RFP_Solicitation_Package_75A0581.pdf

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CALIFORNIA STATE TRANSPORTATION AGENCY GAVIN NEWSOM, GOVERNOR

California Department of Transportation

ADMINISTRATION

DIVISION OF PROCUREMENT AND CONTRACTS

1727 30TH STREET, MS 65

SACRAMENTO, CA 95816-7006

PHONE (916) 227-6000

TTY 711

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

March 8, 2024

Request for Proposal

Notice to Prospective Proposers RFP Number 75A0581

You are invited to review and respond to this Request for Proposal (RFP) Number 75A0581, titled Fleet Modernization. In submitting your proposal, you shall comply with the instructions found herein. In addition to those programs and preferences that are specified in this solicitation, Prospective Contractors are encouraged to consider programs and preferences that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, and other businesses covered by State programs and preferences.

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

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

A Disabled Veteran Business Enterprise (DVBE) participation is not required, but DVBE participation is encouraged, and a DVBE incentive may apply to this RFP. See Section D, Special Programs, Item 1, in this RFP for requirements.

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

The designated contact person for this RFP is:

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

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

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

Sincerely, ERIK GROEN

Contract Analyst

Caltrans RFP Number 75A0581

Table of Contents

Section Page

A) Purpose and Description of Service 1

B) Minimum Qualifications for Proposers 1

C) Proposal Requirements and Information 2

1. Time Schedule 2

2. Optional Pre-Proposal Conference 2

3. Questions and Answers 3

4. Technical Proposal Requirements 3

5. Cost Proposal Requirements 5

6. California Civil Rights Laws 6

7. Darfur Contracting Act 6

8. Iran Contracting Act 7

9. Executive Order N-6-22 – Russia Sanctions 7

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

11. Mandatory Organic Waste Recycling 7

12. Submission of Proposal 8

13. Evaluation Process 10

14. Pre-Award Audit 11

15. Award and Protest 12

16. Disposition of Proposals 12

17. Standard Conditions of Service 13

D) Special Program(s) 13

1. Disabled Veteran Business Enterprise (DVBE) Participation Requirement 14

2. Small Business Enterprise or Microbusiness Preference 14

Attachments

1 Cost Proposal Worksheet

2A Key Personnel Hours Table (Sample)

2B Sample Reference Form

3 Quotes from SB/DVBE Subcontractors

4 Proposal/Proposer Certification Sheet

5 Required Attachment Checklist

6 Criteria for Evaluation of Consultant - Technical Proposal Evaluation

7 Criteria for Evaluation of Consultant Cost Proposal

8 Accounting and Audit Guidelines

9 Proposed Form of Agreement

A) Purpose and Description of Service

1. Purpose:

The Caltrans Fleet Modernization Project shall completely refresh and redesign California’s intercity passenger fleet. Caltrans plans, administers, and oversees the intercity passenger rail services for the State of California. The current rail fleet consists of passenger rail cars of various models, types, and ownership. The passenger rail fleet consists of 139 bi-level coach class cars, business class cars, cab cars, and café (restaurant) cars. The rail fleet that is the subject of this contract consists of the following vehicles.

Ownership:

Owner Number of Vehicles Vehicle Average Age Useful life remaining

Caltrans 88 28.5 years 1.5 years

Amtrak 51 25.5 years 4.5 years

Type:

Owner Bi-level Coaches Business Class Cars

Cab Cars Café (restaurant) cars

Caltrans 46 2 22 18

Amtrak 18 17 8 8

2. Description of Work:

The Fleet Modernization Project will completely modernize California’s existing intercity fleet in a sustainable and cost-effective manner by completely renovating the vehicle interiors and exteriors over the subsequent project timeline. By using this approach, Caltrans can deliver an updated customer-oriented product to attract riders back in the post-pandemic setting saving future costs and delivering a more thoughtfully designed product compatible with modern public transportation trends.

The estimated timeframe will be nine (9) months, after which the designs will be installed upon a mock-up vehicle (or scale model). Prototype testing and production will commence after the completion of the mock-up vehicle (or scale model). By utilizing this approach, the project team can further refine the conceptual designs and make decision that will ultimately be installed on the rest of the railcar fleet over a period of 4 years. The selected design firm is expected to provide a conceptual design study supported by stakeholder surveys.

Refer to the Proposed Form of Agreement, which is attached to this RFP as Attachment 9 (Exhibit A) for a more complete description of services.

B) Minimum Qualifications for Proposers

1. Five (5) years of experience in innovative design services for transit vehicle or passenger railcar modifications.

2. Three (3) years of experience with a combination of one or more of the following:

Caltrans of the Department of Transportation of another state, A regional Transportation Planning Agency, A Metropolitan Planning Organization, An Agency of the State of California, A Transit Agency, A Federal Agency, A local agency in California, or

A business or agency providing passenger rail services

3. Five (5) years of project management oversight experience on railcar modification projects

4. Five (5) years of experience building or providing oversight on mock-up car production

5. Proposer must be based in the United States or demonstrate the ability to establish a subsidiary or sub-contracted partnership in the United States.

6. Information to demonstrate the required qualifications must be provided in the Introduction and Minimum Qualifications section of the Proposers’ Technical Proposal (refer to Section C) 3 Technical Proposal Requirements.

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 3/8/2024 Optional Pre-Proposal Teleconference 3/18/2024 11:00AM Written Question Submittal 3/25/2024 Final Date for Proposal Submission 4/11/2024 2:00PM Posting of Notice of Intent to Award (estimate) Week of 4/22/2024 Proposed Agreement Award Date (estimate) Week of 4/29/2024

2. Optional Pre-Proposal Teleconference

A. An optional pre-proposal telephone conference will be held at 11:00 AM on 3/18/2024 for the purpose of discussing this RFP.

Teleconference Dial-In Number: 1-408-418-9388

Participant Code: 2486 749 8140

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

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

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

3. Questions and Answers

A. Questions regarding this RFP must be submitted in writing by 3/25/2024. Proposers are encouraged to submit their written questions via e-mail to erik.groen@dot.ca.gov.

B. Written questions must include the individual's name, firm name, complete address and must reference RFP No. 75A0581. Questions must be sent to one of the following:

Email or mail to:

Email: erik.groen@dot.ca.gov

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

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

4. Technical Proposal Requirements

A. An original proposal marked "ORIGINAL COPY" and one (1) additional printed and bound copies and one pdf copy on a thumb drive will be required for the Technical Proposal. Each Technical Proposal shall contain at a minimum, all required items listed below. Each requirement’s location must be listed in a Technical Proposal, Table of Contents. Also see RFP Section C) 12, Submission of Proposal, for submittal details.

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

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

b. Demonstrate both technical and innovative experience in developing designs for transit vehicle or railcar modification projects and provide the information to demonstrate the minimum qualifications listed in RFP section B) Minimum Qualifications for Proposers.

2) Section 2. Project Management: Proposer shall:

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

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

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

3) Section 3. Personnel: This section of the Technical Proposal shall identify the proposed team and key personnel. Key personnel shall have experience with, and in-depth knowledge of, techniques and procedures necessary to accomplish the various tasks listed in Attachment 9 (Proposed Form of Agreement), Exhibit A, Scope of Work.

a. Identify all key personnel of the prime contractor who will be working under the Agreement and provide brief (two pages maximum) resumes.

Include titles, education, academic degrees, professional licenses, qualifications, proposed roles and responsibilities, summaries of similar work performed and expected level of availability for this Agreement.

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

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

Hours listed for key personnel on the table should match hours listed for key personnel in the Cost Proposal.

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

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

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

1. Stakeholder outreach and engagement;

2. Rail and transit vehicle design;

3. Project support and oversight;

4. Meeting facilitation;

5. Customer-centric and innovative designs for rail and transit modification projects;

6. Quality assurance and quality control with respect to the areas described in the Scope of Work.

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

c. Provide a narrative identifying any potential challenges posed by the tasks described in the Scope of Work and propose reasonable solutions to those challenges. This narrative should, quantified to the extent possible, explain how the proposer’s approach and resources will satisfactorily provide design services to support the Fleet Modernization Project.

d. Provide a minimum two (2) and maximum three (3) samples of relevant work experience identified under Task One (1) through Task Three (3) in the Scope of Work (Attachment 9, Exhibit A, Scope of Work).

5) Section 5. Work Plan and Work Schedule: Proposer shall provide a work plan and/or schedule for task completion. Identify each major task, necessary subtasks, and/or specific milestones by which progress can be measured and payments made. Provide a detailed description of the techniques, approaches, and methods to be used in performing the services (tasks and sub-tasks) listed in Attachment 9 (Proposed Form of Agreement), Exhibit A, Scope of Work. The work plan or schedule shall specify the estimated hours to accomplish each task.

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

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

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

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

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

7) Section 7 Financial Management System. This section shall demonstrate effective invoicing and accounting structure at the organization. Proposer shall provide a summary detailing the organization’s ability to demonstrate effective invoicing and accounting structure throughout the length of the contract.

8) Section 8. References: Proposer shall provide a minimum of two (2) references and a maximum of five (5) references. The references must be clients for whom the proposer has performed similar or related work in the past, preferably within the last five (5) years.

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

B. Page Headers and Page Numbering

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

Technical Proposal Date:

Agreement: 75A0581 Attachment 2 Page # of ##

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

5. Cost Proposal Requirements

A. Cost Proposal, and only the Cost Proposal, shall list all items that will be charged to Caltrans for this Agreement. Cost information of any kind for this Agreement is not allowed in the Technical Proposal. Cost Proposal shall include both prime contractor and all subcontractors cost information. Cost Proposals shall follow the format provided in the sample Cost Proposal Worksheet, Attachment 1, and shall be submitted along with Technical Proposal in one (1) sealed envelope. The total amount of the Agreement may not exceed the amount set forth in Attachment 1. Any proposal in excess of $1,800,000.00 shall be deemed non-responsive.

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

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

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

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

C. Page Headers and Page Numbering

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

Cost Proposal Date Agreement No. 75A0581 Attachment 1 Page # of ##

6. California Civil Rights Laws

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

7. Darfur Contracting Act

A. The Darfur Contracting Act, California Public Contract Code Section 10475-10481, applies to any company that currently or within the previous three (3) years has had business activities or other operations outside of the United States. The Act was passed by the California Legislature and signed into law by the Governor to preclude State agencies generally from contracting with “scrutinized” companies that do business in the African nation of Sudan (of which the Darfur region is a part), for the reasons described in California Public Contract Code Section 10475. All bidders shall complete the Darfur Contracting Act Certification and submit with bid. The Darfur Contracting Act Certification (ADM-0077) must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0077.

B. If your company has not, within the previous three (3) years, had any business activities or other operations outside of the United States, complete Option 1 on the Darfur Contracting Act Certification.

C. A scrutinized company is a company doing business in Sudan as defined in California Public Contract Code 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 (Pub. Cont. Code Section 10477(a)).

D. Therefore, Public Contract Code Section 10478(a) requires a company that currently has (or within the previous three (3) 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 Public Contract am Code Section10477(b).

8. Iran Contracting Act

A. Pursuant to the Iran Contracting Act of 2010 (Pub. Cont. Code Sections 2200 et seq., hereinafter “the Act”), persons identified on the list established under Public Contract Code Section 2202.5 (hereinafter, “List”) are ineligible to bid on, submit a proposal for, enter into, or renew any contract with the State for goods or services of one million dollars or more.

B. Any person, who submits a bid or proposal, must complete and submit to Caltrans with its bid or proposal, the Iran Contracting Act Certification, certifying that it is not on the most current List unless the person is exempted from the certification requirement by PCC Section 2203 (c) or (d). If claiming an exemption, the person shall provide written evidence that supports an exemption under PCC Section 2203(c) or (d) with its bid or proposal. The Iran Contracting Act Certification (ADM-0078) must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=ADM0078.

C. Any person, for a contract that is exempt from bidding or is renewed, or for whom a contract is otherwise awarded by the State, must complete and submit to Caltrans the Iran Contracting Act Certification, certifying that it is not on the most current List, before the contract has been executed by the parties, unless the person is exempted from the certification requirement by Public Contract Code Section 2205(c) or (d). If claiming an exemption, the person shall provide written evidence that supports an exemption under Public Contract Code Section 2203(c) or (d), before execution of the contract.

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

On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under state law unless the contract has been Federalized (i.e.

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

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

The California Department of Transportation, in accordance with the provisions of Title VI of the

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

11. Mandatory Organic Waste Recycling

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

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

12. Submission of Proposal

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

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

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

C. Caltrans does not accept alternate Agreement language from a prospective contractor. A proposal with such language will be considered a counter proposal and will be rejected. The State’s General Terms and Conditions (GTC 04/2017) are not negotiable. The GTC 04/2017 may be viewed at Internet site: https://www.dgs.ca.gov/OLS/Resources/Page- Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language.

D. All proposals shall include the documents identified in this RFP’s Required Attachment Checklist, Attachment 5. Proposals not including the proper "required attachments" may be deemed non-responsive. A non-responsive proposal is one that does not meet the basic proposal requirements.

E. Responses to this RFP shall be submitted in one (1) sealed package/envelope containing both the Technical Proposal – Original and one (1) pdf copy on a thumb drive, and Cost Proposal – Original and one (1) pdf copy on a thumb drive.

F. Proposals must be submitted no later than 2:00 p.m., 4/11/2024, and addressed as follows (reference Section C1, Time Schedule):

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

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

Agency/Firm Name Address RFP Number 75A0581 RFP Title Fleet Modernization Project

DO NOT OPEN

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

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

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

Mail or *deliver to:

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

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

RFP Number 75A0581 RFP Title Fleet Modernization Project Firm Name: (Add firm name)

DO NOT OPEN

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

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

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

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

K. Only an individual who is authorized to contractually bind the proposing firm shall sign the Proposal/Proposer Certification Sheet, Attachment 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 are also posted on Cal eProcure at https://caleprocure.com/pages/index.aspx

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

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

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

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

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

13. Evaluation Process

A. Format Requirements

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

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

B. Evaluation of Proposals

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

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

Evaluation Factor/Sub Factor Weight (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) Phase 1: Technical Proposal Evaluation

Proposals that are determined to be responsive and meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Proposer’s Technical Proposal, Attachment 6.

3) Cost Proposal Evaluation

Cost Proposals that meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Proposer’s Cost Proposal, Attachment 7.

4) The final proposal score will be the combined evaluation scores from the Technical Proposal and Cost Proposal, and any applicable preference points set forth in this RFP.

The Agreement will be awarded to the Proposer with the highest combined score who meets the requirements outlined in this RFP, pending approval by Caltrans’ Business Enterprise Program, of that proposal’s satisfactory compliance of DVBE requirements, Small Business participation, and approval of any applicable Preference Programs set forth in this RFP.

C. Miscellaneous Award Issues

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

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

Cont. Code Section 10344[d]).

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

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

14. 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

Factor/Sub Factor the accounting system is adequate and, if necessary, recommend that an interim audit be performed. At a minimum, the proposal must have an accounting system that meets the following objectives:

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

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

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

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

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

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

C. The costs proposed must be reasonable.

15. 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:

http://www.dot.ca.gov/dpac/viewnoticesofintenttoaward.html for five (5) working days prior to awarding the Agreement.

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

If any proposer, prior to the award of Agreement, files a protest with Caltrans, 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 and Contracts Attention: Bid, Protest, and Disputes Manager 1727 30th Street, MS 65 Sacramento, CA 95816 Phone Number: (916) 639-6340 Email:

DPAC.Protest.Disputes.Terminations@dot.ca.gov

Department of General Services Office of Legal Services Attention: Bid Protest Coordinator 707 Third Street, 7th Floor, Suite 7- West Sacramento, CA 95605 Phone Number: (916) 376-5098 Email: OLSProtests@dgs.ca.gov

Within five (5) days after filing the initial protest, the protesting proposer shall file with 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.

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

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

16. Disposition of Proposals

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

17. Standard Conditions of Service

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

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

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

C. Antitrust Provisions

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

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

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

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

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

D. Loss Leader usage is prohibited in this solicitation: It is unlawful for any person engaged in business within this State to sell or use any article or product as a "loss leader" as defined in California Business and Professions Code Section 17030. "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 Requirements

A DVBE participation is not required, but DVBE participation is encouraged, and a DVBE incentive may apply to this RFP. See Section D, Item 2, Paragraph B, in this RFP for requirements.

B. DVBE Incentive Program

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. 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.

Caltrans will apply an incentive to proposals proposing the utilization of DGS Certified DVBE firms identified on the Bidder Declaration, GSPD-05-105. Information provided on the Bidder Declaration, GSPD-05-105 shall be verified by Caltrans prior to the award of the contract. The incentive points are equal to a percentage of the total possible points based on the amount of DVBE participation in the proposal being evaluated per the Tables below.

Tables for RFP

Participation 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%

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 total possible available points.

Additional information: https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch- Intro-Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business- Enterprise/Certification-Program

2. Small Business Enterprise or Microbusiness Preference

A. Government Code Section 14835 et seq. requires that a five percent (5%) preference be given to proposers 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, the proposer must have its principal place of business located in California, satisfy all of the SB or MB requirements, and be certified by the DGS, Office of Small Business and Disabled Veteran Business Services (OSDS). If proposer is claiming the five percent (5%) certified SB or MB preference, complete the Proposal/Proposer Certification Sheet, Section 16, (Attachment 4) and attach a copy of your certification. Additionally, the proposer may satisfy the non-SB requirements described below.

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 twenty five 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 4, and complete Bidder Declaration form, GSPD-05-105, 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). 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

F. Questions regarding the certification approval process or SB program should be directed to DGS, OSDS at (800) 559-5529. For the 24-hour recording call (916) 375-4940, or submit E-mail requests to: OSDSHelp@dgs.ca.gov

Additional References: https://www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro- Accordion-List/Office-of-Small-Business-and-Disabled-Veteran-Business- Enterprise/Certification-Program

G. SB or MB proposers or proposers using the “Non-Small Business” preference shall be granted a preference consisting of five percent (5%) of the highest responsible proposer’s total score if the highest scored proposal is from a non-certified SB or MB

Attachment 1

Sample Cost Proposal Worksheet

Cover Page

TABLE 1 Total Costs* Per Task

Total Not to Exceed Costs for Task 1 $

Total Not to Exceed Costs for Task 2 $

Total Not to Exceed Costs for Task 3 $

*Grand Total for this Agreement $

Notes:

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

TABLE 2 Total Costs for Prime and Each Subcontractor

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

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

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

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

Grand Total*** for this Agreement $

Notes:

**Grand Total in Table 1, Table 2, and Table 3 should match.

TABLE 3 Total Costs for Prime and Each Subcontractor Sub-Tasks

Total Not to Exceed Costs for Task 1.1 $

Total Not to Exceed Costs for Task 1.2 $

Total Not to Exceed Costs for Task 1.3 $

Total Not to Exceed Costs for Task 2.1 $

Total Not to Exceed Costs for Task 2.2 $

Total Not to Exceed Costs for Task 2.3 $

Total Not to Exceed Costs for Task 3.1 $

Total Not to Exceed Costs for Task 3.2 $

Grand Total*** for this Agreement $

*Grand Total in Table 1, Table 2, and Table 3 should match.

Cost Breakdown for Task 1

Prime Contractor: (Firm Name)

Direct Labor Cost

Personnel (name and title) Hours Rate* (per hour) Total (Hours X Rate)

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

Staff Name - Clerical _____hrs. @ $_____ $_____

Staff Name - Title _____hrs. @ $_____ $_____

Staff Name - Title _____hrs. @ $_____ $_____

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

Other Direct Costs (except labor)

Research $_____

Supplies $_____

Travel $_____

Other Direct Costs (itemize) $_____

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

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

Task 1.1 Not to Exceed Costs $_____

Task 1.2 Not to Exceed Costs $_____

Task 1.3 Not to…