RFP_74A0881.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 Sample Key Personnel Hours Form 2A 1 Sample Reference Form 2B 1 Contractor Certification Clauses (CCC-307) 3 4 Proposal/Proposer Certification Sheet 4 2 Subcontracting Provisions/List, ADM 1511 5 1 Darfur Contracting Act 6 1 Required Attachment Checklist 7 1 Criteria for Evaluation of Consultant Technical Proposal

8 1

Criteria for Evaluation of Consultant Oral Presentation

9 1

Criteria for Evaluation of Consultant Cost Proposal

10 1

Proposed Form of Agreement, STD 213 11 24

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!

April 27, 2016

REQUEST FOR PROPOSAL

Notice to Prospective Proposers

RFP Number 74A0881 You are invited to review and respond to this Request for Proposal (RFP) Number 74A0881, entitled, Regional Intelligent Transportation System (ITS) Master Plan. 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) wants to encourage Disadvantaged Business Enterprises (DBE) to submit proposals to ensure the participation of DBEs in the performance of Agreements financed in whole or in part with Federal Funds to achieve its federally mandated Statewide overall goal, as defined in 49 CFR 26.

Note that all Agreements entered into with the State of California will include by reference General Terms and Conditions 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

Office: (916) 227-6043 Fax: (916) 227-6138

Email: rachel.ortegon@dot.ca.gov

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

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

Sincerely, Rachel Ortegon

RACHEL ORTEGON

Contract Analyst http://www.dgs.ca.gov/contracts http://www.dgs.ca.gov/contracts

CALTRANS

RFP Number 74A0881

Table of Contents

SECTION PAGE

A) Background and Purpose 1

B) Minimum Qualifications for Proposers 2

C) Proposal Requirements and Information 2

1. Time Schedule 2

2. Questions and Answers 2

3. Technical Proposal Requirements 3

4. Cost Proposal Requirements 6

5. Darfur Contracting Act 7

6. Submission of Proposal 8

7. Evaluation Process 10

8. Pre-Award Audit 12

9. Award and Protest 13

10. Disposition of Proposals 13

11. Standard Conditions of Service 14

D) Special Program(s) 15

1. Disadvantaged Business Enterprise (DBE) Program 15

Attachments

1. Sample Cost Proposal Worksheet 2A. Sample Key Personnel Hours Form 2B. Sample Reference Form

3. Contractor Certification Clauses (CCC 307)

4. Proposal/Proposer Certification Sheet

5. Subcontracting Provisions/List

6. Darfur Contracting Act

7. Required Attachment Checklist

8. Criteria for Evaluation of Consultant Technical Proposals

9. Criteria for Evaluation of Consultant Oral Presentation

10. Criteria for Evaluation of Consultant Cost Proposal

11. Proposed Form of Standard Agreement, STD 213

A) Background and Purpose The Regional Intelligent Transportation System (ITS) Master Plan (Plan) is a roadmap for integration of ITS strategies into the North State Super Region’s (Super Region) transportation system over the next ten (10) years. A map of the Super Region can be viewed at www.superregion.org. The Regional ITS Master Plan will be developed through a cooperative effort by the California Department of Transportation (Caltrans), the Federal Highway Administration (FHWA), and the Super Region’s transportation planning and operating agencies in the following counties: Butte County, Colusa County, Del Norte County, Glenn County, Humboldt County, Lake County, Lassen County, Mendocino County, Modoc County, Nevada County, Plumas County, Shasta County, Sierra County, Siskiyou County, Tehama County, and Trinity County.

A Regional ITS Master Plan describes ITS deployment in terms of regional integration and cooperation among stakeholders within the Region that remains relevant over time, up to ten years. The Regional ITS Master Plan will be developed through a cooperative effort by the Region's transportation planning and operating agencies. The key is to plan for technology deployment in a cooperative environment among stakeholders in a sensible manner to promote the efficiency of project deployment and stakeholder resources.

The expectation is to achieve a shared vision of how each agency's systems will work together in the future, sharing information and resources to provide a safer, more efficient, and more effective transportation system for travelers utilizing the transportation system network. The Plan addresses ITS subsystems, as well as those planned for development over the next ten

(10) years. The Regional ITS Master Plan is viewed as a living document that will require regular updates by Caltrans staff to ensure that it maintains accurate representation of the Region's ITS elements. The Plan will be divided among Caltrans District 1, 2, and 3 to allow updates to occur on an individual basis. A Caltrans District Map is available at:

http://www.dot.ca.gov/localoffice.htm. The Plan will cover services across a broad range of ITS, including:

• Traffic management,

• Incident management,

• Emergency service,

• Transit management,

• Traveler information,

• Archived data management,

• Maintenance and construction operations,

• Commercial vehicle operations, and

• Autonomous and Semi-autonomous vehicles

The Regional ITS Master Plan is an important tool that will be used by:

• Transportation agencies to recognize and plan for transportation integration opportunities, not only in Caltrans Districts, but the whole Region with applicability on a statewide basis.

• Caltrans to better reflect integration opportunities and operational needs into the transportation planning process, and

• Other organizations (private sector) and individuals that use the transportation system in the Region.

http://www.superregion.org/ http://www.dot.ca.gov/localoffice.htm

The Plan provides a framework that includes the entire transportation network down to individual transportation projects. Each ITS project can be viewed as an element of the overall ITS network that will be implemented over time. By identifying problems as well as prioritized needs of the transportation network, a workgroup of Caltrans staff, Metropolitan Planning Organizations (MPO) and Regional Transportation Planning Agencies (RTPA) will establish a set of goals and measurable objectives for the Regional ITS Master Plan. These goals and objectives will then help us define a clear and concise vision which in turn will help to shape the Regional ITS Master Plan through consensus building.

Based on the vision for the Regional ITS Master Plan and the specific needs of Caltrans Districts and our partners, this effort will identify all applicable ITS concepts that could be applied to each corridor based on their unique characteristics. It will also identify quantitative and qualitative performance criteria for the strategies. This would be consistent with FHWA’s guidance on regional ITS architecture plans.

Refer to the Proposed Form of Agreement, which is attached to this RFP as Attachment 11 (Exhibit A) for a more complete description of services.

B) Minimum Qualifications for Proposers

1. Information to demonstrate the required qualifications must be provided in the Minimum

Qualifications section of Proposers’ Technical Proposal. See Section C) 4.A.1) of this

RFP.

a. Proposer must demonstrate a minimum of three (3) years of experience in developing and maintaining ITS architectures, coordinating with multiple agencies, website development, and process guidance development.

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 04/27/2016 Written Question Submittal 05/11/2016 Final Date for Proposal Submission 05/25/2016 1:00 PM Oral Interviews (estimate) Week of May 30, 2016 Posting of Notice of Intent to Award (estimate) Week of May 30, 2016 Proposed Agreement Award Date (estimate) Week of June 6, 2016

2. Questions and Answers A. Questions regarding this RFP must be submitted in writing. Proposers are encouraged to submit their written questions by May 25, 2016.

B. Written questions must include the individual's name, firm name, complete address and must reference RFP No. 74A0881. Questions must be sent to one of 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/index.aspx).

It is the responsibility of the proposer to access the website for any changes or Addenda that may be posted. Refer to this RFP, Section 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" and six (6) additional printed bound copies and one (1) pdf copy on a CD, DVD 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) 7.- Submission of Proposal, for submittal details.

1) Section 1: Minimum Qualifications

Provide evidence of the required minimum qualifications listed in RFP Section B)- Minimum Qualifications for Proposers.

2) Section 2: Conflicts of Interest State law prohibits state contractors from having certain financial interests pertaining to the Agreement. See State Contracting Manual Volume 1 section 7.10 for summary of applicable laws at the following website:

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

In light of these statutory prohibitions, provide the following information:

a. Describe if your firm or any of its affiliates invest in infrastructure projects.

b. Disclose any finder’s fees, fee splitting, payments to consultants, or other contractual arrangements entered into by the Proposer that could be associated with this RFP and the subsequent Agreement.

3) Section 3: Firm Overview

a. Provide a brief description of the Proposer's firm and its ownership structure.

b. Provide a general overview of your Proposing team’s presence in Northern

California.

https://caleprocure.ca.gov/pages/index.aspx http://www.dgs.ca.gov/ols/Resources/StateContractManual.aspx

c. Discuss the location(s) of the office(s) from which the primary work on this Agreement is to be performed.

d. Describe your firm's staffing that will be assigned to this Agreement, including principals, vice presidents, associates and analysts as of the date of your response to this RFP. Explain any significant changes in staffing and/or organization of your firm during the previous three (3) years.

e. Describe experience working with, and facilitating coordination between multi-disciplinary teams.

f. Describe your firm's current capacity to perform the work detailed in the Scope of Work for this RFP (See Attachment 11, Proposed Form of Agreement, Exhibit A). Also demonstrate your ability to handle potential future ITS projects.

4) Section 4: Management

a. Designate one (1) individual, the Project Manager, who shall be responsible for implementing the Scope of Work, overseeing the day-to-day activities of the Proposer’s team, and shall be the single point of contact for this Agreement.

The Project Manager must be available to Caltrans as-needed to effectively manage the Agreement. The selected Consultant shall not cause the substitution of the Project Manager without prior written approval of the Caltrans Contract Manager. Provide the name, address, email address, telephone and fax numbers of the designated Project Manager.

b. Provide an organization chart showing the hierarchy of Proposer’s key personnel assigned to this project. The organization chart must show the relationship between the Project Manager and key personnel of the Proposer’s organization, and all other parties, including key personnel of subcontractors.

5) Section 5: Methodology

a. Describe the overall approach to the work, specific techniques (including any innovations, potential value-added contributions, and methods of communication/coordinating with collaborating agencies) that will be used.

Also include specific administration and operation management expertise that will be used.

b. Identify any problems/challenges applicable to this RFP’s Scope of Work (See Attachment 11, Exhibit A) and offer possible solutions.

6) Section 6: Technical Expertise

a. Describe the proposing team’s background in ITS analysis and development.

b. Describe the proposing team’s background and experience in developing and maintaining ITS architectures.

c. Describe the proposing team’s knowledge and involvement in ITS techniques and projects.

d. Describe the proposing team’s experience in developing ITS policy and guidance.

7) Section 7: Project Experience

a. Please provide examples of up to five (5) ITS projects and include the following information for the projects in which the Proposer’s team has been or are involved:

• client;

• type of project (rural/urban/both, intended audience for the project, and stakeholders);

• name of the project and a brief description, including a description of your firm’s role and list of key staff assigned and outcome;

• total estimated cost of the project; and

• closing date or estimated closing date.

b. Describe the Proposing team’s experience with similar ITS projects and provide an example of a completed document of one (1) of the ITS project examples provided above, that was prepared by the Proposing team. The document should demonstrate your firm’s ability to produce a professional document with pictures and graphs for wide distribution.

c. Describe the Proposing team’s experience in assisting federal, state, or local governments in developing ITS policies, guidelines, and/or procedures.

8) Section 8: Personnel

a. Key personnel selected for the project shall have experience with, and in-depth knowledge of techniques and procedures necessary to accomplish the various tasks and deliverables listed in the Scope of Work (Attachment 11). The selected Consultant shall not cause key personnel of the project team to be substituted without prior written approval by the Caltrans Contract Manager.

b. Identify all key personnel, including the key personnel of subcontractors, who will be working on the project and will be directly involved in providing technical, facilitation, and analysis services. Include the role each key personnel will serve, their titles, where are they headquartered, qualifications including any special expertise, a summary of relevant experience, similar work or studies performed, a resume for each key personnel, and a table indicating what tasks each key personnel will perform (see Attachment 2A, Sample Key Personnel Hours Form). All Key Personnel of Prime Contractor and Subcontractors listed in the Proposer’s Technical Proposal must be identified by name, title and firm name in the table (Attachment 2A).

c. Proposer shall provide its strategy to retain the key personnel who will be working on the project, including key personnel of subcontractors.

d. Subcontractors

i. If subcontractors are to be used, Proposer 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. Proposer must include the information requested in paragraphs b and c above for each of the subcontractors’ key personnel that is listed to provide services under the Agreement. The cost of the subcontract work is to be itemized in the Cost Proposal as described below in Section C.5.B) - Cost Proposal Requirements below.

ii. The selected contractor must obtain the advance written approval of Caltrans Contract Manager before substituting subcontractors.

9) Section 9: Work Plan and Work Schedule

Provide a work plan and a work schedule for successful completion of each task and deliverable listed in the Scope of Work (Attachment 11, Proposed Form of Agreement, Exhibit A). Proposer shall identify each major task, necessary subtasks, and specific milestones by which progress can be measured and payments made. The work plan and work schedule shall specify the prime and subcontractor key personnel assigned to each task. The Proposer shall provide a detailed description of the techniques, approaches, and methods to be used in performing each task and successful completion of each task and deliverable listed in the Scope of Work (Attachment 11).

10) Section 10: References

Proposer shall provide at least three (3) clients for whom the Proposer has performed a relevant program or a project of similar size and scope as described in the Scope of Work (Attachment 11). Each reference must be in the format provided in Attachment 2B, Sample Reference Form.

B. Page Headers and Page Numbering

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

Technical Proposal Date Agreement No. 74A0881 Attachment 2 Page # of ##

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

C. Cost Proposal information must be submitted with the Technical Proposal in one envelope. Submit all prime contractor and subcontractor cost information with the Technical Proposal. Refer to Section 5 below, Cost Proposal Requirements for the cost detail format.

4. Cost Proposal Requirements A. Cost Proposal, and only the Cost Proposal, shall list all items that will be charged to

Caltrans for this Agreement. Cost information of any kind is not allowed in the Technical Proposal. Cost Proposal shall be submitted with the Technical Proposal in one envelope. The Cost Proposal shall follow the cost proposal format specified in this RFP, and shall include both prime contractor and all subcontractors cost information. The budgeted amount for this agreement is $220,0000.00.

B. An original proposal marked "ORIGINAL COPY" and six (6) additional copies and one pdf copy on CD, DVD or Thumb Drive will be required for the Cost Proposal. Each Cost Proposal shall contain at a minimum, all required items listed below:

1) Cost Proposals shall follow the format provided in the Cost Proposal Worksheet, Attachment 1, and shall be submitted along with Technical Proposal in one sealed envelope.

2) Costs shall be segregated to show direct labor costs, other direct costs (except labor) and total cost per task. Labor Rates shall include indirect costs (such as overhead, fringe, and administrative costs), fee/profit and any other applicable costs (refer to Attachment 1, Page 2 for a sample of prime contractor cost breakdown format).

3) Subcontracts: The breakdown of each subcontractor’s costs shall be provided separately and shall follow the same format as Prime Contractor (refer to Attachment 1, Page 3 for a sample of Subcontractor(s) cost breakdown format).

C. Travel, Transportation and subsistence costs shall not exceed rates authorized to be paid to non-represented State employees under current California Department of Human Resources (CalHR) rules.

D. Page Headers and Page Numbering

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

Cost Proposal Agreement No. 74A0881 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 6, and submit with bid.

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 6.

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 proposal must be single sided and marked "ORIGINAL COPY". All documents contained in the original proposal package must have original signatures and must be signed by a person who is authorized to bind the proposing firm. All additional proposal sets may contain photocopies of the original package. Due to limited storage space, the proposal package should be prepared in the least expensive method.

C. Caltrans does not accept alternate Agreement language from a prospective contractor.

A proposal with such language will be considered a counter proposal and will be rejected. The State’s General Terms and Conditions (GTC) 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 one sealed package/envelope containing the following:

1) Technical Proposal– Original and six (6) additional printed bound copies and one pdf copy and a CD, DVD or Thumb drive. Include all Required Attachments listed in Attachment 7, Required Attachment Checklist.

2) Cost Proposal – Original and six (6) additional printed bound copies and one (1) pdf copy and a CD, DVD or Thumb Drive. Include all Required Attachments listed in Attachment 7, Required Attachment Checklist.

E. Proposals (Technical and Cost) must be submitted no later than 1:00 P.M. on May 25, 2016 and addressed as follows:

Agency/Firm Name Address RFP Number 74A0881 Regional Intelligent Transportation System (ITS) Master Plan

DO NOT OPEN

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

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

2) 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 example above.

3) 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 7. 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. Mail or deliver the proposal 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

*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. A proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. Caltrans may reject a proposal that is not responsive, does not meet the technical standards, or is not from a responsible proposer, or may reject all proposals. Caltrans may also waive any immaterial deviation in a proposal. Caltrans waiver of immaterial defect shall in no way modify the RFP document or excuse the proposer from full compliance with all requirements if the proposer is awarded the Agreement.

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

K. Only an individual who is authorized to contractually bind the proposing firm shall sign the Proposal/Proposer Certification Sheet, Attachment 4. The signature must indicate the title or position that the individual holds in the firm. The proposer’s proposal may be rejected if the Proposal/Proposer Certification Sheet is not signed.

L. A proposer may modify a proposal after its submission by withdrawing its original proposal and resubmitting a new proposal prior to the proposal submission deadline.

Proposal modifications offered in any other manner, oral or written, will not be considered.

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

N. Caltrans may modify the RFP up to the specified time of the date fixed for submission of proposals by the issuance of an addendum to all parties who received a proposal package. All addenda prior to the submission deadline will be posted on Cal eProcure:

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

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

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

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

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

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

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 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.

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

B. Evaluation of Proposals 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

Rating

Weighted Score

Contractor's Approach To Technical Work

2 X 3 = 6

1) Technical Proposal Evaluation

Technical Proposals that pass the Minimum Qualifications and meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Consultant Technical Proposal, Attachment 8.

2) Oral Presentation and Evaluation

Proposers will be contacted to schedule a date and time for the Oral Presentation. The Oral Presentations will be evaluated and scored in accordance with Criteria for Evaluation of Consultant Oral Presentation, Attachment 9. It is anticipated that the Oral Presentations will be held in Sacramento, CA.

3) Cost Proposal Evaluation

Cost Proposals that meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Consultant Cost Proposal, Attachment 10.

C. Miscellaneous Award Issues

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

Factor/S

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 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.

1) 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:

a. 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.

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

c. 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.

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

e. 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.

2) The proposer must be financially capable of performing the work.

3) 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

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.

http://www.caltrans-opac.ca.gov/contract.htm http://caltrans-opac.ca.gov/ http://www.osp.dgs.ca.gov/

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 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. Disadvantaged Business Enterprise (DBE) Program A. For contracts with NO Goals

This solicitation is subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR

26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs.” Although DBE participation goals have not been set for this Agreement, Caltrans encourages the participation of DBEs, as defined in 49 CFR 26, in performing Agreements financed in whole or in part with federal funds. Information about the Federal DBE Program is available at:

https://www.transportation.gov/small-business/disadvantaged-business-enterprise-dbe-program or http://www.dot.ca.gov/hq/bep/.

https://www.transportation.gov/small-business/disadvantaged-business-enterprise-dbe-program https://www.transportation.gov/small-business/disadvantaged-business-enterprise-dbe-program http://www.dot.ca.gov/hq/bep/

Caltrans

ATTACHMENT 1

SAMPLE COST PROPOSAL WORKSHEET

COVER PAGE (GRAND TOTALS OF PRIME + ALL SUBS)

TABLE 1- COSTS BREAKDOWN BY TASKS*

COST PER TASK

TOTAL COSTS FOR TASK 1 $_________________

TOTAL COSTS FOR TASK 2 $_________________

TOTAL COSTS FOR TASK 3 $_________________

TOTAL COSTS FOR TASK 4 $_________________

TOTAL COSTS FOR TASK 5 $_________________

GRAND TOTAL** (for this Agreement)

NOTE:

* Total Costs for Tasks in Table 1 shall include Prime Contractor and all Sub Contractors costs.

TABLE 2- PRIME AND SUBCONTRACTORS TOTAL COSTS:

PRIME CONTRACTOR TOTAL COSTS (for this Agreement) $_________________

SUBCONTRACTOR 1 TOTAL COSTS (for this Agreement) $_________________

SUBCONTRACTOR 2 TOTAL COSTS (for this Agreement) $_________________

SUBCONTRACTOR 3 TOTAL COSTS (for this Agreement) $_________________

GRAND TOTAL** (for this Agreement)

NOTES:

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

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

TASK 1 – Planning and Project Management

PRIME CONTRACTOR:__________________

DIRECT LABOR COSTS

List Names and Titles HOURS RATE* TOTAL Staff Name - Project Manager @ $ $ Staff Name - Research Associate @ $ $ Staff Name - Finance and Operations @ $ $ Staff Name - Clerical @ $ $ Staff Name - Title @ $ $ Staff Name - Title @ $ $

Sub Total—LABOR COST

OTHER DIRECT COSTS (Except Labor) Research $ Education Materials $ Supplies $ Travel**(itemize) $ Other Direct Costs (itemize) $

Sub Total—DIRECT COSTS $

PRIME CONTRACTOR— TOTAL COST FOR TASK 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.

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

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

TASK 1 – Planning Project Management

SUBCONTRACTOR 1:__________________

DIRECT LABOR COST

List Names and Titles HOURS RATE* TOTAL Staff Name - Project Manager @ $ $ Staff Name - Research Associate @ $ $ Staff Name - Finance and Operations @ $ $ Staff Name - Clerical @ $ $ Staff Name - Title @ $ $ Staff Name - Title @ $ $

Sub Total—LABOR COST

OTHER DIRECT COSTS (Except Labor) Research $ Education Materials $ Supplies $ Travel**(itemize) $ Other Direct Costs (itemize) $

Sub Total—DIRECT COSTS $

SUBCONTRACTOR 1— TOTAL COST FOR TASK 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.

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

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

ATTACHMENT 2A

SAMPLE KEY PERSONNEL HOURS FORM

1. This Attachment 2A must be submitted with your Technical Proposal (Refer to RFP Section C) 4. - Technical Proposal Requirements, Section 8) b. - Personnel.

2. Personnel: All Key Personnel of Prime Contractor and Subcontractors assigned to the contract and listed in the Proposer’s Technical

Proposal must be identified by name, title and firm name in the table below.

3. Proposer shall provide hours assigned to key personnel (including key personnel of subcontractors) per task. Hours listed for key personnel on the table must match hours listed for key personnel in the Cost Proposal. Providing other units of measure does not satisfy this requirement. Failure to provide hours assigned to key personnel (including key personnel of subcontractors) per task may be sufficient cause for rejection of proposal.

4. Proposer may add/delete rows and columns as needed to the table below.

Sample Key Personnel Hours Table

Tasks Task 1 Task 2 Task 3 Task 4 Task 5 Total Key Personnel Hours (for this Agreement)

Name, Project Director, Firm Name ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

Name, Title, Firm Name ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

Name, Title, Firm Name ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

Name, Title, Firm Name ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

Name, Title, Firm Name ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

Total Key Personnel Hours Per Task

____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs. ____ hrs.

ATTACHMENT 3

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 unappealable finding of contempt of court by a Federal court has been issued against Contractor within the immediately preceding two-year period because of Contractor's failure to comply with an order of a Federal court, which orders Contractor to comply with an order of the National Labor Relations Board. (Pub. Contract Code §10296) (Not applicable to public entities.)

4. CONTRACTS FOR LEGAL SERVICES $50,000 OR MORE- PRO BONO REQUIREMENT:

Contractor hereby certifies that contractor will comply with the requirements of Section 6072 of the Business and Professions Code, effective January 1, 2003.

Contractor agrees to make a good faith effort to provide a minimum number of hours of pro bono legal services during each year of the contract equal to the lessor of 30 multiplied by the number of full time attorneys in the firm’s offices in the State, with the number of hours prorated on an actual day basis for any contract period of less than a full year or 10% of its contract with the State.

Failure to make a good faith…