HSR23-15_Sample_RFP_Sample_Agreement_Official.pdf

California High-Speed Rail Authority RFP No.: HSR23-15

Page i of iv Request for Proposals (Secondary) for Rolling Owner-Controlled Insurance Program (ROCIP) Services

Table of Contents

Request for Proposals (Secondary) for Rolling Owner-Controlled Insurance

Program (ROCIP) Services RFP No.: HSR23-15

July 15, 2024

Page ii of iv Request for Proposals (Secondary) for Rolling Owner-Controlled Insurance Program (ROCIP) Services Table of Contents

Table of Contents

1.0 CALIFORNIA HIGH-SPEED RAIL AUTHORITY BACKGROUND

2.0 PURPOSE AND OVERVIEW OF RFP

2.1 Brief Description of Services………………………………………….………………..3

2.2 Definitions………………………………………………………………………………..4

2.3 Acronyms…………………………………………………………………………………7

3.0 PROCUREMENT SCHEDULE AND PROCESS

3.1 Authority’s Designated Point of Contact………………………………………………9

3.2 Addenda to the RFP…………………………………………………………………….9

3.3 Non-Commitment of Authority………………………………………………………..9

3.4 Property Rights…………………………………………………………………………10

3.5 Non-Exclusiveness of Subcontractors……………………………………………….10

3.6 Improper Communications and Contacts ……………………………………………….10

3.7 Organizational Conflicts of Intntrerest……………………………………………….12

3.7.1 Organizational Conflicts of Interest for Future Contracts……….…….………

3.8 Confidentiality…………………………………………………………………………..15

3.9 Executive Order N-6-22 - Russia Sanctions………………………………….…….15

3.10 Executive Order N-12-23 – Generative Artificial Intelligence (GenAI)…………...15

3.11 Unruh Civil Rights Act and the Fair Employment and Housing Act……………... 16

4.0 SUBMITTAL OF THE PROPOSALS

4.1 Proposal Submittal Information……………………………………………………….16

4.2 Late Submittals…………………………………………………………………………17

4.3 Modification or Withdrawal of Proposals…………………………………………….17

5.0 PROPOSAL REQUIREMENTS

5.1 General Requirements………………………………………………………………...18

5.2 PART 1, ADMINISTRATE RESPONSE

5.2.1 Proposal Minimum Requirements

5.2.2 Transmittal Letter

5.2.3 Forms and Certifications

5.3 PART 2, TECHNICAL PROPOSAL

5.3.1 Contents of the Technical Proposal

5.3.2 Firm Experience and Qualifications

5.3.3 Past Performance and Experience as a Team . Error! Bookmark not defined.

5.3.4 Individual Experience and Qualifications

5.3.4.1 Personnel and Staffing Plan……………………………………………………..25

5.3.5 Risk Management Information Systems

5.3.6 Conceptual Marketing Approach

Page iii of iv Request for Proposals (Secondary) for Rolling Owner-Controlled Insurance Program (ROCIP) Services

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5.3.7 Small Business Participation

5.3.7.1 Small Business Requirements

5.3.7.2 Preferences and Incentives

5.3.7.3 Small Business Proposer

5.3.7.4 Non-Small Business Proposer

5.3.7.5 Small Business Program Contractual Requirements

5.4 PART 3, COST PROPOSAL

6.0 EVALUATION

6.1 Proposal Review……………………………………………………………………….29

6.2 Proposer Evaluation…………………………………………………………………...30

6.2.1 Minimum Requirements

6.2.2 Technical Proposal Evaluation

6.2.3 Cost Proposal Evaluation

6.3 Combined Proposal Scores…………………………………………………………..31

6.4 Notice of Intent to Award………………………………………………………………31

6.5 Protest…………………………………………………………………………………..31

6.6 Execution and Award Process………………………………………………………..33

6.7 No Agreement Until Signed and Approved………………………………………….33

6.8 Debriefing……………………………………………………………………………….33

6.9 Confidentiality…………………………………………………………………………..33

List of Tables Table 1: Key RFP Dates:

The remainder of this page is intentionally left blank.

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List of Attachments Attachment A: Minimum Requirements Checklist Attachment B: Criteria for Awarding Points for the Proposal Attachment C: Criteria for Awarding Points for the Total Score Worksheet Attachment D: Cost Proposal Attachment E: Sample Agreement, including Exhibit A (Scope of Work) through Exhibit

E Attachment F: Supplemental Resume and Work History

List of Forms and Certifications Form A: Bidder Declaration Form B: Organizational Conflicts of Interest Disclosure Statement Form C: Disabled Veteran Business Enterprise Declaration

Cert. 1: Contractor Certification Clauses (CCC-04/2017) Cert. 2: Payee Data Record (STD 204) Cert. 3: Proposer’s Overall Project Small Business Goal Commitment Certification Cert. 4: Iran Contracting Act Verification Form Cert. 5: Darfur Contracting Act Certification Cert. 6: Major Participant Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification Cert. 7: Subcontractor Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification Cert. 8: Non-Collusion Certification Affidavit Cert. 9: Equal Employment Opportunity Certification Cert. 10: Non-Discrimination Certification Cert. 11: Certification Regarding Lobbying Cert. 12: California Civil Rights Laws Certification Cert. 13: GenAI Disclosure & Factsheet

1.0 California High-Speed Rail Authority 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. The high-speed rail system will connect the mega-regions of the State, contribute to economic development and a cleaner environment, create jobs and preserve agricultural and protected lands. When it is completed, trains will run from San Francisco to the Los Angeles basin in under three hours at speeds capable of exceeding 200 miles per hour.

The high-speed rail system will eventually extend to Sacramento and San Diego, totaling 800 miles with up to 24 stations. In addition, the Authority is working with regional partners to implement a Statewide rail modernization plan that will invest billions of dollars in local and regional rail lines to meet the State’s 21st century transportation needs.

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 agency to enter into an agreement resulting from this RFP (Agreement) includes, but is not limited to, Public Contract Code sections 10335, et seq.

The Authority has been awarded federal funding for the overall California High-Speed Rail project, which includes the Work that is contemplated in this procurement process.

The awards funds provided by the Federal Railroad Administration (FRA) and funds made available through the American Recovery and Reinvestment Act of 2009 (ARRA) as well as additional FRA, U.S. DOT, or other Federal agency Grant/Cooperative agreements, 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) www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001- 1050/sb_1029_bill_20120718_chaptered.pdf California High-Speed Rail Program 2024 Business Plan (2024) https://hsr.ca.gov/about/high-speed-rail-business-plans/2024-business-plan/ US DOT FRA Grant/Cooperative Agreement FR-HSR-009-10-01 (and subsequent amendments) www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/HSRFRA_Cooperativ eGrantAgreement_Amendment6_051816_Redacted.pdf US DOT FRA Grant/Cooperative Agreement FR-HSR-0118-12-01-00 (and subsequent amendments) http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-1050/sb_1029_bill_20120718_chaptered.pdf http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-1050/sb_1029_bill_20120718_chaptered.pdf https://hsr.ca.gov/about/high-speed-rail-business-plans/2024-business-plan/ http://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/HSRFRA_CooperativeGrantAgreement_Amendment6_051816_Redacted.pdf http://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/HSRFRA_CooperativeGrantAgreement_Amendment6_051816_Redacted.pdf

Request for Proposals (Secondary) for Rolling Owner-Controlled Insurance Program (ROCIP) Services https://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-0118- 12-01-00.pdf

2.0 Purpose and Overview of RFP

The following list provides a general overview of information related to the subject of this Request for Proposals (RFP). Capitalized terms are defined in Section 2.2.

1. The Authority is issuing this RFP to receive Proposals from qualified firms (Proposers) to provide Rolling Owner-Controlled Insurance Program (ROCIP).

2. This procurement will be based on the combined Technical Proposal and Cost Proposal scores of Proposals meeting minimum requirements per Section 6.0, Evaluation of this RFP. Responsive Proposals submitted in response to this RFP will be evaluated with the intent of awarding an Agreement to the Proposer with the highest score. By submitting a Proposal, Proposers agree to be bound by and meet all of the requirements and obligations specified in this RFP, as amended.

3. The selected Proposer may work with the Federal Railroad Administration, Department of Finance, the Governor’s Office, Attorney General’s Office, California State Treasurer, California State Transportation Agency, other partnering agencies, and Authority contractors.

4. The Agreement period will start upon DGS approval of the Agreement and will extend until August 31, 2026. The Work will start with a Notice to Proceed (NTP). No Work may begin prior to the receipt of an NTP.

5. The total dollar value for the Agreement resulting from this RFP will not exceed $1,200,000.00. Executing an Agreement is not a guarantee of Work; the actual amount of Work requested by the Authority under the Agreement may be less.

6. The Authority established a “Small and Disadvantaged Business Enterprise Program” on August 2, 2012. On November 2, 2023, the Authority updated the High-Speed Rail Small Business Program (HSR SB Program) goals. The Authority’s updated small business program plan, the “High-Speed Rail Small Business Program Plan” (HSR SB Program Plan), supersedes the above-referenced program. This Agreement is a contract funded by state dollars only. For 100% state funded contracts, the HSR SB Program Plan establishes a twenty-five (25) percent SB goal, which includes a three

(3) percent MB goal; and a separate three (3) percent DVBE goal. The goals will be applied across the total contract value. (The Authority’s HSR SB Program Plan is available on the Authority’s website https://hsr.ca.gov/business-opportunities/small-business-program/.) The Contractor shall be responsible for complying with the HSR SB Program Plan, including all reporting requirements.

7. Further details about the Authority’s HSR SB Program and the HSR SB Program Plan goals may be found on the Authority’s website at: https://hsr.ca.gov/business-opportunities/small-business-program/.

https://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-0118-12-01-00.pdf https://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-0118-12-01-00.pdf https://hsr.ca.gov/business-opportunities/small-business-program/ https://hsr.ca.gov/business-opportunities/small-business-program/

8. This RFP will be available in electronic format on the State’s Contract Register at https://caleprocure.ca.gov/pages/index.aspx.

9. All questions regarding this RFP must be submitted in writing to the email address of the Authority’s Designated Point-of-Contact in Section 3.1 of this RFP by the date and time listed in Section 3.0, Table 1, Key RFP Dates. All such questions should use the subject line: RFP HSR23-15 Rolling Owner-Controlled Insurance Program.

Responses to questions submitted will be posted on the State’s Contract Register.

2.1 Brief Description of Services

It is the intent of the Authority to establish a Rolling Owner-Controlled Insurance Program (ROCIP) of general and excess liability insurance for the High-Speed Rail Program, excluding the on-going work related to Construction Package 1 (CP 1), Construction Package 2-3 (CP 2-3), and Construction Package 4 (CP 4). In addition, the Authority intends to establish a Builder’s Risk/Property insurance program to insure its projects and assets.

Total liability insurance coverage limits shall meet or exceed the minimum requirements of the Union Pacific Railroad (UPRR) and the Burlington Northern Santa Fe Railroad (BNSF) of $200,000,000. The term of this agreement shall not be more than three (3) years, as the Authority intends to procure this service in three-year increments. The successful Proposer/Contractor shall work in close coordination with the Authority and the Authority's consultants and representatives to serve the best interests of the Authority.

The successful Proposer/Contractor's services shall not overlap or conflict with the services of the consultants and representatives of the Authority. If the Proposer observes in its professional judgment that a gap or overlap exists in of services of other representatives of the Authority, the Proposer shall so advise the Authority and all parties to collaboratively work to resolve the gap or overlap.

Attachment E, Sample Agreement, Exhibit A, Scope of Work, represents the range of professional services that the successful Proposer may be called upon to deliver throughout the term of the agreement. Depending on the needs of the Authority, the successful Proposer may be called to deliver varying levels and types of ROCIP Brokerage Services or other insurance services as described in more detail in Attachment E, Sample Agreement, Exhibit A, Scope of Work. The actual services to be provided during a given period will be established as directed by the Authority's Contract Manager.

The successful Proposer/Contractor will represent the interests of the Authority, and therefore shall always act as a fiduciary and shall comply with all ethical requirements expected of a fiduciary, including, but not limited to, not acting in the interest of parties other than the Authority. The successful Proposer/Contractor must not act without authorization from the Authority's Contract Manager or an authorized administrator.

https://caleprocure.ca.gov/pages/index.aspx

2.2 Definitions

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

Agreement – A contract between the Authority and the successful Proposer executed as a result of this procurement.

Authority – The California High-Speed Rail Authority.

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

Authority Contract Manager– The representative from the Authority managing the Agreement resulting from this procurement.

Business Day – Monday through Friday, except for federal or State holidays, between the hours of 8:00 a.m. and 5:00 p.m., Pacific Time. Lists of federal and State holidays can be found at www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays and www.calhr.ca.gov/employees/pages/state-holidays.aspx

Commercially Useful Function (CUF) – 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 § 14837, Title 2 CCR § 1896 et seq., and Military and Veteran Code § 999(b)(5). A SB, 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:

4. A SB/MB/SB-PW/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.

Construction Package 1 – The portion of the First Construction Segment currently bounded by Avenue 19 in the County of Madera to the north, and by East American Avenue in the County of Fresno to the south.

Construction Package 2-3 – The portion of the First Construction Segment bounded by East American Avenue in the County of Fresno to the north, and a point approximately one mile north of the Tulare/Kern County line in the County of Tulare to the south.

Construction Package 4 – The portion of the First Construction Segment bounded by a point approximately one mile north of the Tulare/Kern County line in the County of Tulare to the north, and Poplar Avenue in the County of Kern to the south.

Contractor – The successful Proposer that executes the Agreement with the Authority as a result of this RFP.

Day – Calendar Day, unless otherwise noted.

Disabled Veteran Business Enterprise (DVBE) – A for-profit business concern that meets the certification requirements set forth in California Military and Veterans Code section 999(b)(7), including at least fifty -one (51) percent ownership by a veteran of the United States Military who has at least a ten (10) percent service-connected disability. To be counted towards meeting the goals of the SB Program, a DVBE must:

(1) Be certified by the 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.

Key Personnel – Those individuals specified to fulfil the roles specified in RFP Section

5.3.4 and identified in the Proposer’s.

Microbusiness (MB) – A for-profit SB 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 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 SB Program, a MB must be certified by DGS.

Notice to Proceed (NTP) – Authority authorization to a Contractor to commence Work after the execution of an Agreement.

Owner-Controlled Insurance Program (OCIP) – An OCIP is an insurance program where the owner, instead of the contractors, consolidates and procures certain insurance coverages for the Project. It provides insurance coverage (for policies procured within the program) for the owner, contractors, and subcontractors working on the project site.

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

Project – The planning and construction of the California High-Speed Rail System.

Proposal – Proposers’ submissions provided to the Authority in response to this RFP.

Proposer or Prime Proposer – A Person that submits a Proposal in response to this

RFP.

Proposer Team – Collectively, the Proposer and its members and Subcontractors.

Public Records Act – The California Public Records Act, Government Code sections 7920, et seq.

Rolling Owner-Controlled Insurance Program (ROCIP) – See OCIP. The term OCIP is used when referring to the insurance requirements of an individual project. The term ROCIP is used when referring to an entire program.

SB Program/HSR SB Program– The Authority established a Small and Disadvantaged Business Enterprise Program on August 2012. On November 2, 2023, the Authority updated the High-Speed Rail Small Business Program (HSR SB Program) goals. The Authority’s updated small business program plan, the “High-Speed Rail Small Business Program Plan” (HSR SB Program Plan), supersedes the above-referenced program. For more information, refer to https://hsr.ca.gov/business-opportunities/small-business-program/policy-program-plan/.

Small Business (SB) – 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 California Code of Regulations, Title 2 sections 1896.4 (Definitions) and 1896.12 (Eligibility) including that its principal office is located in California, its owners reside in California, and it is not dominant in its field.

Government Code sections 14837 and 14838 provide certification provisions that increase SB three (3) year average Gross Annual Receipts (GARs) eligibility thresholds for existing SB certification programs to:

• $15 million for SB https://hsr.ca.gov/business-opportunities/small-business-program/policy-program-plan/ https://hsr.ca.gov/business-opportunities/small-business-program/policy-program-plan/

• $5 million for MB designation

Government Code sections 14837 and 14838 also identify an SB certification category for the purpose of Public Works contracts/projects (SB-PW) with the following eligibility thresholds:

• $36 million GARs averaged over last three (3) years

• Maximum of 200 employees count in average over the most recent four quarters

To be counted towards meeting the goals of the SB Program, a SB must be certified by

DGS.

Subcontractor – Defined as follows:

a. Prior to award of any Agreement, any Person with whom the Proposer proposes to enter into a subcontract for any part of the Work, or that will enter into a subcontract for any part of the Work, at any tier; or

b. After award of any Agreement, any Person with whom the Proposer has entered into a subcontract for any part of the Work, or with whom any Subcontractor has further subcontracted any part of the Work, at all tiers. For purposes of this RFP, the definition of Subcontractor incorporates both subcontractors and subconsultants.

Work – All of the Work required under the Agreement resulting from this RFP as defined in Attachment E, Sample Agreement, Exhibit A, Scope of Work, and set forth in the Task Orders issued by the Authority’s Contract Manager.

2.3 Acronyms

ARRA American Recovery and Reinvestment Act of 2009 CalSTA California State Transportation Agency Caltrans California Department of Transportation CP 1 Construction Package 1 CP 2-3 Construction Package 2-3 CP 4 Construction Package 4 CUF Commercially Useful Function DB Design-Build DGS California Department of General Services DVBE Disabled Veteran Business Enterprise FOIA Freedom of Information Act FRA Federal Railroad Administration GL General Liability MB Microbusiness

NTP Notice to Proceed PRA Public Records Act ROCIP Rolling Owner Controlled Insurance Program RFP Request for Proposals SB Small Business SB-PW Small Business-Public Works U.S. DOT United States Department of Transportation

3.0 Procurement Schedule and Process

Table 1: Key RFP Dates:

Key Dates Activity Description July 15, 2024 RFP advertised July 26, 2024 Deadline to submit written questions by 12:00 p.m. Pacific Time August 2, 2024 Responses to written questions by 5:00 p.m. Pacific Time August 14, 2024 Proposals due at the address specified in Section 4.1 of this

RFP by 11:00 a.m. Pacific Time. * August 30, 2024 Notice of Proposed Award released by 5:00 p.m. Pacific Time September 1, 2024 Proposed Agreement Start Date

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

3.1 Authority’s Designated Point of Contact

The Authority’s Designated Point of Contact for communications concerning the Project or this RFP shall be as follows:

Kayla Enuka California High-Speed Rail Authority

770 L Street, Suite 620 Sacramento, CA 95814 Phone: (916) 908-0990

Email: Kayla.enuka@hsr.ca.gov

Persons intending to submit Proposals in response to this RFP shall not contact or discuss any items related to this process with any 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 the RFP

The Authority reserves the right to amend the RFP by addendum before the final date of Proposal submission. It is the responsibility of the Proposer to check the State’s Contract Register for all addenda.

3.3 Non-Commitment of Authority

This RFP does not commit the Authority to award a contract, to pay any costs incurred in the preparation of a Proposal in response to this RFP, or to procure or contract for services or supplies. The Authority reserves the right to accept or reject any or all mailto:Kayla.enuka@hsr.ca.gov

Proposals received as a result of this RFP, or to modify or cancel in part or in its entirety the RFP if it is in the best interest of the Authority to do so.

3.4 Property Rights

Proposals 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 RFP shall belong exclusively to the Authority and the State of California. All products used or developed in the execution of any Agreement will be governed in accordance with the Ownership of Data Rights and Patent Rights Sections in Attachment E, Sample Agreement.

3.5 Non-Exclusiveness of Subcontractors

Subcontractors are not precluded from being on more than one Proposer Team, subject to the provisions of Section 3.7, Improper Communications and Contacts. There is no prohibition against Subcontractors being exclusive to one Proposer, however, exclusivity is strongly discouraged for all SB/DVBE Subcontractors.

3.6 Improper Communications and Contacts

For purposes of this section, the definitions of Proposer and Proposer Team shall include potential Proposers and potential Proposer Teams as this section specifically applies to all interested parties from the date of issuance of the RFP. The following rules of contact shall apply during this procurement that began upon the date of issuance of this RFP and will be completed with either the execution of any 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, electronic mail (email), electronic messaging of any kind, or formal written communication. Contact includes direct contact or contact through an intermediary.

The specific rules of contact are as follows:

1. After submittal of Proposals, no Proposer or any of its team members may communicate with another Proposer or its team members with regard to the RFP or any other team’s Proposal with the exception of Subcontractors that are shared between two or more Proposer Teams. In such cases, those Subcontractors may communicate with their respective team members so long as those Proposers establish a protocol to ensure that the Subcontractor will not act as a conduit of information between the teams (contact among Proposer organizations is allowed during Authority sponsored informational meetings). Protocols established to ensure that Subcontractors do not act as conduits of information between teams are subject to Authority review and approval, at the Authority’s discretion.

2. Proposers and their team members shall correspond with the Authority regarding the RFP only through the Authority’s Designated Point of Contact (see Section 3.1 of this

RFP).

3. Except for communications expressly permitted by the RFP or approved in advance by the Authority’s Chief Counsel, in his or her sole discretion, no Proposer or representative thereof shall have any ex parte communications regarding the RFP 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 Project and/or this procurement.

4. Proposers and their team members shall not contact the entities listed below regarding this procurement, either directly or through intermediaries including any employees, representatives, and members regarding this RFP:

a. Federal Railroad Administration (FRA)

b. California State Transportation Agency (CalSTA)

c. California Department of Transportation (Caltrans)

d. California Department of General Services (DGS), except to file a Protest as outlined in Section 6.5 of this RFP

e. California High-Speed Rail Authority, including the Authority Board (except as provided in this RFP)

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

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 RFP process.

8. The Authority does not warrant the accuracy of any information from third parties with respect to this RFP and cautions the Proposers that reliance on any information received from third parties with respect to this RFP is at Proposer’s sole risk.

3.7 Organizational Conflicts of Interest

The use of the term “Proposer” in this section specifically applies to all interested parties from the date of issuance of the RFP including Proposers, potential Proposers, and subcontractors. 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 at: https://hsr.ca.gov/business-opportunities/general-info/organizational-conflict-of-interest-policy/.

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

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

2. Affect the ability of the Proposer, its subcontractors, 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.

An organizational conflict of interest is a circumstance arising out of a Contractor’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:

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

2. An unfair competitive advantage for any Proposer submitting a Proposal on an Authority procurement; or https://hsr.ca.gov/business-opportunities/general-info/organizational-conflict-of-interest-policy/ https://hsr.ca.gov/business-opportunities/general-info/organizational-conflict-of-interest-policy/

3. 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 any conflict of interest is found to exist, the Authority may:

1. Disqualify the Proposer; or

2. Determine that it is otherwise in the best interest of the Authority to contract with such

Proposer and include appropriate provisions to mitigate or avoid such conflict in the Agreement awarded.

Each Proposer shall fully disclose any actual, perceived, or potential organizational conflicts of interest in its Proposal using Form B, Organizational Conflicts of Interest Disclosure Statement. A separate Form B shall be filled out and signed, under penalty of perjury, by the Proposer and to the extent applicable, each unique member of a Proposer’s Team, including all joint venture prime members, if proposing as a joint venture, and all subcontractors. 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 Proposal. The refusal to provide the required disclosure, or any additional information required, may result in disqualification of the Proposer. If nondisclosure or misrepresentation is discovered after award of the Agreement resulting from this procurement process, the Agreement may be terminated.

Note that business relationships on projects other than the California High-Speed Rail project may require disclosure if they involve contractors working on the California High- Speed Rail project.

By submitting its Proposal, each Proposer agrees that, if an organizational conflict of interest is discovered following submittal of the Proposal including after any contract award arising out of this RFP process, the Proposer 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, Contractors are 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 mitigation measures.

If a Proposer 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 with a copy to Tawnya.Southern@hsr.ca.gov. The determination may take between two (2) to four (4) weeks from receipt of all required information and/or documents in the checklist below.

In order to expedite the determination process, the requestor is asked to provide the following information with the request:

mailto:Legal@hsr.ca.gov mailto:Tawnya.Southern@hsr.ca.gov

Organizational Conflict of Interest Checklist:

(1) A summary of each of your company’s current and former contracts with the

Authority, either as a contractor or subcontractor (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 and/or if it is owned, in whole or in part, by another contractor 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, 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) rules of conduct established by applicable professional boards.

If a Proposer requires an expedited organizational conflict of interest review related to this procurement, please immediately consult the Policy and provide the required information to the Chief Counsel at:

Alicia Fowler California High-Speed Rail Authority

Email: Legal@hsr.ca.gov

3.7.1 Organizational Conflicts of Interest for Future Contracts

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

3.8 Confidentiality

Proposers shall not submit confidential information in their Proposals. Any information submitted during the procurement process will be discoverable under a California Public Records Act request after the procurement is complete.

3.9 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. 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.

3.10 Executive Order N-12-23 – Generative Artificial Intelligence (GenAI)

On September 6, 2023, Governor Gavin Newsom issued Executive Order N-12-23 (the EO) regarding Generative Artificial Intelligence. 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.

September 6, 2023, Governor Gavin Newsom issued Executive Order N-12-23 (the EO) regarding Generative Artificial Intelligence. 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.

mailto:Legal@hsr.ca.gov https://www.bing.com/ck/a?!&&p=a8c654d458f64172434e1459118a607616d5f98a0656a1f8d60b14a0af6c7b29JmltdHM9MTY1NjAxODM0NSZpZ3VpZD1mZmQwMTExYy00NWIyLTQ3MDMtODg5Mi0yMzk5MjIxMDVjNTEmaW5zaWQ9NTE2NQ&ptn=3&fclid=3fb5cd13-f338-11ec-9401-126f8b8caa1c&u=a1aHR0cHM6Ly93d3cuZ292LmNhLmdvdi93cC1jb250ZW50L3VwbG9hZHMvMjAyMi8wMy8zLjQuMjItUnVzc2lhLVVrcmFpbmUtRXhlY3V0aXZlLU9yZGVyLnBkZg&ntb=1

The State has developed a GenAI Disclosure & Factsheet (STD 1000) to be completed by the Bidder/Offeror.

Failure to disclose GenAI to the State and submit the GenAI Disclosure & Factsheet will result in disqualification of the Bidder/Offeror and 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. Upon receipt of a Bidder/Offeror GenAI Disclosure & Factsheet, 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.

3.11 Unruh Civil Rights Act and the Fair Employment and Housing Act

Pursuant to Public Contract Code section 2010, the Proposer has a completed Cert. 12: California Civil Rights Laws Certification, certifying compliance with the following:

1. California Civil Rights Laws: For contracts over $100,000 executed or renewed after January 1, 2017, the Proposer certifies compliance with the Unruh Civil Rights Act (section 51 of the Civil Code) and the Fair Employment and Housing Act (section 12960 of the Government Code);

and,

2. Employer Discrimination Policies: For contracts over $100,000 executed or renewed after January 1, 2017, if a Proposer has an internal policy against a sovereign nation or peoples recognized by the United States government, the Proposer certifies that such policies are not used in violation of the Unruh Civil Rights Act (section 51 of the Civil Code) or the Fair Employment and Housing Act (section 12960 of the Government Code).

4.0 Submittal of the Proposals

4.1 Proposal Submittal Information

Proposals submitted in response to this RFP shall be mailed or hand delivered to:

If hand-delivered:

Attention: Kayla Enuka California High-Speed Rail Authority

770 L Street, Suite 620 Sacramento, CA 95814

If delivered by mail:

Attention: Kayla Enuka California High-Speed Rail Authority

770 L Street, Suite 620 MS 7

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

RFP No.: HSR23-15

California High-Speed Rail Authority

Rolling Owner-Controlled Insurance Program Proposal

Due to building access restrictions, Proposers that will hand deliver their Proposals are requested to notify the Authority’s Designated Point of Contact identified in Section 3.1 at least twenty-four (24) hours before their anticipated arrival time. Proposers that will deliver their Proposals by mail are requested to notify the Authority’s Designated Point of Contact of the expected delivery date.

4.2 Late Submittals

In accordance with California Public Contract Code section 10344, Proposals received after the specified date and time are considered late and will not be accepted. There are no exceptions to this law. Postmark dates of mailing, email, and facsimile are not accepted under any circumstances and are not acceptable toward meeting the submission deadline for Proposal delivery. A Proposal is late if received any time after the date and time listed in Section 3.0, Table 1, Key RFP Dates. Proposals received after the specified time will not be considered and will be returned unopened to the Proposer.

Proposers are responsible for requesting a receipt or delivery confirmation for delivery of their Proposal packages.

4.3 Modification or Withdrawal of Proposals

Any Proposal received may be withdrawn or modified before the Proposal submittal deadline by written request to the Authority that is signed by the Proposer or an authorized agent. A Proposer may thereafter submit a new Proposal prior to the Proposal Due Date.

The only method for a Proposer to modify its Proposal is by withdrawing its submission in its entirety prior to the Proposal deadline, by written notification to the Authority. A complete, corrected submission package may be resubmitted prior to the Proposal deadline. Modifications offered in any other manner will not be considered.

5.0 Proposal Requirements

Proposers shall include one (1) original and seven (7) hard copies in separate three (3) ring binders in its submittal containing both its Technical Proposal and its Cost Proposal

Proposer:

in a sealed package or packages. The original must be clearly marked “Original” on its face and spine, and each copy must be marked with the Proposer’s name and numbered one (1) through seven (7) on their spines.

Each Proposer shall include one (1) electronic version of its Proposal in a printable and searchable PDF format in a read-only format on two (2) searchable Advanced Encryption Standard USB drives with 256-bit encryption. The USB drives shall be included with the Proposal in a sealed package separate from the set of binders. A single password to decrypt both USB drives shall be included with the Proposal in another sealed package separate from the sealed package containing the USB drives. The PDF should not be password protected. Note: Proposers shall not provide content that utilizes Adobe Flash Player as Adobe discontinued Adobe Flash Player as of December 31, 2020.

Proposals must be received in the specified location no later than the date and time listed in Section 3.0, Table 1, Key RFP Dates and addressed in accordance with Section 4.1, Proposal Submittal Information. All additional Proposal packages may contain photocopies of the original package. Emailed or faxed Proposals are not acceptable and will not be considered.

The following summarizes the content and organization of the Proposal. In addition to the information described below, the Authority may require confirmation or clarification of information furnished by a Proposer. Omissions, inaccuracies, or misstatements will be sufficient cause for rejection of a Proposal.

5.1 General Requirements

The Proposal shall be typewritten and shall be manually or digitally signed. Forms and Certifications may be completed in ink, though providing typewritten Forms and Certifications is preferred. All documents contained in the original Proposal package must have original or digital signatures and must be signed by a person who is authorized to bind the Proposer or Proposer Team members, as applicable. Proposals that contain false or misleading statements or that provide conditional statements or alternate terms and conditions, may be rejected.

RFP requirements and guidelines:

1. Documents should be prepared in single-spaced type, 12-point Arial font, on 8-1/2” x 11” sheets printed double-sided. Smaller font may be utilized for graphics labels, charts, figures, tables, and footnotes. A page is considered to be a single side of an 8-1/2” x 11” sheet. Should the Proposer wish to submit materials that benefit from larger format paper sizes such as charts, drawings, graphs, and schedules they should do so sparingly. Large format pages will be included in the page limit.

2. Pages should be numbered to show the page numbers and total number of pages in the response; (e.g., Page 1 of 30, Page 2 of 30, etc.). Pages should be numbered at the bottom of the page.

3. The Proposal shall be no more than thirty (30) pages in length, exclusive of the Transmittal Letter, References and all the required attachments which are not included in the page count. The cover page, table of contents/exhibits, section dividers, and samples of previous work products are also exclusive of the thirty (30) page limit. Any Proposal pages in excess of thirty (30) pages will be eliminated and not evaluated.

4. Brochures, extraneous publications such as published articles, directories, lengthy client lists, and other miscellaneous materials not specifically requested will not be evaluated.

5. If submitting as a team, identify which entity is the Proposer or lead joint venture partner (if applicable).

6. Identify the individual who will be the point of contact authorized to bind the Proposal.

7. Unless otherwise provided, all names and applicable titles shall be typed or printed below the signatures.

8. Form A through C and Certification Numbers 1 through 12 must be signed and included. If erasures or other changes appear on the forms, each erasure or change shall be initialed and dated by the person signing the response.

9. The Proposal shall be divided into sections as described below:

a. A blank page should precede each section with an index tab extending beyond the side of the page; these blank pages will not be counted within the page count.

b. The index tab should have the appropriate section number typed thereon.

c. At a minimum, the items described in Section 5.0, Proposal Requirements, shall be addressed.

d. Sections in the Proposal should be presented in the same order as they appear in this RFP.

5.2 Part 1, Administrative Response

5.2.1 Proposal Minimum Requirements

Proposers must satisfy all of the Minimum Requirements listed below. Failure to satisfy all of the Minimum Requirements at the time of Proposal submission, unless otherwise specified, may result in the immediate rejection of the submission. The Authority, at its sole discretion, reserves the right to request clarifications of the Minimum Requirements.

The Minimum Requirements for this RFP are as follows:

1. The Proposer shall satisfy the requirements of Section 5.2.2, Transmittal Letter.

2. The Proposer shall satisfy all the requirements of Section 5.3.2, Firm Experience and Qualifications.

3. The Proposer shall satisfy all the requirements of Section 5.3.3, Past Performance and Experience as a Team.

3. The Proposer shall satisfy all the requirements of Section 5.3.4, Individual Experience and Qualifications.

4. The Proposer shall satisfy all the requirements of Section 5.3.5, References.

5. The Proposer shall satisfy all the requirements of Section 5.3.6, Risk Management Information Systems.

6. The Proposer shall satisfy all the requirements of Section 5.3.6, Conceptual Marketing Approach.

7. Proof of Insurance Brokerage license issued by the California Department of Insurance, as required to perform services specified in this Agreement.

5.2.2 Transmittal Letter

The Proposal shall be transmitted with a letter that must identify, be signed by, and include the contact information for an owner, officer, or other duly authorized representative to bind the Proposer contractually and shall contain a statement that indicates the Proposal is complete and accurate.