre-proposal conference. The proposer must call the designated Contract Analyst no later than the fifth working day prior to the scheduled date and time of the Pre-Proposal Conference to arrange for a reasonable accommodation.

3. Questions and Answers

A. Questions regarding this RFP must be submitted in writing by 8/29/2024. Proposers are encouraged to submit their written questions via e-mail to erik.groen@dot.ca.gov.

Written questions must include the individual's name, firm name, complete address and must reference RFP No. 64A0281 Questions must be sent to one of the following:

Email: erik.groen@dot.ca.gov

Or mail to:

California Department of Transportation (Caltrans) Division of Procurement and Contracts Attention: Erik Groen 1727 30th Street, MS 65 Sacramento, CA 95816-7006

Written responses to all questions will be collectively compiled and posted, as an Addendum, to the Cal eProcure website (https://caleprocure.com/pages/index.aspx). It is the responsibility of the proposer to access the website for any changes or Addenda that may be posted. Refer to this RFP, Section C1, Time Schedule, for the schedule of events and dates/times. It is the responsibility of the proposer to check Cal eProcure for all addenda.

Proposer can contact the Contract Analyst named above.

4. Technical Proposal Requirements

A. An original proposal marked "ORIGINAL COPY" printed and bound copy and one (1) pdf copy on a thumb drive will be required for the Technical Proposal. Each Technical Proposal shall contain at a minimum, all required items listed below. Each requirement’s location must be listed in a Technical Proposal, Table of Contents. Also see RFP Section C) 9., Submission of Proposal, for submittal details.

1) Section 1. Introduction and Minimum Qualifications: Proposer shall:

a. Introduce its team and summarize the highlights of the proposal.

b. Provide the information to demonstrate the minimum qualifications listed in RFP section B) Minimum Qualifications for Proposers.

2) Section 2. Project Management: Proposer shall:

a. Designate, by name, the Project Manager to be employed. Project Manager shall be responsible for implementing the Scope of Work, overseeing the activities of the project team, and shall be the single point of contact for this contract. The Project Manager must be available to Caltrans as needed to effectively manage this contract. The selected Contractor shall not cause the substitution of the Project Manager without prior written approval of Caltrans.

b. Explain how the various tasks will be managed and coordinated, and how the project manager’s technical expertise will support the effective management and coordination of all activities described in the Scope of Work.

c. Provide an organizational flow chart showing the hierarchy of the proposer’s team personnel that will be utilized during the term of the Agreement. The chart must show the relationship between the Project Manager and personnel of the proposer’s organization and other parties (including subcontractors) to the proposal.

3) Section 3. Personnel: This section of the Technical Proposal shall identify the proposed team and key personnel. Key personnel shall have experience with, and in- depth knowledge of, techniques and procedures necessary to accomplish the various tasks listed in Attachment 7 (Proposed Form of Agreement), Exhibit A, Scope of Work.

a. Identify all key personnel of the prime contractor who will be working under the Agreement and provide brief (two pages maximum) resumes. Include titles, education, academic degrees, professional licenses, qualifications, proposed roles and responsibilities, summaries of similar work performed and expected level of availability for this Agreement.

b. Introduce the proposed subcontractor organizations, if any, and provide qualifications, roles, and responsibilities for the company/organization as a whole.

Provide brief (two pages maximum) resumes for each of the subcontractors’ key personnel listed to provide services under the Agreement. Include titles, education, academic degrees, professional licenses, qualifications, proposed roles and responsibilities, summaries of similar work performed and expected level of availability for this Agreement. (The cost of the subcontracted work is to be itemized in the Cost Proposal as described below in Cost Proposal Requirements.)

c. Proposer shall provide a table in the format provided on Attachment 2A indicating how many hours each key personnel will be assigned for the Agreements and what task(s) each key personnel will perform. All key personnel of prime contractor and subcontractors assigned to the contract and listed in the Proposer’s Technical Proposal must be identified by name, title and firm name in the table (Attachment 2A). Hours listed for key personnel on the table should match hours listed for key personnel in the Cost Proposal.

d. The selected contractor shall not substitute the listed key personnel or subcontractors without prior written approval by the Caltrans Contract Manager.

4) Section 4. Qualifications and Experience: Proposer shall:

a. Document the project team’s qualifications as they apply to performing the tasks described in the Scope of Work. Describe recently completed work as it relates to this scope of work.

b. Provide a table or matrix of relevant, previous contracts or projects cross-referenced with the requested services. Indicate the number of years of experience in each area.

c. Provide a minimum two (2) and maximum three (3) samples of relevant work experience identified under Task one (1) through Task six (6) in the Scope of Work (Attachment 7, Exhibit A, Scope of Work).

5) Section 5. Work Plan and Work Schedule: Proposer shall:

a. Provide a work plan and/or schedule for task completion. Identify each major task, necessary subtasks, and/or specific milestones by which progress can be measured and payments made. Provide a detailed description of the techniques, approaches, and methods to be used in performing the services (tasks and sub-tasks) listed in Attachment 7 (Proposed Form of Agreement), Exhibit A, Scope of Work. The work plan or schedule shall specify the estimated hours to accomplish each task.

6) Section 6. Facilities and Resources: This section shall:

a. Identify the location of the prime contractor and subcontractor’s headquarters and satellite office(s) and proposed methods of minimizing costs to Caltrans.

b. Describe the facilities, infrastructure, and resources available to the team.

c. Describe organizational flexibility in resource allocation to deal with potential unforeseen issues and circumstances, in the interest of completing the project on time.

d. Describe the organizational strategy and tools to facilitate, promote and maintain effective team work internally, and with clients.

e. Describe any significant changes in staffing and or to the organization of your firm during the previous three (3) years.

7) Section 7. References: Proposer shall provide a minimum of three (3) references and a maximum of five (5) references. The references must be clients for whom the proposer has performed similar or related work in the past, preferably within the last five (5) years.

Each reference must be in the format listed in Attachment 2B.

B. Page Headers and Page Numbering

All pages of the Technical Proposal, including cover pages, Table of Contents, references and resumes, shall have the following header and page numbering format in the upper right-hand corner:

Technical Proposal Date:

Agreement: 64A0281 Attachment 2 Page # of ##

C. Brochures, thumb drives, drawings, and other promotional documents being submitted with the Technical Proposals shall be clearly identified as to the name of the proposer and the RFP number.

5. Cost Proposal Requirements

A. Cost Proposal, and only the Cost Proposal, shall list all items that will be charged to Caltrans for this Agreement. Cost information of any kind for this Agreement is not allowed in the Technical Proposal. Cost Proposal shall include both prime contractor and all subcontractors cost information. Cost Proposals shall follow the format provided in the sample Cost Proposal Worksheet, Attachment 1, and shall be submitted along with Technical Proposal in one (1) sealed envelope. The total amount of the Agreement may not exceed the amount set forth in Attachment 1. Any proposal in excess of $496,500.00 shall be deemed non-responsive.

B. An original proposal marked "ORIGINAL COPY" and one (1) pdf copy on a thumb drive is required for the Cost Proposal. Each Cost Proposal shall contain at a minimum, all required items listed below:

1) Cover page in the format listed on page 1 of Attachment 1, Cost Proposal Worksheet.

2) Prime Contractor’s cost breakdown in the format listed on page 2 of Attachment 1, Cost Proposal Worksheet.

3) Each subcontractor’s cost breakdown (separately) in the format listed on page 4 of Attachment 1, Cost Proposal Worksheet.

C. Page Headers and Page Numbering

All pages of the Cost Proposal, including cover pages, Table of Contents shall have the following header and page numbering format in the upper right-hand corner:

Cost Proposal Date Agreement No. 64A0281 Attachment 1 Page # of ##

6. California Civil Rights Laws

Any person that submits a bid or proposal to, or otherwise proposes to enter into or renew a contract with, a State agency with respect to any contract in the amount of $100,000 or more shall certify, under penalty of perjury, at the time the bid or proposal is submitted or the contract is renewed, that they satisfy all of the conditions set forth in California Public Contract Code Section 2010 and they shall execute the California Civil Rights Laws Certification and submit with bid. The California Civil Rights Laws Certification (ADM-0076) must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0076.

7. Darfur Contracting Act

A. The Darfur Contracting Act (Pub. Cont. Code Sections 10475-10481) applies to any company that currently or within the previous three (3) years has had business activities or other operations outside of the United States. The Act was passed by the California Legislature and signed into law by the Governor to preclude State agencies generally from contracting with “scrutinized” companies that do business in the African nation of Sudan (of which the Darfur region is a part), for the reasons described in PCC Section, 10475. All bidders shall complete the Darfur Contracting Act Certification form and submit with bid.

and submit with bid. The Darfur Contracting Act Certification (ADM-0077) must be downloaded at http://cefs2.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0077.

B. If your company has not, within the previous three years, had any business activities or other operations outside of the United States, complete Option 1 on the Darfur Contracting Act Certification form.

C. A scrutinized company is a company doing business in Sudan as defined in PCC Section, 10476. Scrutinized companies are ineligible to, and cannot, bid on or submit a proposal for a contract with a State agency for goods or services. (PCC Section, 10477 [a]).

D. Therefore, PCC Section, 10478 (a) requires a company that currently has (or within the previous three years has had) business activities or other operations outside of the United States to certify that it is not a “scrutinized” company when it submits a bid or proposal to a State agency.

E. A scrutinized company may still, however, submit a bid or proposal for a contract with a State agency for goods or services if the company first obtains permission from the Department of General Services (DGS) according to the criteria set forth in PCC Section,10477(b).

8. Executive Order N-6-22 – Russia Sanctions

On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) 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 unless the contract has been Federalized (i.e.

there is federal participation in any phase). By submitting a bid or proposal, Contractor represents that it is not a target of Economic Sanctions. Should the State determine Contractor is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for rejection of the Contractor’s bid/proposal any time prior to contract execution, or, if determined after contract execution, shall be grounds for termination by the State.

9. Executive Order N-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting:

A. The State of California seeks to realize the potential benefits of GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

B. Bidder / Offeror / Contractor must notify the State in writing if their solution or service includes, or makes available, any GenAI including GenAI from third parties or subcontractors.

C. The State has developed a GenAI Reporting and Factsheet (STD 1000) to be completed by the Bidder / Offeror / Contractor.

D. Failure to submit the GenAI Reporting and Factsheet (STD 1000) will result in disqualification of the Bidder / Offeror / Contractor.

E. Failure to report GenAI to the State may void any resulting contract. The State reserves its right to seek any and all relief it may be entitled to as a result of such non-disclosure.

F. Upon receipt of a Bidder / Offeror / Contractor GenAI Reporting and Factsheet (STD 1000), the state reserves the right to incorporate GenAI Special Provisions into the final contract or reject bids/offers that present an unacceptable level of risk to the state.

10. Standard Title VI/Nondiscrimination Assurances (Dot Order No. 1050.2A)

The California Department of Transportation, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. Sections 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.

11. Mandatory Organic Waste Recycling

The Contractor generating organic waste or commercial solid waste shall arrange for the recycling services required by this section in a manner that is consistent with State and local laws and requirements, including a local ordinance or local jurisdiction's franchise agreement, applicable to the collection, handling, or recycling of organic waste and commercial solid waste.

This requirement does not modify, limit, or abrogate the Contractors right to sell or donate its recyclable organic waste materials consistent with the requirements of Public Resources Code Section 42649.8 et seq.

12. Submission of Proposal

A. Proposals should provide straightforward and concise descriptions of the proposer's ability to satisfy the requirements of this RFP. The proposal must be complete and accurate.

Omissions, inaccuracies or misstatements may be sufficient cause for rejection of a proposal or reduction in points/score during evaluation.

B. The original proposal must be single sided and marked "ORIGINAL COPY". All documents contained in the original proposal package must have original signatures and must be signed by a person who is authorized to bind the proposing firm. All additional proposal sets may contain photocopies of the original package.

C. Caltrans does not accept alternate Agreement language from a prospective contractor. A proposal with such language will be considered a counter proposal and will be rejected. The State’s General Terms and Conditions (GTC 04/2017) are not negotiable. The GTC 04/2017 may be viewed at Internet site https://www.dgs.ca.gov/- /media/Divisions/OLS/Resources/GTC-April-2017- FINALapril2017.pdf?la=en&hash=3A64979F777D5B9D35309433EE81969FD69052D2.

D. All proposals shall include the documents identified in this RFP’s Required Attachment Checklist, Attachment 4. Proposals not including the proper "required attachments" may be deemed non-responsive. A non-responsive proposal is one that does not meet the basic proposal requirements.

E. Responses to this RFP shall be submitted in two (2) separate sealed packages/envelopes contain:

1st sealed Package/Envelope: Technical Proposal-Original and one pdf copy on a thumb drive.

2nd sealed Package/Envelope: Cost Proposal–Original Cost Proposal, Proposal/Proposer Certification Sheet, and cost information (i.e., if applicable: DVBE, Small Business, TACPA) and one pdf copy on a thumb drive.

F. Proposals must be submitted no later than 2:00 p.m., 9/17/2024, and addressed as follows (reference Section C1, Time Schedule):

Proposals received after this time and date will be rejected and returned unopened.

The proposal package/envelope must be plainly marked with the RFP number and title, your firm name, address, and must be marked with "DO NOT OPEN", as shown in the following example:

1ST SEALED PACKAGE/ENVELOPE 2ND SEALED PACKAGE/ENVELOPE

Agency/Firm Name Address RFP Number 64A0281 RFP Title FTA Drug and Alcohol Oversight

TECHNICAL PROPOSAL

DO NOT OPEN

Agency/Firm Name Address RFP Number 64A0281 RFP Title FTA Drug and Alcohol Oversight

COST PROPOSAL

DO NOT OPEN

Proposals not submitted under sealed cover and marked as indicated may be rejected. If the proposal is made under a fictitious name or business title, the actual legal name of proposer must be provided.

G. Proposals must be submitted for the performance of all services described herein. Any deviation from the work specifications will not be considered and will cause a proposal to be rejected.

H. Proposals (Technical and Cost) must be sealed and labeled (as instructed below). Mail or deliver package to the following location:

Mailed Or *Deliver To:

Department of Transportation Division of Procurement and Contracts Attention: Erik Groen 1727 30th Street, MS-65 Sacramento, CA 95816-7006

In the upper portion of the sealed mailing envelope, label outer package:

RFP Number 64A0281 RFP Title FTA Drug and Alcohol Oversight Firm Name: (Add firm name)

DO NOT OPEN

*If your proposal is hand delivered, you must date, and time stamp it immediately upon arrival. The date/time stamp machine is located in the lobby of the first floor to the right of the security guard station at the address noted above. After date/time stamping, proposals should be placed in the locked bid cabinet located below the time stamp. If the proposal package is too large to be electronically stamped, date/time stamp one of the labels provided and attach it to the proposal package. When the proposal package is too large for the locked bid cabinet, ask the security guard to call the Division of Procurement and Contracts (DPAC) reception desk at (916) 227-6000 to have your proposal package picked up by DPAC staff.

I. A proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. Caltrans may reject a proposal that is not responsive, does not meet the technical standards, or is not from a responsible proposer, or may reject all proposals. Caltrans may also waive any immaterial deviation in a proposal.

Caltrans waiver of immaterial defect shall in no way modify the RFP document or excuse the proposer from full compliance with all requirements if the proposer is awarded the Agreement.

J. Costs for developing proposals and in anticipation of award of the Agreement are entirely the responsibility of the proposer and shall not be charged to the State of California.

K. Only an individual who is authorized to contractually bind the proposing firm shall sign the Proposal/Proposer Certification Sheet, Attachment 3. The signature must indicate the title or position that the individual holds in the firm. The proposer’s proposal may be rejected if the Proposal/Proposer Certification Sheet is not signed.

L. A proposer may modify a proposal after its submission by withdrawing its original proposal and resubmitting a new proposal prior to the proposal submission deadline. Proposal modifications offered in any other manner, oral or written, will not be considered.

M. A proposer may withdraw its proposal by submitting a written withdrawal request to Caltrans that is signed by the proposer or an authorized agent. A proposer may thereafter submit a new proposal prior to the proposal submission deadline. Proposals may not be withdrawn without cause subsequent to proposal submission deadline.

N. Caltrans may modify the RFP up to the specified time of the date fixed for submission of proposals by the issuance of an addendum to all parties who received a proposal package.

All addenda prior to the submission deadline are also posted on Cal eProcure:

(https://caleprocure.com/pages/index.aspx)

O. Caltrans reserves the right to reject all proposals for reasonable cause.

P. Proposers are cautioned to not rely on Caltrans during the evaluation to discover and report to the proposer any defects and errors in the submitted documents. Before submitting their documents, proposers should carefully proof them for errors and adherence to the RFP requirements.

Q. Where applicable, proposer should carefully examine work sites and specifications.

Proposer shall investigate conditions, character, and quality of surface or subsurface materials or obstacles that might be encountered. No additions or increases to the agreement amount will be made due to a lack of careful examination of work sites and specifications.

R. More than one (1) proposal or a proposal that includes various options or alternatives from an individual, firm, partnership, corporation or association under the same or different names, will be rejected. Reasonable grounds for believing that any proposer has submitted more than one proposal for the work contemplated herein will cause the rejection of all proposals submitted by that proposer. If there is reason for believing that collusion exists among the proposers, none of the participants in such collusion will be considered in this or future procurements.

13. Evaluation Process

A. Format Requirements

1) At the time of proposal opening, each proposal will be checked for the presence and/or absence of required information in conformance with the submission requirements of this RFP. Proposals that do not provide requested information may be rejected as non-responsive.

2) Proposals that contain false or misleading statements, or which provide references, which do not support an attribute or condition claimed by the proposer, shall be rejected.

B. Evaluation of Proposals

1) Caltrans will evaluate each proposal to determine its responsiveness to Caltrans needs.

Proposals meeting the Minimum Qualifications will be further assessed by an evaluation committee. Technical Proposals of Proposers that are determined to be responsive will be rated by the evaluation committee using a consensus process. The Consensus scoring will be based on the scoring method listed below:

Evaluation Factor/Sub Factor Weight X Consensus = Weighted (as stated in the Criteria for Evaluation) Rating Score

Consensus Rating (Range: 0-4)

Rating Definitions

4 Exceeded All Requirements 3 Partially Exceeded Requirements 2 Met All Requirements 1 Partially Met Requirements 0 Requirements Not Met

Example only:

Weight Consensus

Rating Weighted

Score

Contractor's Approach to Technical Work

2 X 3 = 6

2) Phase 1: Technical Proposal Evaluation

Technical Proposals that are determined to be responsive and meet the proposal submission requirements will be evaluated and scored in accordance with Phase I:

Criteria for Evaluation of Consultants’ Technical Proposal, Attachment 5. Only those proposers receiving a minimum score of 111 or above will move on to Section (C), Cost Proposal Opening. Those Technical Proposals receiving less than the above minimum score will not receive further consideration.

C. Cost Proposal Opening

Cost Proposals will be opened for proposers who met the required minimum score in the Technical Proposal Evaluation. The final selection will be made on the basis of the lowest responsive Cost Proposal from a responsible Proposer. Bid opening will be held via teleconference at 2:30 p.m. on the date specified in Section C, Proposal Requirements and Information, Item 1, Time Schedule. Proposers may participate via teleconference by calling 1-866-700-7952 and entering the pass code 7089821#.

Calls will be accepted beginning at 2:20 p.m. until the conclusion of the bid opening.

Cost Proposals will be read in Agreement numeric order; questions will not be allowed;

and information will not be repeated. Initial proposal opening results will be posted online on the Division of Procurement and Contracts website at https://dot.ca.gov/programs/procurement-and-contracts/bid-results by 3:00 p.m. on the day following the proposal opening.

D. Miscellaneous Award Issues

Caltrans does not negotiate rates and/or costs listed on any Cost Proposal submitted for the RFP.

Factor/Sub Factor

If no proposals are received containing bids offering a price, which in the opinion of Caltrans is a reasonable price, Caltrans is not required to award an Agreement (Pub.

Cont. Code Section 10344[d]).

The proposer is advised that should this RFP result in an award of an Agreement, the Agreement will not be in force and no work shall be performed until the Agreement is fully approved by Caltrans and the proposer is notified by the Contract Manager to begin work.

In the event of a precise tie, lots will be drawn to determine the successful proposer, or if applicable, the tie will be broken in accordance with Government Code Section 14838(f).

14. Pre-Award Audit

A. Prior to award of the Agreement, a pre-award audit may be performed. The pre-award audit will be conducted in accordance with generally accepted governmental auditing standards as promulgated by the United States General Accounting Office. The scope of the audit will consist of such tests as the auditors consider necessary to assure that the proposal satisfactorily meets the requirements outlined in Items 1-3 below prior to execution of the Agreement. Upon completion of a pre-award audit, if, in Caltrans judgment, one or more of these requirements is not satisfactorily met, Agreement award may be canceled.

B. At the time of the pre-award audit, the proposal must demonstrate through actual historical data that its accounting system is capable of accumulating and segregating reasonable, allocable and allowable costs. For new businesses, if actual historical data is unavailable or the accounting system is newly implemented, the system will be tested to determine whether the accounting system is adequate and, if necessary, recommend that an interim audit be performed. At a minimum, the proposal must have an accounting system that meets the following objectives:

The ability to record and report financial data in accordance with generally accepted accounting principles and the Code of Federal Regulations, Title 48, Federal Acquisition Regulations System (FAR), Chapter 1, Part 31.

The ability to accumulate and segregate reasonable, allocable and allowable costs through the use of a cost accounting system.

A system of record keeping ensuring that costs billed Caltrans will be supported by adequate documentation and in compliance with the terms of the Agreement and applicable Federal and State regulations.

Procedures to retain accounting records and source documentation as required by the terms of the Agreement and applicable Federal and State regulations.

A system of internal control, which provides reasonable assurance that assets are protected; financial data, records and statements are reliable; and errors and irregularities are promptly discovered, reported and corrected.

C. The proposer must be financially capable of performing the work.

D. The costs proposed must be reasonable.

15. Award and Protest

A. Cost Proposal results may be viewed on the internet at 3:00 p.m. on the first (1st) business day following the Cost Proposal due date at: https://dot.ca.gov/programs/procurement-and-contracts/bid-results.

B. Notice of Intent to Award shall be posted at Caltrans, 1727 30th Street, Sacramento, 95816 (1st floor Lobby display case), and on the following Internet site:

https://dot.ca.gov/programs/procurement-and-contracts/notices-of-intent-to-award for five (5) working days prior to awarding the Agreement.

C. Proposers have the right to protest the award of Caltrans Agreements subject to the following grounds, processes, and procedures.

If any proposer, prior to the award of Agreement, files a protest with Caltrans, Bid, Protest, and Dispute Unit on the grounds that the (protesting) proposer would have been awarded the Agreement had the Agency correctly applied the evaluation standard in the RFP, or if the Agency followed the evaluation and scoring methods in the RFP, the Agreement shall not be awarded until either the protest has been withdrawn or the State has decided the matter. It is suggested that you submit any protest by certified or registered mail to:

Department of Transportation Division of Procurement and Contracts

Attention: Bid, Protest, and Dispute Branch Chief 1727 30th Street, MS 65 Sacramento, CA 95816

Phone Number: (916) 639-6340 Email: DPAC.Protest.Disputes.Terminations@dot.ca.gov

Within five (5) days after filing the initial protest, the protesting proposer shall file with Caltrans, Bid, Protest, and Dispute Unit, a full and complete written statement specifying the grounds for the protest. It is suggested that you submit this complete written statement by certified or registered mail.

D. Upon award of the Agreement, proposer must complete and submit to Caltrans the Payee Data Record (STD 204), to determine if the proposer is subject to State income tax withholding pursuant to California Revenue and Taxation Code Sections 18662. This form can be found on the Internet at https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf.

No payment shall be made unless a completed STD 204 has been returned to Caltrans.

16. Disposition of Proposals

Upon proposal opening, all documents submitted in response to this RFP will become the property of the State of California and will be regarded as public records under the California Public Records Act (Government Code Section 6250 et seq.) and subject to review by the public. The State cannot prevent the disclosure of public documents. However, the contents of all proposals, draft proposals, correspondence, agenda, memoranda, working papers, or any other medium which discloses any aspect of a proposer's proposal, shall be held in the strictest confidence until the “Notice of Intent to Award” is posted. We recommend that you register the copyright for any proprietary material submitted.

17. Standard Conditions of Service

A. Service shall be available no sooner than the express date set by Caltrans and the proposer, after all approvals have been obtained and the Agreement is fully executed.

Should the proposer fail to commence work at the agreed upon time, Caltrans, upon five (5) days written notice to the Contractor, reserves the right to terminate the Agreement. In addition, the proposer shall be liable to the State for the difference between proposer’s proposal price and the actual cost of performing work by the second lowest proposer or by another Contractor.

B. All performance under the Agreement shall be completed on or before the termination date of the Agreement.

C. Antitrust Provisions

In submitting a bid to a public purchasing body, the proposer offers and agrees that if the proposal is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C.

Sec. 15) or under the Cartwright Act Chapter 2, commencing with Section 16700, of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the proposer for sale to the purchasing body pursuant to the proposal. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the proposer (See Government Code Section 4552).

If the awarding body or public purchasing body receives, either through judgment or settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor shall be entitled to receive reimbursement for actual legal costs incurred and may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid.

Upon demand in writing by the assignor, the assignee shall, within one year from such demand, reassign the cause of action assigned under this part if the assignor has been or may have been injured by the violation of law for which the cause of action arose and

(a) the assignee has not been injured thereby, or (b) the assignee declines to file a court action for the cause of action (See Government Code section 4554).

D. Loss Leader usage is prohibited in this solicitation: It is unlawful for any person engaged in business within this State to sell or use any article or product as a "loss leader" as defined in Section 17030 of the California Business and Professions Code. "Loss Leader" means any article or product sold at less than cost: a) where the purpose is to induce, promote or encourage the purchase of other merchandise; or b) where the effect is a tendency or capacity to mislead or deceive purchasers of prospective purchasers; or c) where the effect is to divert trade from or otherwise injure competitors.

E. No oral understanding or agreement shall be binding on either party.

F. If the proposer is awarded the Agreement and refuses to sign the Agreement presented for signature within the time and manner required, the proposer will be liable to Caltrans for actual damages resulting to Caltrans therefrom or ten percent (10%) of the amount proposed, whichever is less.

D) Special Program(s)

The following Special Program(s) are applicable to this RFP.

Disadvantaged Business Enterprise (DBE) Program

This solicitation and resultant Agreement are financed in whole or in part with Federal funds and therefore subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." In compliance with 49 CFR 26, Caltrans set an overall annual DBE goal comprising both race neutral and race conscious elements. To ensure equal participation for DBE groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation.

The required goal for DBE participation in this solicitation is twenty percent (20%).

To ensure applicable participation of the specified DBEs as defined in 49 CFR 26.5, this solicitation’s goal applies to all certified DBEs. Only certified DBE participation will count toward the Agreement goal for this solicitation. DBE participation will count toward Caltrans’ Federally mandated overall annual DBE goal. In order to ascertain whether its overall annual DBE goal is being achieved, Caltrans tracks DBE participation on all Federal-aid contracts.

It is the bidder’s responsibility to verify that the DBE firm is certified as a DBE by the specified bid submittal due date and time. For a list of DBEs certified by the California United Certification

Program (CUCP), go to: https://dot.ca.gov/programs/civil-rights.

Proposer shall complete and submit Bidder/Proposer Disadvantaged Business Enterprise (DBE) Information (ADM 0227F) and/or Bidder/Proposer Disadvantaged Business Enterprise (DBE) Good Faith Efforts Documentation (ADM0312) for detailed information and the required forms. Required forms will be made a part of the Agreement. Failure to meet the DBE goal or Good Faith Effort requirements and provide required DBE participation may result in the proposal being rejected as non-responsive. The ADM-0227F must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0227F and the ADM-0312F must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0312F.

The requirement to advertise for the purpose of identifying potential DBEs is waived. Small Business Enterprise or Microbusiness Preference

A. Government Code Section 14835 et seq. requires that a five percent (5%) preference be given to contractors who qualify as a Certified SB or MB. References to a small business (SB) shall also include micro-business (MB). The rules and regulations of this law, including the definition of a SB for the delivery of services, are contained in Title 2, California Code of Regulations, Section 1896 (2 CCR Section 1896) et seq.

B. To claim the SB or MB preference, Contractor must have its principal place of business located in California, satisfy all of the SB or MB requirements, and be certified by the California Department of General Services (DGS), Office of Small Business and Disabled Veteran Business (DVBE) Services (OSDS). The preference amount may not exceed fifty thousand dollars ($50,000) for any bid. If prospective contractor is claiming the five percent (5%) certified SB or MB preference, complete the Proposal/Proposer Certification Sheet, Section 16, (Attachment 3) and attach a copy of your certification. Additionally, Contractor may satisfy the non-SB requirements described below.

C. Pursuant to Government Code Section 14838 and 2 CCR Section 1896, if a bidder is not a certified SB, but wishes to be eligible for the five percent (5%) non-small business (NSB) preference, the bidder must subcontract at least twenty five percent (25%) of its net bid price to one or more certified SBs. If bidder is claiming the five percent (5%) non-SB (NSB) preference, complete Proposal/Proposer Certification Sheet, Attachment 3 and Subcontracting Provision/List, ADM-1511 (https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM1511). The bidder shall list the names of all certified SB firms being claimed for credit.

D. This preference shall not be awarded to a noncompliant bidder and shall not be used to achieve any applicable minimum requirements.

E. Certified SB and MB bidder(s) shall have precedence over NSB bidders in the application of SB preference(s).

F. SB preferences may not be applied to any bid deemed non-responsive with the solicitation instructions or from a non-responsible bidder.

G. Questions regarding the certification approval process or SB program should be directed to OSDS at (800) 559-5529 or (916) 375-4940, or by email: osdshelp@dgs.ca.gov.

H. SB or MB bidders or bidders using the “Non-Small Business” preference shall be granted a preference consisting of five percent (5%) of the lowest responsible bidder’s total bid if the lowest bid is from a non-certified SB or MB.

I. Additional references are at https://www.dgs.ca.gov/PD/Services/Page- Content/Procurement-Division-Services-List-Folder/Certify-or-Re-apply-as-Small-Business- Disabled-Veteran-Business-Enterprise.

Attachment 1

Sample Cost Proposal Worksheet

Cover Page Table 1 Total Costs* Per Task

Total Not to Exceed Costs for Task 1 $

Total Not to Exceed Costs for Task 2 $

Total Not to Exceed Costs for Task 3 $

Total Not to Exceed Costs for Task 4 $

Total Not to Exceed Costs for Task 5 $

Total Not to Exceed Costs for Task 6 $

Total Not to Exceed Costs for Task 7 $

Total Not to Exceed Costs for Contingency Task 8 $

Total Not to Exceed Costs for Contingency Task 9 $

Total Not to Exceed Costs for Contingency Task 10 $

* Grand Total for this Agreement $

Notes:

*Total Costs for Tasks Table 1 shall include Prime Contractor and all Subcontractors costs.

Table 2 Total Costs for Prime and Each Subcontractor

Prime Contractor (firm name) Total Costs (for this Agreement) $

Subcontractor 1 (firm name) Total Costs (for this Agreement) $

Subcontractor 2 (firm name) Total Costs (for this Agreement) $

Subcontractor 3 (firm name) Total Costs (for this Agreement) $

* Grand Total for this Agreement $

Notes:

*Grand Total in Table 1 and Table 2 should match.

**Be sure to include cell phone reimbursement costs ODCs for Task 4.1 if applicable.

Attachment 1

Cost Breakdown for Task 1

Prime Contractor: (Firm Name)

Direct Labor Cost

Personnel (Name and Title) Hours Rate* (per hour) Total (Hours X Rate)

Staff Name: Project Manager _____hrs. @ $_____ $_____

Staff Name: Clerical _____hrs. @ $_____ $_____

Staff Name: Title _____hrs. @ $_____ $_____

Staff Name: Title _____hrs. @ $_____ $_____

Sub Total – Labor Cost _____hrs. N/A $_____

Other Direct Costs (except labor)

Research $_____

Supplies $_____

Travel $_____

Other Direct Costs (itemize) $_____

Sub Total – Other Direct Costs (except labor) $_____

Prime Contractor (Firm Name) Total Cost for Task 1 $_____

Prime Contractor (Firm Name) Total Costs by Sub-Task for Task 1