RFPHSR15-91FinancialAdvisor_Addendum_1_REDLINE.pdf

REQUEST FOR PROPOSALS

FINANCIAL ADVISOR SERVICES

RFP HSR#15-91 Addendum 1

State of California

January 14, 2016

California High-Speed Rail Authority

Request for Proposals for Financial Advisors Table of Contents

Page i of ii

TABLE OF CONTENTS

1 OVERVIEW AND GENERAL INFORMATION

2 PURPOSE AND OVERVIEW OF RFP

2.1 BRIEF DESCRIPTION OF SERVICES

2.2 DEFINITIONS

2.3 ACRONYMS

3 PROCUREMENT SCHEDULE AND PROCESS

3.1 AUTHORITY’S DESIGNATED POINT OF CONTACT

3.2 ADDENDA TO RFP

3.3 NON-COMMITMENT OF AUTHORITY

3.4 PROPERTY RIGHTS

3.5 IMPROPER COMMUNICATIONS AND CONTACTS

3.6 ORGANIZATIONAL CONFLICTS OF INTEREST

3.7 CONFIDENTIALITY OF PROPOSALS

4 SUBMITTAL OF THE PROPOSALS

4.1 PROPOSAL SUBMITTAL INFORMATION

4.2 LATE SUBMITTALS

4.3 MODIFICATION OR WITHDRAWAL OF PROPOSALS

5 PROPOSAL REQUIREMENTS

5.1 REQUIRED FORMAT FOR A PROPOSAL

5.2 NUMBER OF COPIES

5.3 PACKAGING AND LABELING

6 EVALUATION

6.1 PROPOSAL EVALUATION

6.2 PROPOSAL SCORING

6.3 NOTICE OF PROPOSED AWARD

6.4 CONTRACT REQUIREMENTS AND EXECUTION PROCESS

6.5 NO CONTRACT UNTIL SIGNED & APPROVED

6.6 SUBCONTRACTORS

6.7 UNSUCCESSFUL PROPOSALS

6.8 PROPOSERS’ ADMONISHMENT

6.9 COST OF DEVELOPING PROPOSAL

6.10 ERRORS IN THE RFP

6.11 IMMATERIAL DEFECT

7 SMALL BUSINESS PREFERENCE

8 PROTEST PROCEDURES

Table of Contents

Page ii of ii

LIST OF ATTACHMENTS

1 Required Vendor Checklist

A Criteria for Awarding Points for the Technical Proposal

B Criteria for Awarding Points for the Cost Proposal

C Criteria for Awarding Points for the Interview

D Final Scoring Worksheet

E Cost Proposal Format

F Standard Contract

G Sample Task Order Documents

FORMS AND CERTIFICATIONS

Form A Schedule of Subcontractor(s)/Subconsultant(s)

Form B Organizational Conflict of Interest Disclosure Statement

Form C DVBE Declaration

Form D Bidder Declaration

Cert. 1 Contractor Certification Clauses (CCC-307)

Cert. 2 Consultant’s Overall Contract Small Business Goal Commitment Affidavit

Cert. 3 Iran Contracting Certification

Cert. 4 Darfur Contracting Act Certification

Cert. 5 Major Participant Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification

Cert. 6 Subcontractor Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification

Cert. 7 Non-Collusion Affidavit

Cert. 8 Equal Employment Opportunity Certification

Cert. 9 Non-Discrimination Certification

Cert. 10 Certification Regarding Lobbying

Request for Proposals for Financial Advisor Services

RFP HSR #15-91

1 OVERVIEW AND GENERAL INFORMATION

CALIFORNIA HIGH-SPEED RAIL AUTHORITY

The California High-Speed Rail Authority (Authority) is responsible for planning, design, construction, maintenance and operation of the first high-speed rail system in the nation. The California High-Speed Rail System (System) will connect the mega-regions of the State, contribute to economic development and a cleaner environment, create jobs and preserve agricultural and protected lands. Phase 1 service will connect the San Francisco Bay Area to the Los Angeles Basin in less than three hours at speeds of over 200 miles per hour. The System will eventually extend to Sacramento and San Diego, totaling 800 miles with up to 24 stations. In addition, the Authority is working with regional partners to implement a statewide rail modernization plan that will invest billions of dollars in local and regional rail lines to meet the State’s 21st century transportation needs.

The Authority may enter into contracts with private and public entities for the design, construction and operation of high-speed rail trains including all tasks and segments thereof pursuant to California Public Utilities Code §185036.

The Authority intends to finance the Project with State and federal funding, including funds provided by the Federal Railroad Administration (FRA) and funding made available through the American Recovery and Reinvestment Act of 2009 (ARRA), and the Greenhouse Gas Reduction Fund (GGRF). The Authority will act as the FRA-designated recipient for Federal transportation funds.

Any services or work performed must be consistent and/or compliant to the conditions set forth within the following:

California State Budget Act 2012-13, SB1029 (Chapter 152, Statutes of 2012) http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-

1050/sb_1029_bill_20120718_chaptered.pdf

California High-Speed Rail Program 2014 Business Plan (2014) http://www.hsr.ca.gov/About/Business_Plans/2014_Business_Plan.html

US DOT FRA Grant/Cooperative Agreement FR-HSR-009-10-01 (and subsequent amendments) http://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-

0009-10-01-05.pdf

The Authority is moving forward to complete Phase 1 of the System and place it in operation by 2024. It is recognized by the general public and the State leadership that the scale of this Project requires a large component of public financing, both State and federal, but it is also the http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-1050/sb_1029_bill_20120718_chaptered.pdf http://www.leginfo.ca.gov/pub/11-12/bill/sen/sb_1001-1050/sb_1029_bill_20120718_chaptered.pdf http://www.hsr.ca.gov/About/Business_Plans/2014_Business_Plan.html http://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-0009-10-01-05.pdf http://www.hsr.ca.gov/docs/about/funding_finance/funding_agreements/FR-HSR-0009-10-01-05.pdf objective of the program to leverage private investment wherever possible and maximize the opportunities for public/private partnerships (PPPs).

2 PURPOSE AND OVERVIEW OF RFP

The following list provides a general overview of information related to the subject of this Request for Proposals (RFP):

The Authority is issuing this RFP to receive Proposals from qualified firms (Proposers) for Financial Advisor Services. The purpose of this RFP is to award up to two contracts to successful Proposers as Primary and Secondary Contractors to provide financial analysis of the Authority’s existing funding plans and prospective funding sources, business planning and analysis of delivery models and procurement options and potential financing sources, among other tasks appropriate for the System.

Each of the awarded contracts for the Primary or Secondary Contractor will be issued work on a Task Order basis, based on the Sample Task Order Documents in Attachment G. Task Orders will be issued to the Primary Contractor first, if the Primary Contractor is unable to perform, then the Secondary Contractor will receive the Task Order. The total budget for all work performed under the Primary and Secondary contracts will not exceed $40 million dollars for a potential contract term up to four years. These contracts are 100 percent state funded.

Proposers will be required to commit to exercise good faith efforts to achieve the Authority’s 30 percent utilization goal for Small Business participation. A scoring preference is available in accordance with the Small Business Procurement and Contract Act (Govt.

Code § 14836 et seq.).

Proposers will be required to meet the mandatory 3 percent utilization requirement for Disabled Veteran Business Enterprises (DVBE). A scoring incentive is available if the Proposer provides documentation that it exceeds this 3 percent mandatory DVBE utilization requirement.

The RFP will be available in electronic format on the State’s Contract Register at (Cal eprocure) and on the Authority’s website at (www.hsr.ca.gov).

All questions regarding this RFP must be submitted in writing through the State’s Contract Register (Cal eprocure) and by email to the Authority’s Designated Point of Contact: Richard Vanderzanden, at richard.vanderzanden@hsr.ca.gov by the date and time listed in Table 1, for the benefit of all Proposers.

The Authority may in its sole discretion, but without being under any obligation to do so, update, amend or supplement the information, assessments or assumptions contained in this RFP through the issuance of an addendum on the Authority’s website and Cal eprocure;

or answer to a submitted question posted on Cal eprocure.

https://caleprocure.ca.gov/pages/ https://caleprocure.ca.gov/pages/ file://vsrvprohsr006/rtaylor$/Documents/Contract%20Review/RFQ%20HSR14-01%20Financial%20Services%20Consultant/www.hsr.ca.gov https://caleprocure.ca.gov/pages mailto:richard.vanderzanden@hsr.ca.gov https://caleprocure.ca.gov/pages/ https://caleprocure.ca.gov/pages/

2.1 BRIEF DESCRIPTION OF SERVICES

The Authority plans to award up to two contracts to provide financial advisor services to the Authority, which may include: financial analysis of existing and prospective funding sources;

business planning; analysis of delivery models, procurement options, and funding sources;

provide financial procurement assistance; and develop revenue analyses and plans. See Standard Agreement, Attachment F for the full Scope of Work.

2.2 DEFINITIONS

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

Authority – California High-Speed Rail Authority

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

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

Day – Calendar day, unless otherwise noted

Design-Builder – The Design-Builder performing the design and construction work for Construction Package 1, Construction Package 2-3, Construction Package 4, or Construction Package 5, as applicable and as detailed in the Design-Build Contract

Disabled Veteran Business Enterprise (DVBE) – To qualify as a Disabled Veteran Business Enterprise, the business must have received the appropriate certification issued by the California Department of General Services. This definition applies to contracts that are 100 percent state-funded

Grant/Cooperative Agreements – Agreement numbers FR-HSR-009-10-01-05 and FR-HSR-0118- 12-01-00 between the Authority and the FRA providing terms for expenditure of federal funds provided for the Project

Microbusiness (MB) – The Authority recognizes Microbusiness certifications issued by the California Department of General Services

Open Government Laws – Collectively, the California Public Records Act (Government Code section 6250, et seq.), the Bagley-Keene Open Meeting Act (Gov. Code section 11120, et seq.), and the Freedom of Information Act (5 U.S.C. section 552, as amended by Public Law No. 104- 231, 110 Stat. 3048) and other applicable State and federal open records laws

Person – Any individual, corporation, company, joint venture, partnership, trust, unincorporated organization, or governmental agency including the Authority

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

Proposer – A Person that submits a Proposal in response to this Request for Proposals http://www.calhr.ca.gov/employees/pages/state-holidays.aspx

Small Business – A for profit small business that meets the requirements and eligibility criteria set forth by the U.S. Small Business Administration and California Department of General Services for certification as a Small Business. This definition is dependent on whether the firm wishes to participate in U.S. DOT-assisted contracts or in 100 percent, State funded contracts, which are defined as follows:

a. For U.S. DOT-assisted contracts, a Small Business meets the definition for a small business concern contained in Section 3 of the Small Business Act and United States Small Business Administration regulations implementing it (13 C.F.R. Part 121) that also does not exceed the cap on average annual gross receipts specified in 49 C.F.R. Part 26.65(b). Certified SB firms participating in U.S. DOT-assisted contracts are not required to have a principal office located in California. Both State and/or federal certified SB firms are eligible to be credited toward meeting the SB goal on a U.S. DOT-assisted contract.

b. For 100 percent State funded contracts, a Small Business is independently owned and operated, with its principal office located in California and with owners living in California, has grossed $14 million or less over the previous three tax years, and is not dominant in its field of operations. This certification is issued by the California Department of General Services.

State – The State of California

Subcontractor – Defined as follows:

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

b. After award of any contract resulting from this RFP, any Person with whom the Proposer has entered into a subcontract for any part of the Work, or with whom any subcontractor has further subcontracted any part of the Work, at all tiers.

Work – All of the tasks required under the Agreement resulting from this RFP

2.3 ACRONYMS

ARRA American Recovery and Reinvestment Act of 2009

CalSTA California State Transportation Agency

Caltrans California Department of Transportation

DB Design-Build

DGS California Department of General Services

DVBE Disabled Veteran Business Enterprise

FOIA Freedom of Information Act

FRA Federal Railroad Administration

MB Microbusiness

NTP Notice to Proceed

PRA Public Records Act

RDP Rail Delivery Partner

RFP Request for Proposals

SBE Small Business Enterprise

U.S. DOT United States Department of Transportation

3 PROCUREMENT SCHEDULE AND PROCESS

Table 1 Key RFP Dates:

ACTIVITY DATE

RFP Release January 14, 2016

Deadline for Written Questions by 5:00 p.m. Pacific Time January 29, 2016

Authority to Respond to Written Questions by this Date February 5, 2016

Deadline to Submit Proposals by 3:00 p.m. Pacific Time February 23, 2016

Interviews (Sacramento, CA) March 9-10, 2016

Notice of Proposed Award March 14, 2016

Contract Start Date (Anticipated) April 25, 2016

Contract Termination Date April 24, 2020 All dates after the Proposal due date may be modified at the discretion of the Authority without issuing a formal addendum to this RFP.

3.1 AUTHORITY’S DESIGNATED POINT OF CONTACT

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

Richard Vanderzanden, Contract Buyer California High-Speed Rail Authority 770 L Street, Suite 620 MS 3 Sacramento, CA 95814 Phone: (916) 669-6617 Fax: (916) 322-0827 Email: richard.vanderzanden@hsr.ca.gov

Persons intending to submit Proposals in response to this RFP shall not contact or discuss any items related to this procurement with any Board member, Authority staff or Authority consultant other than the designated Point of Contact. Failure to comply with this communication prohibition may result in disqualification.

mailto:richard.vanderzanden@hsr.ca.gov

3.2 ADDENDA TO RFP

The Authority reserves the right to amend the RFP by addendum before the final date of Proposal submission.

3.3 NON-COMMITMENT OF AUTHORITY

This RFP does not commit the Authority to award a contract, to pay any costs incurred in the preparation of a Proposal, or to procure or contract for services or supplies. The Authority reserves the right to accept or reject any or all Proposals received as a result of this RFP, or to modify or cancel in part or in its entirety the RFP if it is in the best interests of the Authority to do so.

3.4 PROPERTY RIGHTS

Proposals received within the prescribed deadline become the property of the Authority and all rights to the contents therein become those of the Authority. All material developed and produced for the Authority under the contract for resulting from this RFP shall belong exclusively to the State. All products used or developed in the execution of any contract resulting from this RFP will be governed in accordance with the Ownership of Data Rights section in Attachment F.

3.5 IMPROPER COMMUNICATIONS AND CONTACTS

The following rules of contact shall apply during this procurement that began upon the date of issuance of this RFP and will be completed with either the execution of any contract resulting from this procurement or the cancellation of the procurement. These rules are designed to promote a fair and unbiased procurement process. Contact includes face-to-face, telephone, facsimile, electronic mail (e-mail), or formal written communication.

The specific rules of contact are as follows:

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

B. Proposers shall correspond with the Authority regarding the RFP only through the Authority’s Designated Point of Contact (see Section 3.1 of this RFP).

C. Except for communications expressly permitted by the RFP or approved in advance by the Authority’s Chief Counsel, in his or her sole discretion, no Proposer or representative thereof shall have any ex parte communications regarding the RFP or the procurement described herein with any member of the Authority Board or with any Authority or RDP staff. This includes, but is not limited to, any of the Authority’s advisors, contractors, or consultants (and their respective affiliates) that are involved with the procurement.

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

E. This Section does not apply to communications approved within this RFP, including to the Point of Contact and pursuant to Section 8 of this RFP.

F. The Proposers shall not contact the entities listed below regarding this procurement, including any employees, representatives, and members:

1. Federal Railroad Administration (FRA)

2. California State Transportation Agency (CalSTA)

3. California Department of Transportation (Caltrans)

4. California Department of General Services (DGS)

5. California High-Speed Rail Authority (except as provided in this RFP)

G. Any communication determined to be improper, at the sole discretion of the Authority, may result in disqualification.

H. The Authority will not be responsible for any oral exchange or any other information or exchange that occurs outside the official RFP process.

3.6 ORGANIZATIONAL CONFLICTS OF INTEREST

The Authority has adopted an Organizational Conflicts of Interest Policy (Policy) that will apply to this procurement and the resulting contract, in addition to the Authority’s Conflict of Interest Code and other applicable requirements. The Policy can be found on the Authority’s website at http://www.hsr.ca.gov/docs/about/doing_business/Organizational_Conflict_Interest_Policy_Fi nal9152011.pdf

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

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

2. Affect the ability of the Proposers, their subcontractors and their Affiliates (as defined in the Policy) to enter into business relationships with Authority consultants.

Failure to comply with the Policy in any respect, including the failure to disclose any actual, perceived or potential organizational conflict of interest, may result in serious consequences as described in Section V(2) of the Policy.

An organizational conflict of interest is a circumstance arising out of a Proposer’s existing or past activities, business or financial interests, familial relationships, contractual relationships, http://www.hsr.ca.gov/docs/about/doing_business/Organizational_Conflict_Interest_Policy_Final9152011.pdf http://www.hsr.ca.gov/docs/about/doing_business/Organizational_Conflict_Interest_Policy_Final9152011.pdf and/or organizational structure (i.e., parent entities, subsidiaries, Affiliates, etc.) that results in:

(i) impairment or potential impairment of a Proposer’s ability to render impartial assistance or advice to the Authority or of its objectivity in performing work for the Authority; (ii) an unfair competitive advantage for any Proposer submitting a Proposal on an Authority procurement; or

(iii) a perception or appearance of impropriety with respect to any of the Authority’s procurements or contracts, or a perception or appearance of unfair competitive advantage with respect to a procurement by the Authority (regardless of whether any such perception is accurate). If any such conflict of interest is found to exist, the Authority may:

1. Disqualify the Proposer, or

2. Determine that it is otherwise in the best interest of the Authority to contract with such Proposer and include appropriate provisions to mitigate, neutralize or avoid such conflict in the contract awarded.

Each Proposer shall fully disclose organizational conflicts of interest in its Proposal, using Form BForm B. The refusal to provide the required disclosure, or any additional information required, may result in disqualification of the Proposer. If nondisclosure or misrepresentation is discovered after award of the contract through this procurement process, the resulting contract may be terminated.

By submitting its Proposal, each Proposer agrees that, if an organizational conflict of interest is discovered following submittal of the Proposal, the Proposer will make an immediate and full written disclosure to the Authority that includes a description of the action that the Proposer has taken or proposes to take to avoid or mitigate such conflicts.

3.7 CONFIDENTIALITY OF PROPOSALS

Proposers shall not submit confidential information in their Proposals. Any information submitted during the procurement process may be released after the procurement is complete if requested by a California Public Records Act request.

4 SUBMITTAL OF THE PROPOSALS

4.1 PROPOSAL SUBMITTAL INFORMATION

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

Attention: Richard Vanderzanden California High-Speed Rail Authority

770 L Street, Suite 620, MS 3 Sacramento, CA 95814

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

Formatted: Check spelling and grammar

RFP No.: HSR#15-91

Financial Advisor Services Proposal

Proposer:

4.2 LATE SUBMITTALS

In accordance with California Public Contract Code § 10344(a), Proposals received after the specified date and time are considered late and will not be accepted. There are no exceptions to this law. Postmark dates of mailing, e-mail and facsimile (FAX) transmissions are not accepted under any circumstances and are not acceptable toward meeting the submission deadline for Proposal delivery. A Proposal is late if received any time after the date and time listed in Table 1. Proposals received after the specified time will not be considered and will be returned to the Proposer.

4.3 MODIFICATION OR WITHDRAWAL OF PROPOSALS

Any Proposal received may be withdrawn before the Proposal submittal date by written request to the Authority. The only method for a Proposer to modify its Proposal is by withdrawing its submission in its entirety prior to the Proposal Due Date, by written notification to the Authority. A complete, corrected submission package may be resubmitted prior to the Proposal Due Date. Modifications offered in any other manner will not be considered.

5 PROPOSAL REQUIREMENTS

This section contains the format requirements and instructions on how to submit a Proposal.

The format is prescribed to assist the Proposer in meeting State bidding requirements and to enable the Authority to evaluate each Proposal uniformly and fairly. Proposers must follow all Proposal format instructions, answer all questions, and supply all requested data.

Proposals shall not contain false or intentionally misleading statements, or references which do not support an attribute or condition contended by the Proposer.

5.1 REQUIRED FORMAT FOR A PROPOSAL

1. Documents should be prepared in single-spaced type, 12 point font, on 8-1/2” x 11” sheets printed double-sided. A page is considered to be a single side of an 8-1/2” x 11” sheet. Should the Proposer wish to submit materials that benefit from larger format paper sizes such as charts, drawings, graphs and schedules then they should do so sparingly.

2. The Technical Proposal shall be no longer than 50 pages in length, exclusive of the Administrative Response (Part 1) and the Cost Proposal (Part 3). Proposers may also submit an unlimited number of additional pages of examples of prior work as described in Section 5.3.2(E) of this RFP.

3. Pages should be numbered at the bottom to show the page numbers and total number of pages in the response; (e.g., Page 1 of 10, Page 2 of 10, etc.).

4. Brochures and miscellaneous materials not specifically requested will not be evaluated.

5. Unnecessarily elaborate responses and/or lengthy presentations are not desired or required by the Authority.

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

5.2 NUMBER OF COPIES

Proposers must submit the original and 6 copies of their Proposal, including the Administrative Response (Part 1), the Technical Proposal (Part 2) and the Cost Proposal (Part 3). The original should be clearly marked “Original” on its face and spine, and each copy should be marked with the Proposer’s name and numbered 1 through 6 on their spines.

Proposers must also submit electronic files of the Proposal on CD-ROM along with the paper submittal. Electronic files must be in searchable PDF format and Microsoft Excel formats.

Electronic files submitted via e-mail will not be accepted.

5.3 PACKAGING AND LABELING

The original and copies of the Proposal must be labeled "Request for Proposal HSR#15-91," and include the title of the Proposal, the name of the Proposer, and the appropriate copy number.

5.3.1 PART 1, ADMINISTRATIVE RESPONSE

5.3.1.1 TRANSMITTAL LETTER

The RFP shall be transmitted with a Transmittal Letter that must be signed by an official authorized to bind the Proposer contractually and shall contain a statement that indicates the RFP is complete and accurate. The cover letter shall provide the names, titles, addresses and telephone numbers of individuals authorized to negotiate and contractually bind the Proposer.

Resumes (Section 5.3.2.(C)), references (Section 5.3.2.(F)), certifications and business license, and the Forms and Certifications described in Section 5.3.1.2 should be attached to the Transmittal Letter.

The Proposer shall affirm in the Transmittal Letter that it has or is able to obtain the required insurance specified in Exhibit E of Attachment F of this RFP. The Proposer shall also affirm in the Transmittal Letter that it has not been terminated from another contract for default, and that the Proposer has not received a civil judgment or criminal conviction in the past 5 years.

5.3.1.2 FORMS AND CERTIFICATIONS

The Forms and Certifications shall be properly executed and included as follows, in the order provided here.

Attachment 1: Required Vendor Checklist – One copy of this form shall be completed and included with the Proposal to insure that all required elements are included in the Vendor’s proposal.

Form A: Schedule of Subcontractor(s)/Subconsultant(s) – One copy of this form shall be completed for the Proposer.

Form B: Organizational Conflict of Interest Disclosure Statement – This form shall be completed for the Proposer, as well as each team member identified on Form D.

Form C: DVBE Declaration – This form shall be completed for each DVBE Proposer team member.

Form D: Bidder Declaration – One copy of this form shall be completed for the Proposer. All team members shall be listed on this form, including the prime, joint venture members (if applicable), and all Subcontractors.

Certification 1: Contractor Certification Clauses (CCC-307) – This form shall be completed for each Proposer team member identified on Form D.

Certification 2: Consultant’s Overall Contract Small Business Goal Commitment Affidavit –

One copy of this form shall be completed for the Proposer.

Certification 3: Iran Contracting Certification – This form shall be completed for each Proposer team member identified on Form D.

Certification 4: Darfur Contracting Act Certification - This form shall be completed for each

Proposer team member identified on Form D.

Certification 5: Major Participant Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification – This form shall be completed for the Proposer and each joint venture member (if applicable).

Certification 6: Subcontractor Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Certification – This form shall be completed for each Subcontractor with a subcontract value of $25,000 or greater.

Certification 7: Non-Collusion Affidavit – One copy of this form shall be completed by the

Proposer.

Certification 8: Equal Employment Opportunity Certification - This form shall be completed for each Proposer team member identified on Form D.

Certification 9: Non-Discrimination Certification – This form shall be completed for the

Proposer and each joint venture member (if applicable).

Certification 10: Certification Regarding Lobbying – This form shall be completed for the

Proposer and each joint venture member (if applicable).

5.3.2 PART 2, TECHNICAL PROPOSAL

The Proposer should use the structure and directions within this section to organize and complete its Proposal, with reference to the criteria in Attachment A and the Scope of Work in Attachment F.

A. Approach / Methodology

The Proposer shall describe:

1. The overall approach of the Financing Strategy (see Scope of Work, Attachment F),

2. Specific techniques that will be used,

3. Specific administrative, operational and management expertise that will be employed, and

4. The allocation of resources to various tasks as a percentage of the total budget.

B. Team Organizational Structure

The Proposer must have experience developing innovative financing programs for large infrastructure projects.

1. Describe the organizational structure of the Proposer, including an organizational chart of the entire contract team.

2. Identify the location of the Proposer’s and Subcontractors’ headquarters and satellite office(s) and proposed methods of minimizing costs to the State.

3. Provide a short description of each firm and key members of the team. Indicate any history of a working relationship between the team members noting any significant success stories.

4. Describe the organization, composition, and functions to be performed by staff members of the Proposer and any subcontractors. Include a description or summary of how the Proposer intends to comply with the 30 percent small business participation goal.

5. Identify a primary contact person. This person should attend the oral interview session. Prior to the interviews, the Authority may issue additional instructions regarding number of participants or information regarding capacity of the room.

C. Proposal Team Experience and Qualifications

1. Describe the qualifications of all professional personnel to be employed, including a summary of similar work or studies performed, and a resume for each professional.

2. Include an estimate of how many hours each professional will be assigned to the contract and what tasks each professional will perform including subcontractor hours. The selected Contractor shall not cause members of the Proposal team to be substituted without prior approval of the Authority.

D. Schedule of Tasks

1. The Proposal shall contain a detailed schedule identifying major tasks to be undertaken to conduct the work, timeframe and deliverable due dates for each task.

2. The schedule shall specify the estimated hours to accomplish each task.

3. The schedule shall be in accordance with the milestones listed in the Scope of Work section of Attachment F.

E. Previous Work Products

The Proposer must have knowledge of various funding alternatives needed to implement a project of this magnitude. The Proposer must demonstrate its ability to develop dynamic financing models. The Proposer must provide detailed descriptions and documented results of previous work and experience.

Describe and provide at least one example of a similar financial analysis plan that demonstrates successfully completed relevant work by your organization or team.

F. Client References

1. Names, current addresses and telephone numbers for a minimum of three (3) clients for whom the Proposer (i.e. the prime Proposer submitting a Proposal, the joint venture submitting a Proposal, or each individual prime member of a joint venture) has performed similar work.

2. All references must have been from multi-million dollar engagements.

3. At least one reference must be a public entity with a similar type of infrastructure requirement.

4. Include the title of the project or assignment, scope of the assignment, name of each proposed team member working on that project or assignment, and the date of service of the agreement.

5. Briefly describe how the past project or assignment identified provide the experience preferred in this RFP.

5.3.3 PART 3, COST PROPOSAL

The Proposer must submit Cost Proposal information as required in Attachment E, and will be deemed the equivalent of a formal bid submission under the Public Contract Code. Rates and personnel shown must reflect rates and personnel to be charged if you were chosen as the Contractor for this RFP.

The Proposer must submit total costs of the contract by task, with a detailed breakdown showing how the costs were determined as follows:

1. Identification of position/classification titles funded

2. Percentage of time devoted to the work

3. Full loaded rates, based on actual costs plus fee

4. Travel and per diem expenses

5. Other direct costs

6.4. Subcontractors with the same type of cost details

7. Other costs (if any)

NOTE: The cost information provided will not be kept confidential.

The Authority shall compensate the successful Proposer for actual hours worked. The cost information will become a part of the final contract. The entire term of the contract and projected rate increases must be considered when preparing the budget. The rates bid are considered capped and shall not change during the term of the contract. The Contractor shall only be reimbursed for the actual billing rates up to the rate cap identified in the Cost Proposal.

All Cost Proposals must include anticipated reimbursable expenses. The rates listed on the Cost Proposal Worksheet shall be fully loaded and include all direct and indirect costs, including overhead and taxes incidental to the specified rates.

6 EVALUATION

This section explains how the Proposals will be evaluated and scored. Proposals will be evaluated and scored based on their responses to the information requested in this RFP.

The entire evaluation process from receipt of Proposals to the posting of the Notice of Proposed Award is confidential.

6.1 PROPOSAL EVALUATION

Proposals received will be evaluated and the contract awarded in the following manner, in accordance with Public Contract Code section 10344(c):

6.1.1 STAGE ONE: FULFILLMENT OF RFP MANDATORY FORMAT

Each Proposal received in accordance with the time and date set for receipt of Proposals is opened and examined to determine compliance with the RFP format requirements and administrative requirements (Part 1). If a Proposal is not rejected for technical reasons, it may still be rejected if it is deemed non-responsive.

6.1.2 STAGE TWO: EVALUATION OF PROPOSALS

Proposals that meet the Stage One evaluation requirements shall be submitted to the Authority for Stage Two technical evaluation. The Authority will evaluate and score Proposals using the methods specified in this RFP.

The Authority will evaluate and score all eligible Proposals based on the Evaluation Criteria in Attachment A. There are 500 points possible for the Technical Proposal, distributed as identified in Attachment A. The Authority may, at its discretion, seek clarification in writing of any point in the written Technical Proposal.

Note on the Cost Proposal Evaluation: The Proposer shall submit a Cost Proposal depicting their projected hours per task over the four-year term of the contract (see Exhibit A Cost Proposal Format for sample). A Cost Proposal can receive a maximum of 300 points.

The lowest Cost Proposal submitted will be awarded the full 300 points. The remaining Cost Proposals will be awarded cost points based on the Cost Proposal Formula below:

(Lowest Cost Proposal/Other Cost Proposal) x 300 points = Other Cost Proposal Score

The Cost Proposal score will be added to the Technical Proposal score, for a maximum possible technical score of 800 points.

Interviews with the Authority will be held with no fewer than the top five (5) scored proposers. If the Authority does not receive five qualified proposers, the Authority may hold Interviews with proposers at its discretion.

6.1.3 STAGE THREE: INTERVIEW

Proposers passing the technical and cost evaluation will be scheduled for a mandatory interview to be conducted at the Authority headquarters, 770 L Street, Suite 620, Sacramento, California. The Authority will use standard questions to conduct the interviews. Proposer responses will be scored in accordance with the criteria contained in Attachment C. There are 200 points possible for the interview.

6.2 PROPOSAL SCORING

The Authority will award points based upon the information provided in the Proposal according to the criteria included in this RFP. Proposals will be evaluated and scored by the Authority on a consensus basis.

6.3 NOTICE OF PROPOSED AWARD

After scoring, the Notice of the Proposed Award will be posted for five (5) working days at the Authority’s headquarters in Sacramento, and on the Authority’s website. Proposers will be notified when the Notice of Proposed Award has been posted.

6.4 CONTRACT REQUIREMENTS AND EXECUTION PROCESS

The contracts for both Primary and Secondary Contractors will be awarded to the responsive Proposers whose Proposals are given the first and second highest total scores by the Authority.

The responsive Proposer with the highest total score will be invited to contract with the Authority for the Primary contract under this RFP, and the responsible Proposer with the second highest total score will be invited to contract with the Authority for the Secondary contract under this RFP.

The rates submitted in the Cost Proposal will be incorporated into the Contract as the Budget Detail.

The Authority will not consider any changes to the Standard Contract “terms and conditions” contained in this RFP. If, for any reason, a successful Proposer does not sign the Contract documents within a reasonable time, the Authority may eliminate that Proposer from its award list and select the next highest ranked Proposer.

If the Authority cannot reach a contract with the highest ranked Proposer, the contract will be offered to the second highest ranked Proposer, and so on, until the Primary contract is executed. At the point, the next highest ranked Proposer will be invited to execute the Secondary contract.

6.5 NO CONTRACT UNTIL SIGNED & APPROVED

No contract between the Authority and the successful Proposer is in effect until the contract is signed by the Contractor, signed by the Authority, and approved by the Department of General Services.

6.6 SUBCONTRACTORS

The Proposer must submit the information required in the Team Qualifications and Experience section of the Proposal for all Subcontractors, including SBs, MBs, and DVBEs. Cost Proposals shall also be submitted for all Subcontractors and comply with the requirements in Section 5.3.3.

6.7 UNSUCCESSFUL PROPOSALS

After the Notice of the Proposed Award is posted, Proposers may request a debriefing meeting with the Authority Office of Procurement and Contracts. The meeting shall be requested within 10 working days from the date of the Notice of Proposed Award. The debriefing meeting is an opportunity for an unsuccessful Proposer to learn why their particular Proposal was not successful and may provide insight to improving Proposal preparation for future solicitations.

Any requested debriefing meetings will occur after execution of the contract.

6.8 PROPOSERS’ ADMONISHMENT

This RFP contains the instructions governing the requirements for a firm quotation to be submitted by interested Proposers, the format in which the technical information is to be submitted, the material to be included, the requirements which must be met to be eligible for consideration, and Proposer responsibilities. Proposers must take the responsibility to carefully read the entire RFP, ask appropriate questions in a timely manner, submit all required responses in a complete manner by the required date and time, make sure that all procedures and requirements of the RFP are followed and appropriately addressed, and carefully reread the entire RFP before submitting a Proposal.

6.9 COST OF DEVELOPING PROPOSAL

The Proposer is responsible for the cost of developing a Proposal, and this cost cannot be charged to the State.

6.10 ERRORS IN THE RFP

If a Proposer discovers any ambiguity, conflict, discrepancy, omission, or other error in the RFP, the Proposer shall immediately notify the Authority of such error in writing and request modification or clarification of the document. Modifications or clarifications will be given by written notice to all parties who requested the RFP, without divulging the source of the request for clarification. The Authority shall not be responsible for failure to correct errors.

6.11 IMMATERIAL DEFECT

The Authority may waive any immaterial defect or deviation contained in a Proposal. The Authority’s waiver shall in no way modify the Proposal or excuse the successful Proposer from full compliance.

7 SMALL BUSINESS PREFERENCE

The Authority’s SB Program establishes a 30 percent Small Business Enterprise (SBE) utilization goal, which is inclusive of a three percent Disabled Veteran Business Enterprise (DVBE) requirement for this Agreement. The Authority’s Small and Disadvantaged Business Enterprise Program, August 2012 (SB/DBE Program) is in compliance with the Best Practices of 49 C.F.R.

Part 26, Executive Order S-02-06, Military and Veterans Code 999 and Title VI of the Civil Rights Act of 1964 and related statutes.

The successful Proposer will be expected to make efforts to meet the SB Program goals and provide a SB Performance Plan on how the goals will be met throughout the contract duration.

The successful Proposer shall clearly identify firms being utilized to meet the SB Program goals, including the contract value and scope of work that will be used to meet these goals and requirement. The successful Proposer shall also comply with other SB Program requirements, including but not limited to SB utilization reporting, substitution/termination processes, and other performance related factors as identified in the Authority’s SB Program. The Proposer should refer to the Authority’s SB Program for a Recognized SB Roster of Certifying Agencies and the Prompt Payment Act provisions that will apply to any contract resulting from this procurement.

This RFP is also subject to a participation requirement of 3 percent certified California DVBE as set forth in Public Contract Code Section 10115 et seq. as a Minimum Requirement. Proposers shall include the percentage of Work assigned to each qualified DVBE on Form A. The Offeror shall also submit copies of current DVBE certifications for all DVBEs claimed towards the 3 percent DVBE participation requirement. Copies of the certifications are not included in the page count and should be attached to the Transmittal Letter.

The Authority SB/DBE Program Plan will be incorporated by reference into any contract resulting from this procurement. The Proposer is advised to read and become familiar with the Authority SB/DBE Program Plan, which includes the requirements for 100% state-funded contracts, and may be found on the Authority’s Small Business Policy and Program web page:

http://www.hsr.ca.gov/Programs/Small_Business/policy.html

Small Business Preference Scoring Based on Highest Scored Proposal

The five percent (5%) small business preference or non-small business subcontractor preferences are used for evaluation purposes when determining a contract award in the following situations:

A. There is at least one small business competing, and award of the contract is to be made to the highest scored responsive Proposal submitted by a responsible Proposer following an evaluation process that weighs factors other than price, together in a formula with price.

The preference shall be computed as follows:

1. The Authority shall specify the minimum number of points (680 points), that a Proposal must receive in order to be deemed responsive and of acceptable quality. If a small business does not achieve the specified minimum number of points, it shall not be entitled to the five percent (5%) preference.

2. Five percent (5%) of the score of the highest scored responsive Proposal submitted by a responsible non-small business is computed as specified in the procurement. The result of the calculation is a number that represents the preference points.

3. The preference points are then included in the formula as specified in the procurement to determine the highest scored bidder.

B. There is at least one non-small business competing that is subcontracting at least thirty percent (30%) of its net price bid to one or more small businesses, and award of the contract is to be made to the highest scored responsive bid submitted by a responsible bidder following an evaluation process that weighs factors other than price, together in a formula with price. The preference shall be computed as follows:

1. The awarding department shall specify the minimum number of points (680 points), that a Proposal must receive in order to be deemed responsive and of acceptable quality. If a non-small business does not achieve the specified minimum number of points, it shall not be entitled to the five percent (5%) preference.

http://www.hsr.ca.gov/Programs/Small_Business/policy.html

2. If the non-small business achieves the specified minimum number of points, five percent (5%) of the score of the highest scored responsive bid submitted by a responsible non-small business that is not subcontracting a minimum of thirty percent (30%) of its net price bid to one or more small businesses is computed as specified in the solicitation. The result of the calculation is a number that represents the preference points.

3. The preference points are then included in the formula as specified in the procurement to determine the highest scored bidder.

If, after application of the small business preference to the bid of a small business, that bid is equal to the highest scored bid offered by a responsible non-small business, as applicable, the contract shall be awarded to the small business for the amount of its bid.

If, after application of the non-small business subcontractor preference, a responsible non-small business that has submitted a responsive bid is the lowest bidder, and does not displace a small business from winning the award, the contract shall be awarded to the non-small business for the amount of its bid.

In the event of a precise tie between the bid of a small business and the bid of a disabled veteran business enterprise that is also a small business, the award shall go to the disabled veteran business enterprise that is also a small business.

8 PROTEST PROCEDURES

A Proposer may file a protest against the proposed awarding of a contract. Once a protest has been filed, contracts will not be awarded until the protest is withdrawn, the Authority cancels the RFP, or DGS decides the matter.

Please note the following:

Protests are limited to the grounds contained in the California Public Contract Code § 10344(c).

During the five working days that the Notice of the Proposed Award is posted, protests must be filed with DGS and the Authority’s Point of Contact listed in Section 3.1 of this

RFP.

All Proposals and all evaluation and scoring sheets will be available for public inspection at the Authority’s office in Sacramento after the Notice of Proposed Award is posed.

Within five days after filing the protest, the protesting Proposer must file with DGS and the Authority’s Point of Contact a full and complete written statement specifying the grounds for the protest if the original protest did not contain the complete grounds for the protest. All protests must be made in writing, signed by an individual authorized to bind the Proposer.

If the protest is not withdrawn or the solicitation is not canceled, DGS will decide the matter. There may be a formal hearing conducted by a DGS hearing officer or there may be briefs prepared by the Proposer and the Authority for the DGS hearing officer consideration.

Protests must be mailed or delivered as directed below, with a courtesy copy mailed or delivered to the Authority’s Point of Contact listed in Section 3.1 of this RFP.

Department of General Services Office of Legal Services Attention: Protest Coordinator 707 Third Street, 7th Floor, Suite 7-330 West Sacramento, CA 95605

FAX: (916) 376-5088

Attachment 1: Required Vendor Checklist

In accordance with Section 5, Proposal Requirements, a proposal will consist of the items identified below. Complete this checklist to confirm the items in your proposal. Place a check mark or “X” next to each item that you are submitting to the Authority.