RFP_54A0073.pdf

The following is a list of documents which should be included in your Internet Package.

Form Name Attachment No # Pages Request for Proposal- Cover Letter 1 Request for Proposal 15 Sample Cost Proposal Worksheet 1 3 Contractor Certification Clauses (CCC-307) 2 4 Proposal/Proposer Certification Sheet 3 2 Darfur Contracting Act 4 1 Bidder Declaration, GSPD-05-105 5 2 California Disabled Veteran Business Enterprise (DVBE) Declaration STD 843

6 1

Quotes from SB/DVBE Subcontractors 7 1 Consultant/Contractor Reference Check 8A 1 Sample Key Personnel Hours Form 8B Criteria for Evaluation of Consultant Technical Proposal

9 2

Criteria for Evaluation of Consultant Oral Presentation

10 1

California Disabled Veteran Business Enterprise (DVBE) Program Requirements – Not for Goods and Information Technology

11 4

Required Attachment Checklist 12 1 Proposed Form of Agreement, STD 213 13 20

STATE OF CALIFORNIA------- CALIFORNIA STATE TRANSPORTATION AGENCY EDMUND G. BROWN Jr., Governor

DEPARTMENT OF TRANSPORTATION

ADMINISTRATION

DIVISION OF PROCUREMENT AND CONTRACTS

1727 30TH STREET, MS-65

SACRAMENTO, CA 95816-7006

PHONE (916) 227-6000

FAX (916) 227-6155

TTY 711

http://caltrans-opac.ca.gov

Serious drought.

Help save water!

February 29, 2016

REQUEST FOR PROPOSAL

Notice to Prospective Proposers RFP Number 54A0073

You are invited to review and respond to this Request for Proposal (RFP) Number 54A0073, entitled, Insurance Risk Management Consulting Services. In submitting your proposal, you shall comply with the instructions found herein. In addition to those programs and preferences that are specifically 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.

The Department of Transportation (Caltrans) is committed to meeting the State’s 25 percent (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 percent (25%) of their net bid price to certified SB or MB to submit proposals.

The Department of Transportation (Caltrans) wants to help in the State’s efforts to improve the economically disadvantaged position of Disabled Veteran Business Enterprises (DVBE) (Public Contract Code (PCC) 10115 et.seq, Military and Veterans Code, section 999 et seq., and California Code of Regulations (CCR), Title 2, section 1896.60 et seq.). Caltrans wants to provide the opportunity and promote competition that will help maintain and strengthen the overall economy of the State; therefore, encourages DVBEs to submit proposals.

Note that all Agreements entered into with Caltrans will include, by reference, General Terms and Conditions (GTC) and Contract Certification Clauses (CCC) that may be viewed and downloaded at Internet site http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx.

The designated contact person for this RFP is:

Rachel Ortegon Department of Transportation

Ph. (916) 227-6043 Fax (916) 227-6138

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) 2. Questions and Answers for more details.

Sincerely, Rachel Ortegon

RACHEL ORTEGON

Contract Analyst http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx

CALTRANS

RFP Number 54A0073

Table of Contents

SECTION PAGE

A) Purpose and Description of Service 1

B) Minimum Qualifications for Proposers 1

C) Proposal Requirements and Information 1

1. Time Schedule 1

2. Questions and Answers 2

3. Technical Proposal Requirements 2

4. Cost Proposal Requirements 4

5. Darfur Contracting Act 5

6. Submission of Proposal 6

7. Evaluation Process 9

8. Pre-Award Audit 10

9. Award and Protest 11

10. Disposition of Proposals 12

11. Standard Conditions of Service 12

D) Special Program(s) 13

1. Disabled Veteran Business Enterprise Participation Requirement 13

2. Small Business Enterprise or Microbusiness Preference 14

Attachments

1. Cost Proposal Worksheet (Sample)

2. Contractor Certification Clauses (CCC 307)

3. Proposal/Proposer Certification Sheet

4. Darfur Contracting Act

5. Bidder Declaration, GSPD-05-105

6. Disabled Veteran Business Enterprise Declarations STD 843

7. Quotes from SB/DVBE Subcontractors 8A.Consultant/Contractor Reference Check 8B. Sample Key Personnel Hours Form

9. Criteria for Evaluation of Consultant Technical Proposals

10. Criteria for Evaluation of Consultant Oral Presentation

11. Disabled Veteran Business Enterprise (DVBE) Participation Program

12. Required Attachment Checklist

13. Proposed Form of Agreement, STD 213

A) Purpose and Description of Services This Request for Proposal (RFP) is to hire an Insurance Risk Management Consultant to develop an insurance policy document tracking system; and to receive, review, approve, store, track, and retrieve insurance policy documents for all Caltrans construction contracts on an as-needed basis.

The Consultant will also pre-approve and issue certificates of pre-approved insurance when requested by the Caltrans Contract Manager, Office of Construction Compliance and Training

(OCCAT).

In addition to a broad knowledge and experience in construction liability insurance regulations and underwriting, the Consultant should demonstrate the capacity to review and approve large volumes of contractors’ insurance documents within 10 (ten) working days to avoid delays in contract approval by Caltrans Office Engineer (OE). Insurance policies shall conform to the insurance and indemnification requirements of each construction contract.

As a condition of contract approval, the successful bidder on a Caltrans’ construction contract must submit its complete commercial general liability and the excess or umbrella policies together with its certificate(s) of liability insurance showing insurances for automobile and workers compensation.

This Agreement is for a three year term. The estimated contract term is June 1, 2016 to May 31, 2019. This contract is subject to annual performance reviews, and to state budget approvals by the legislature.

Refer to the Proposed Form of Agreement, which is attached to this RFP as Attachment 13 (Exhibit A).

B) Minimum Qualifications for Proposers Information regarding the following required qualifications must be provided in the Insurance Risk Management Experience Section of the Technical Proposal (Refer to Section C) 3.– Technical Proposal Requirements):

1. The lead personnel of the Proposer’s team; or the individual (if Prime Consultant is an individual only) shall have education and or experience equivalent to a Chartered Property and Casualty Underwriter (CPCU) designation or a Certified Insurance Counselor (CIC);

with at least five (5) years of experience in construction liability insurance.

2. Insurance agent(s) or broker(s) are NOT permitted to submit proposal(s) or be part of a Proposer’s team submitting proposal(s) for this RFP due to unavoidable conflict of interest violation(s).

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 02/29/2016 Written Question Submittal 03/15/2016 Final Date for Proposal Submission 03/29/2016 3:00 PM Oral Interviews (estimate) Week of April 4, 2016

Cost Proposal Opening (estimate) 04/07/2016 3:00 PM Posting of Notice of Intent to Award (estimate) 04/08/2016 Proposed Agreement Award Date (estimate) 04/15/2016

2. Questions and Answers A. Questions regarding this RFP must be submitted in writing. Proposers are encouraged to submit their written questions by March 15, 2016.

B. Written questions must include the individual's name, firm name, complete address and must reference RFP No. 54A0073. Questions must be sent to one the following:

EMAIL, MAIL OR FAX TO:

Email: Rachel.Ortegon@dot.ca.gov

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

Fax No.: (916) 227-6138

C. Written responses to all questions will be collectively compiled and posted, as an Addendum, to the Cal eProcure website (https://caleprocure.ca.gov/pages/bidder-vendor.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 C) 1.-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.

3. Technical Proposal Requirements A. An original proposal marked "ORIGINAL COPY," with six (6) additional copies, and one pdf copy on a CD or 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 Section C) 6. - Submission of Proposal, for submittal details.

1) Insurance Risk Management Experience: Describe Proposer’s (including subcontractors) expertise in insurance risk management consulting services related to public works agencies engaged in major highway construction projects. Include in your response your team's specific expertise regarding construction contractor liability insurance as a risk management tool on public works projects. Also include in this section, evidence of the required minimum qualifications and experience as listed in Section B), Minimum Qualifications of Proposer.

2) Key Issues: Identify critical issues applicable to this RFP’s Scope of Work (See Attachment 13, Exhibit A) and Caltrans’ Insurance Requirements and discuss how your firm would address these issues.

3) Analyze Caltrans’ Insurance Specifications: Compare and contrast the indemnification and Insurance provisions of both the 2006 and 2010 Caltrans Standard Specifications, including any amendments thereto, which can be viewed at :

http://www.dot.ca.gov/hq/esc/oe/construction_standards.html. Discuss the key elements of the provisions and their relationships to the Insurance Risk Management Consultant Objectives and Tasks. (See Attachment 13, Proposed Form of Agreement, Exhibit A, Scope of Work).

4) Work Plan and Work Schedule: Develop a work plan which addresses how each task under the Scope of Work will be accomplished. (See Attachment 13, Proposed Form of Agreement, Exhibit A). The work plan shall identify each major task, necessary subtasks, and a specific schedule for completion of each task. The work plan shall also specify the Caltrans Engineer’s Estimated Personnel Hours to accomplish each task.

Note: Caltrans has furnished an Engineer's Estimated Personnel Hours for each major task category in Attachment 13, Proposed Form of Agreement, Exhibit A, Scope of Work. The total personnel hours (including Prime Contractor and all Subcontractor’s personal hours) in the proposer’s Work Plan and Work Schedule shall equal 6000.

All proposers are required to include the total personnel hours per task per year when developing a work plan. Failure to allocate exactly 6000 total personnel hours in the Technical and/or Cost Proposal may result in a proposal being deemed non-responsive.

5) Contractor Liability Insurance Market: Provide a historical perspective of construction tort litigation and liability in the State and, in light of this perspective, comment on the level of insurance required in Caltrans’ specifications from your review in item 3) listed above.

6) Proposer Personnel: List all key personnel, including the key personnel of subcontractors, who will be working on this Insurance Risk Management Consulting Agreement. Include their titles, qualifications, a summary of similar work or studies performed, a resume for each professional, a statement indicating how many hours each professional will be assigned to the Agreement, and what tasks each professional will perform. See Attachment 8B, Sample Key Personnel Hours Form. Include an estimated number of annual hours to be spent by function for each member assigned to the team. If sub-contractors are to be used, include their credentials and identify their role in your proposed team.

Subcontracts: If subcontractors are to be used, the proposal must include a description of each person or firm and the work to be done by each subcontractor. No work shall be subcontracted unless listed in the Proposal. The Proposal must include a resume for each of the subcontractors’ key personnel that are listed to provide services under the Agreement. The cost of the subcontracted work is to be itemized in the Cost Proposal as described below in the section entitled Cost Proposal Requirements. The selected Contractor must obtain the advance written approval of http://www.dot.ca.gov/hq/esc/oe/construction_standards.html

Caltrans Contract Manager before substituting any staff, including staff of subcontractors.

Note: The selected Consultant shall not substitute members of the project team without prior written approval of the Caltrans Contract Manager. (A proposer shall assign specific hours for each member of its team or its proposal may be deemed non responsive).

7) References: The Proposer shall provide at least three (3) clients for whom the proposer has performed work similar to that proposed in this request. Each reference shall complete the Request for Consultant/Contractor Reference Check, Attachment 8A which provides the following information:

• Consultant name

• Agency name

• Agency point-of-contact name and e-mail address

• Telephone number

• Brief description of service provided

• Service dates

• Service value/cost

8) Page Headers and Page Numbering

All pages of the Technical Proposal, including cover pages, Table of Contents, references and resumes, and all required attachments (See Attachment 12, Required Attachment Checklist) shall have the following header and page numbering format in the upper right-hand corner:

Technical Proposal Date Agreement No. 54A0073 Attachment 2 Page # of ##

9) Brochures, tapes, drawings, and other promotional documents that are being submitted with the Technical Proposal must clearly identify the name of the proposer and the RFP number.

B. Cost Proposal information must be submitted in a separate envelope. Do not submit any prime Contractor or subcontractor cost information with the Technical Proposal.

Failure to adhere to these instructions will result in rejection of the proposal.

4. Cost Proposal Requirements A. Cost Detail Format (A Sample Cost Proposal Format is attached as Attachment 1 to this RFP.)

B. The detailed costs should correspond with the Work Plan and Work Schedule (refer to Section C) 3. A. 4) above for the purpose of this proposal. The budget allocated to this Agreement is $450,000.00.

C. The Cost Proposal, and only the Cost Proposal, shall list all items that will be charged to Caltrans. Costs shall be segregated to show actual:

1) Direct labor costs:

a. Number of hours for each classification/individual staff

Note: The Cost Proposal shall also specify the Caltrans Engineer’s Estimated Personnel Hours to accomplish each task. Caltrans has furnished an Engineer's Estimated Personnel Hours for each major task category in Attachment 13, Proposed Form of Agreement, Exhibit A, Scope of Work. The total personnel hours in the proposer’s (including Prime Contractor and all Subcontractor’s personal hours) Cost Proposal shall equal 6000. All proposals are required to include the total personnel hours per task per year when developing a cost proposal. Failure to allocate exactly 6000 total personnel hours in the Technical and/or Cost Proposal may result in a proposal being deemed non-responsive.

b. hourly rates (salary costs including overhead, fringe benefit expenses, and fee/profit)

2) Other Direct Costs (except Labor) including but not limited to itemized:

a. travel costs (travel charges that will be assessed and included in the bid amount)

b. equipment and supplies

c. any other direct costs

3) Itemize subcontractor(s) costs in the same format as the Prime Contractor.

4) Sub-total each Task and provide the Total Cost of all Tasks on the cover page of the Cost Proposal. Tasks are defined in Attachment 13, Proposed Form of Agreement, Exhibit A.

D. The Cost Proposal shall be submitted in a separate sealed envelope. Cost information of any kind is not allowed in the Technical Proposal. (Refer to the Sample Cost Proposal, Attachment 1.)

E. Page Headers and Page Numbering

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

Cost Proposal Agreement No. 54A0073 Date Attachment 1 Page # of ##

5. Darfur Contracting Act A. The Darfur Contracting Act, PCC section 10475-10481, applies to any company that currently or within the previous three 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, Attachment 4, and submit with the Technical Proposal.

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, Attachment 4.

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).

6. 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.

B. The original Technical and Cost Proposals must be single sided and marked "ORIGINAL COPY". All documents contained in the original Technical and Cost Proposal packages 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 proposer. A proposal with such language will be considered a counter proposal and will be rejected. The State’s General Terms and Conditions (GTC) are not negotiable. The GTC 610 may be viewed at Internet site http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx.

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

1st sealed Package/Envelope: Technical Proposal – One (1) original (including the required attachments per the Required Attachment Checklist, Attachment 12), six (6) additional copies, and one pdf copy on a CD or thumb drive.

2nd sealed Package/Envelope: Cost Proposal – One (1) original Cost Proposal including the required attachments (See Attachment 12, Required Attachment Checklist) and one (1) additional copy on a CD or thumb drive.

E. Proposals must be submitted no later than 3:00 P.M., March 29, 2016 and addressed as follows (reference C.)1., 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:

http://www.dgs.ca.gov/ols/Resources/StandardContractLanguage.aspx

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

Agency/Firm Name Address 54A0073 Insurance Risk Management Consulting Services

TECHNICAL PROPOSAL

DO NOT OPEN

Agency/Firm Name Address 54A0073 Insurance Risk Management Consulting Services

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.

F. All proposals shall include the documents identified in this RFP’s Required Attachment Checklist, Attachment 12. 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.

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. Both of the individually sealed and labeled proposals (Technical and Cost Proposals) can be packaged and mailed together. Label (as instructed below) and mail or deliver package to the following location.

MAILED OR *DELIVER TO:

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

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

RFP Number 54A0073 Insurance Risk Management Consulting Services 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 Contracts’ reception desk at 227- 6000 to have your proposal package picked up by Contracts’ staff.

I. Each proposer’s Technical Proposal will be reviewed to determine if it meets the proposal requirements contained in section C) 3.- Technical Proposal Requirements (above). Failure to meet the requirements for the RFP shall be cause for rejection of the proposal.

J. 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 defects 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.

K. 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.

L. 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.

M. 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.

N. 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.

O. 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.ca.gov/pages/bidder-vendor.aspx.

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

Q. 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.

R. 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.

S. More than one 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 https://caleprocure.ca.gov/pages/bidder-vendor.aspx.

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.

7. 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 the requested information will 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. Proposer Evaluation:

1) Caltrans will evaluate each proposal to determine its responsiveness to Caltrans needs. Minimum Qualifications and other required items of the Technical Proposal will be evaluated by an evaluation committee. Technical Proposals and Oral Presentations of proposers who pass the Minimum Qualifications will be rated by the evaluation committee using a consensus process for determining final scores. The consensus scoring will be based on the scoring method listed below:

Evaluation Factor/Sub Factor Weight (as stated in the Criteria for Evaluation)

X Consensus Rating

= Weighted 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) Technical Evaluation

a. Phase I: Technical Proposal Evaluation

An evaluation committee will evaluate those Technical Proposals that meet the proposal submission requirements. The evaluation will be based on the criteria shown on Criteria for Evaluation of Consultant Technical Proposals, Attachment

9. Only those proposers receiving a minimum score of 200 or above will move

Factor/Sub Factor on to Phase II. Those Technical Proposals receiving less than the above minimum score will not receive further consideration.

b. Phase II –Oral Presentation Evaluation

Proposers will be contacted to schedule a date and time for the Oral Presentation.

The evaluation will be based on the criteria shown on Criteria for Evaluation of Consultant Oral Presentations, Attachment 10. It is anticipated that the Oral Presentations will be held in Sacramento, CA. Only those proposals receiving a minimum score of 200 or above will move on to Section 7 C.- Cost Proposal Opening (see below). Oral Presentations receiving less than the above minimum score will not receive further consideration.

C. Cost Proposal Opening

Cost Proposals will be opened for proposers who achieved the required minimum score in Phase I – Technical Proposal Evaluation and in Phase II – Oral Presentation Evaluation. The final selection will be made on the basis of the lowest responsive Cost Proposal from a responsible Proposer. The Cost Proposal Opening will be held at 1727 30th Street, Sacramento, CA 95816 on the date and time specified in Section C) - Proposal Requirements and Information, 1 - Time Schedule. Proposers may participate in person or via teleconference by calling 1-866-700-7952 and entering the pass code 7089821. Calls will be accepted beginning at 2:50 PM until the conclusion of the Cost Proposal Opening.

D. Miscellaneous Award Issues

1) Caltrans does not negotiate rates and/or costs listed on any Cost Proposal submitted.

2) 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 (PCC section, 10344 [d]).

3) 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 Caltrans Contract Manager to begin work.

4) 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 14838 (f).

8. Pre-Award Audit 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.

A. 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:

1) 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.

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

3) 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.

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

5) 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.

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

C. The costs proposed must be reasonable.

9. Award and Protest A. 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: www.caltrans-opac.ca.gov/contract.htm for five (5) working days prior to awarding the Agreement.

B. Bid results may be viewed on the internet at 12:00 P.M. (Noon) on the first business day following the bid due date at: http://caltrans-opac.ca.gov.

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

1) If any proposer, prior to the award of Agreement, files a protest with Caltrans, Protest Unit and the DGS, Office of Legal Services, 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 & Contracts Attention: Protest and Dispute’s Manager 1727 30th Street, MS-65 Sacramento, CA 95816-7006 Phone Number: (916) 227-6096 Fax Number: (916) 227-1950

DEPARTMENT OF GENERAL SERVICES

Office of Legal Services Attention: Protest Coordinator 707 Third Street, 7th Floor West Sacramento, CA 95605 Phone Number: (916) 376-5080 Fax Number: (916) 376-5088 http://www.caltrans-opac.ca.gov/contract.htm http://www.caltrans-opac.ca.gov/contract.htm http://caltrans-opac.ca.gov/

2) Within five (5) days after filing the initial protest, the protesting proposer shall file with the DGS, Office of Legal Services and Caltrans, Protest 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 www.osp.dgs.ca.gov under the heading FORMS MANAGEMENT CENTER. No payment shall be made unless a completed STD 204 has been returned to Caltrans.

10. 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.

11. 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

1) 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).

2) 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 http://www.osp.dgs.ca.gov/ may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid.

3) 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.

1. Disabled Veteran Business Enterprise (DVBE) Participation Requirements A. DVBE Participation Program with NO Goals

A DVBE goal is not required, but DVBE participation is encouraged, and a DVBE incentive may apply to this RFP. See Section D), Item 1, Paragraph B below for requirements.

B. DVBE Incentive Program

1) The DVBE Incentive Program applies to this solicitation. It is separate from the DVBE Participation Program and was established in Military and Veterans Code, section 999 et seq., and 2 CCR section1896.99 et seq., to encourage proposers to partner with DVBE subcontractors. A dollar cap of $100,000 is set for all combined incentives and preferences. The incentive is used only for evaluation purposes to arrive at the successful bidder and does not alter the amounts of the actual bid. Any responsive and responsible proposer with the confirmed DVBE participation per the Tables in paragraph 3) below is eligible to receive the incentive. Proposers who are not responsive and responsible regardless of the amount of DVBE participation are not eligible to receive the incentive.

2) Caltrans will apply an incentive to proposals proposing the utilization of DGS Certified DVBE firms identified on the Bidder Declaration, GSPD-05-105 (Attachment 5). Information provided on the Bidder Declaration, GSPD-05-105 (Attachment 5), California DVBE Declaration STD 843 (Attachment 6), and the Quotes from DVBE Subcontractors (Attachment 7) shall be verified by Caltrans prior to the award of the contract. The incentive amount is equal to a percentage of the lowest responsive and responsible proposal based on the amount of DVBE participation in the proposal being evaluated per the Tables below.

3) Tables for RFP

Goal Not Required

Verified DVBE Participation DVBE Incentive Amount

5% or more 5%

4% - 4.99% 4%

3% - 3.99% 3%

2% - 2.99% 2%

0.1% - 1.99% 1%

4) When applying the DVBE incentive a Non-SB shall not displace an award to a California Certified Small Business. Nor shall the DVBE incentive exceed five percent (5%) of the bid amount.

5) Additional information: http://www.dgs.ca.gov/pd/Programs/OSDS.aspx.

2. Small Business Enterprise or Microbusiness Preference A. Government Code section 14835 et seq. requires that a five percent (5%) preference be given to proposal’s who qualify as a Certified SB or MB. The rules and regulations of this law, including the definition of a small business for the delivery of services, are contained in 2 CCR 1896 et seq.

B. To claim the SB or MB preference, your firm must have its principal place of business located in California and be certified by the DGS, OSDS. The preference amount may not exceed $50,000 for any proposal. If proposer 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.

C. Pursuant to Government Code section 14838 and 2 CCR 1896, if a proposer is not a certified SB but wishes to be eligible for the five percent (5%) "non-SB" preference, the proposer must subcontract at least 25 percent (25%) of its net proposed price to one or more certified small businesses. If proposer is claiming the five percent (5%) “non-SB” preference, complete the Proposal/Proposer Certification Sheet, Section 17 (Attachment

3) and complete Bidder Declaration form, GSPD-05-105 (Attachment 5) with the names of all certified SB firms being claimed for credit. Attach a copy of the subcontractor’s Certified SB certificate for each SB subcontractor and a copy of all SB subcontractor’s quote to the Bidder Declaration form, GSPD-05-105.

D. Certified SB and MB bidder(s) shall have precedence over “Non-SB” proposers in the application of SB preference(s).

E. SB Preferences may not be applied to any proposal deemed non-responsive with the solicitation instructions or from a responsible proposer.

http://www.dgs.ca.gov/pd/Programs/OSDS.aspx

F. Questions regarding the certification approval process or SB program should be directed to DGS,OSDS at (800) 559-5529 or (916) 375-4940. For the 24-Hour Recording & Mail Request call (916) 322-5060 or E-mail: osdchelp@dgs.ca.gov

Additional References: http://www.dgs.ca.gov/pd/Programs/OSDS.aspx.

http://www.dgs.ca.gov/pd/Programs/OSDS.aspx

ATTACHMENT 1

SAMPLE COST PROPOSAL WORKSHEET

COVER PAGE (GRAND TOTALS OF PRIME + ALL SUBS)

TABLE 1- HOURS AND COSTS BREAKDOWN BY TASKS

TOTAL

HOURS PER

TASK

TOTAL COST PER

TASK*

TASK 1: Familiarize with Caltrans' insurance requirements $_________________

TASK 2: Review, approve, & email approval notices $_________________

TASK 3: Issue pre-approval certificates as required $_________________

TASK 4: Create a secured file sharing storage with a minimum 10 gigabytes $_________________

TASK 5: Establish an Insurance Tracking System with approved program $_________________

TASK 6: Monitor and update tracking system or database $_________________

TASK 7: Provide insurance related risk management services $_________________

GRAND TOTAL** (for this Agreement) 6000 hrs. $_________________

TABLE 2- PRIME AND SUBCONTRACTORS TOTAL COSTS:

Total Cost

PRIME CONTRACTOR TOTAL COSTS $_________________

SUBCONTRACTOR 1 TOTAL COSTS $_________________

SUBCONTRACTOR 2 TOTAL COSTS $_________________

SUBCONTRACTOR 3 TOTAL COSTS $_________________

GRAND TOTAL** (for this Agreement) $_________________

NOTES:

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

Grand Total in Table 1 and Table 2 should match.

Add/Delete subcontractor rows as applicable in Table 2 above.

For a complete description of Tasks (including subtasks) refer to Attachment 13, Proposed Form of Agreement, Exhibit A, Scope of Work.

Costs shall be based on Caltrans Engineer’s Personnel Hours Estimate of 2000 hours per year. Total hours (including

Prime and all Subcontractor hours) shall equal 6000 hours.

The hours indicated in this RFP are estimates only and are provided as a basis for the comparison of bids. No guarantee is made or implied as to the exact quantity of work that will be needed and/ or assigned

ATTACHMENT 1

SAMPLE COST PROPOSAL WORKSHEET

TASK 1 – Familiarize with Caltrans’ Insurance Requirements

(Caltrans Engineer’s Personnel Hours Estimate = 50 Hours per Year)

PRIME CONTRACTOR:__________________

LABOR COST

List Names and Titles That Apply HOURS RATE* TOTAL Staff Name - Project Manager @ $ $ Staff Name - Staff Assistant @ $ $ Staff Name - Classification @ $ $ Staff Name - Classification @ $ $

Subtotal- HOURS

Subtotal—LABOR COST $

DIRECT COSTS (Except Labor) Travel** (itemize) $ Equipment (itemize) $ Supplies (itemize) $ Other Direct Costs (itemize) $

Subtotal—DIRECT COSTS $

PRIME CONTRACTOR—TOTAL COST FOR TASK 1 $

NOTES:

1. Labor Rates shall include indirect costs (such as overhead, fringe, and any other items), fee/profit and any other applicable costs to be charged to Caltrans for this Agreement.

2. Travel, Transportation and subsistence costs shall not exceed rates authorized to be paid to non-represented state employees under current CalHR rules.

3. Attach additional Cost Proposal Worksheets in this format for each additional Task.

4. Cost Proposal shall equal the Caltrans Engineer's Estimate of Personnel Hours required for each Task outlined in the Proposed Form of Agreement, (Attachment 13) Exhibit A, Scope of Work.

ATTACHMENT 1

SAMPLE COST PROPOSAL WORKSHEET

TASK 1 – Familiarize with Caltrans’ Insurance Requirements

(Caltrans Engineer’s Personnel Hours Estimate = 50 Hours per Year)

SUBCONTRACTOR 1:__________________

LABOR COST

List Names and Titles That Apply HOURS RATE* TOTAL Staff Name - Project Manager @ $ $ Staff Name - Staff Assistant @ $ $ Staff Name - Classification @ $ $ Staff Name - Classification @ $ $

Subtotal-HOURS

Subtotal—LABOR COST $

DIRECT COSTS (Except Labor) Travel** (itemize) $ Equipment (itemize) $ Supplies (itemize) $ Other Direct Costs (itemize) $

Subtotal—DIRECT COSTS $

SUBCONTRACTOR 1—TOTAL COST FOR TASK 1 $

NOTES:

1. Labor Rates shall include indirect costs (such as overhead, fringe, and any other items), fee/profit and any other applicable costs to be charged to Caltrans for this Agreement.

2. Travel, Transportation and subsistence costs shall not exceed rates authorized to be paid to non-represented state employees under current CalHR rules.

3. Attach additional Cost Proposal Worksheets in this format for each subcontractor per task (if applicable).

4. Cost Proposal shall equal the Caltrans Engineer's Estimate of Personnel Hours required for each Task outlined in the Proposed Form of Agreement, (Attachment 13) Exhibit A, Scope of Work.

ATTACHMENT 2

CONTRACTOR CERTIFICATION CLAUSES

CCC-307

CERTIFICATION

I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective Contractor to the clause(s) listed below. This certification is made under the laws of the State of California.

Contractor/Bidder Firm Name (Printed)

Federal ID Number

By (Authorized Signature)

Printed Name and Title of Person Signing

Date Executed Executed in the County of

CONTRACTOR CERTIFICATION CLAUSES

1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied with the nondiscrimination program requirements. (Gov. Code §12990 (a-f) and CCR, Title 2, Section 8103) (Not applicable to public entities.)

2. DRUG-FREE WORKPLACE REQUIREMENTS: Contractor will comply with the requirements of the Drug-Free Workplace Act of 1990 and will provide a drug-free workplace by taking the following actions:

a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations.

b. Establish a Drug-Free Awareness Program to inform employees about:

1) the dangers of drug abuse in the workplace;

2) the person's or organization's policy of maintaining a drug-free workplace;

3) any available counseling, rehabilitation and employee assistance programs; and,

4) penalties that may be imposed upon employees for drug abuse violations.

c. Every employee who works on the proposed Agreement will:

1) receive a copy of the company's drug-free workplace policy statement; and,

2) agree to abide by the terms of the company's statement as a condition of employment on the Agreement.

Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Contractor may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the Contractor has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.)

3. NATIONAL LABOR RELATIONS BOARD CERTIFICATION: Contractor certifies that no more than one (1) final…