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EXPOSITION METRO LINE CONSTRUCTION AUTHORITY
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EXPOSITION METRO LINE CONSTRUCTION AUTHORITY

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  • 1. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY REQUEST FOR PROPOSALS (RFP) No. XP8901-813 CLAIM SUPPORT SERVICES
  • 2. TABLE OF CONTENTS Page PART I - BACKGROUND INFORMATION............................................................................... 1 101. INTRODUCTION ........................................................................................................ 1 102. DEFINITIONS.............................................................................................................. 1 103. ISSUING AGENCY ..................................................................................................... 2 104. CONTENTS OF RFP/EXAMINATION OF DOCUMENTS...................................... 2 105. PROJECT DESCRIPTION........................................................................................... 3 106. CONSULTANT SCOPE OF WORK ........................................................................... 3 107. BASIS FOR AWARD .................................................................................................. 3 108. CONTRACT TYPE ...................................................................................................... 3 PART II - INSTRUCTIONS TO PROPOSERS............................................................................ 4 201. SCHEDULE OF KEY EVENTS .................................................................................. 4 202. PRE-PROPOSAL CONFERENCE .............................................................................. 4 203. RFP REVIEW AND MODIFICATION PROCEDURE .............................................. 4 204. PREPARATION OF PROPOSALS ............................................................................. 5 205. FORMAT AND STRUCTURE OF THE PROPOSAL................................................ 5 206. SUBMITTAL OF PROPOSALS.................................................................................. 6 207. PACKAGE A -- BACKGROUND, FORMS, AND CERTIFICATIONS ................... 6 208. PACKAGE B -- QUALIFICATIONS/TECHNICAL PROPOSAL............................. 7 209. DESIGNATED CONTACTS AND COMMUNICATIONS ....................................... 9 210. RFP WITHDRAWAL .................................................................................................. 9 211. OWNERSHIP OF PROPOSALS ............................................................................... 10 212. ACCEPTANCE OF PROPOSALS............................................................................. 10 213. CONFIDENTIALITY................................................................................................. 10 214. WITHDRAWAL OF PROPOSAL ............................................................................. 10 215. EXCEPTIONS TO PROPOSAL ................................................................................ 10 216. DISQUALIFICATION OF PROPOSALS ................................................................. 10 217. CONFLICT OF INTEREST ....................................................................................... 11 218. IMPROPER CONDUCT ............................................................................................ 11 219. PROHIBITIONS OF LOBBYING AND CONTACTS ............................................. 11 220. COLLUSION CLAUSE ............................................................................................. 12 221. INCONSISTENCIES IN CONDITIONS ................................................................... 12 222. FEDERAL REQUIREMENTS................................................................................... 12 223. INCLUSION OF TERMS AND CONDITIONS ....................................................... 12 PART III - EVALUATION PROCESS AND AWARD............................................................. 13 301. RECEIPT OF PROPOSALS ...................................................................................... 13 302. AUTHORITY EVALUATION COMMITTEE ......................................................... 13 303. INITIAL REVIEW OF PROPOSALS........................................................................ 13 RFP No. XP8901-813 (Engineering and Claim Support Services) December 1, 2008 i
  • 3. 304. EVALUATION OF ACCEPTABLE PROPOSALS .................................................. 13 305. EVALUATION FACTORS AND WEIGHTS........................................................... 14 306. POST SELECTION NEGOTIATIONS ..................................................................... 16 307. AWARD AND CONTRACT EXECUTION ............................................................. 16 308. NOTIFICATION OF AWARD AND DEBRIEFING................................................ 16 PART IV - AUTHORITY PROTEST PROCEDURES .............................................................. 17 401. PURPOSE ................................................................................................................... 17 402. GENERAL.................................................................................................................. 17 403. DEFINITIONS............................................................................................................ 17 404. GROUNDS FOR PROTEST ...................................................................................... 17 405. CONTENTS OF PROTEST ....................................................................................... 18 406. TIMING REQUIREMENTS AND CATEGORIES OF PROTESTS ........................ 18 407. REVIEW OF PROTEST BY THE AUTHORITY..................................................... 19 408. EFFECTS OF PROTEST ON PROCUREMENT ACTIONS ................................... 19 409. SUMMARY DISMISSAL OF PROTESTS ............................................................... 20 410. PROTEST DECISIONS ............................................................................................. 20 411. FEDERAL TRANSIT ADMINISTRATION APPEALS........................................... 21 412. JUDICIAL APPEALS ................................................................................................ 21 PART V - FORMS AND CERTIFICATIONS............................................................................ 22 FORM PRL - FORM OF PROPOSAL LETTER................................................................... 22 DISADVANTAGED BUSINESS ENTERPRISE (DBE) COMPLIANCE........................... 24 DBE INFORMATION............................................................................................................ 24 FORM NC - NON-COLLUSION AFFIDAVIT..................................................................... 26 INFORMATION SHEET: FORM CCD - CAMPAIGN CONTRIBUTION DISCLOSURE............................................................................................................ 27 INFORMATION SHEET: FORM GD - GIFT DISCLOSURE ............................................ 31 DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS................ 35 CERTIFICATION OF RESTRICTIONS ON LOBBYING................................................... 36 ATTACHMENTS Attachment A – Scope of Work (SOW) Attachment B – Terms and Conditions – Services Contract Attachment C – Federal Requirements and Contract Clauses Attachment D – Design Build Contract No. 1-06 (For Reference Only) - ii -
  • 4. PART I - BACKGROUND INFORMATION 101. INTRODUCTION This Request for Proposals is issued by the Exposition Metro Line Construction Authority (Authority or Expo) to seek proposals from interested parties to provide Engineering and Claim Support Services for the Exposition Metro Line Construction Authority. 102. DEFINITIONS As used in this Request for Proposals – 1. Agreement or Contract. The terms “Agreement” and “Contract” mean the Agreement for DBE and Engineering and Claim Support Services to be entered into by the Authority and the Consultant. 2. Authority or Expo. The term “Authority” or “Expo” means the Exposition Metro Line Construction Authority. 3. Consultant. The term “Consultant” means the entity that is selected by the Authority pursuant to this RFP and that is awarded the contract to provide Engineering and Claim Support services for the Authority and the Project. 4. Contracting Officer. The term “Contracting Officer” means the Authority staff person responsible for the administration of the RFP and the Contract. The Contracting Officer for this procurement is the individual identified in Section 206 of this RFP. 5. Days. The term “days” means calendar days, unless otherwise specified. 6. Dispute. The term “dispute” shall mean a disagreement between the parties as to the merits, amount or remedy arising out of an issue in controversy, including a disagreement regarding a Claim or asserted default. 7. Dispute Review Board “DRB”. The term “Dispute Review Board” refers to a three member panel established to assist in the resolution of disputes arising out of the conduct of the Work associated with the design and construction of the Exposition project. 8. Governing Board. The term “Governing Board” means the Board of Directors of the Authority. 8. Key Personnel. The term “Key Personnel” means the Proposers Project Manager, Lead Claim Consultant, and Forensic Cost Engineer. 9. Project. The term “Project” means the Exposition Light Rail Construction Project. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 1
  • 5. 10. Proposer. The term “Proposer” means any person submitting a proposal in response to this RFP. 11. Prospective Proposer. The term “Prospective Proposer” refers to any person who takes one or more of the following actions: (A) receives the RFP by electronic or direct mail; (B) attends the pre-proposal conference; or (C) registers with the Authority as a Prospective Proposer. This term is intended to cover firms that would propose as the prime consultant and does not include subcontractors. 12. RFP. The term “RFP” means this Request for Proposals No. XP8901-813. 103. ISSUING AGENCY The public agency issuing this RFP is the Exposition Metro Line Construction Authority (“Authority” or “Expo”). The Authority was created pursuant to California State law, and is responsible for the design and construction of a Light Rail Transit line between downtown Los Angeles and Culver City under Phase 1, and, if authorized, to Santa Monica under Phase 2. The Authority entered into a contract for the design and construction of Phase 1 of the Exposition Project in March 2006, following a competitive procurement process, and design and construction work on Phase 1 has commenced under that contract with FCI/Flour/Parsons, A Joint Venture. A consulting contract for the environmental and preliminary engineering for Phase 2 was awarded in January. The Authority requires the services of a qualified firm to provide Engineering and Claim Support Services associated with Phase 1 and, if approved, Phase 2 Project construction. 104. CONTENTS OF RFP/EXAMINATION OF DOCUMENTS A. Contents -- This RFP sets forth the requirements governing preparation, submission, and contents of proposals submitted by Proposers seeking to be awarded the Contract, and describes the process and factors under which proposals will be evaluated and the successful Proposer will be selected. The RFP package includes the following documents: 1. Request for Proposals/Instructions to Proposers, including the evaluation process, protest procedures, and required forms and certifications 2. Scope of Work -- Attachment A 3. Terms and Conditions -- Attachment B 4. Federal Requirements and Contract Clauses -- Attachment C 5. Design-Build Contract – Attachment D B. Required Examination of Documents -- Each Proposer is responsible for examining all of these documents and fully informing itself of all relevant aspects of the Project. In submitting a Proposal, Proposers are representing that they have thoroughly examined this RFP and have become familiar with the Scope of Work. In the implementation of this RFP and the Contract awarded pursuant to this RFP, the “Contract Documents” will include all of the EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 2
  • 6. items listed above. The order of precedence of the Contract Documents is set forth in Article I of the Terms and Conditions in Attachment B hereto. 105. PROJECT DESCRIPTION The Exposition Metro Line Construction Authority is inviting qualified consultant or team of consultants to provide: 1) Claim Analysis Services; and 2) DRB Presentations; in accordance with local, state and federal laws, standards and guidelines. The contract will be awarded on the basis of demonstrated competence and qualifications and other factors, based upon the evaluation criteria set forth under Section 305. 106. CONSULTANT SCOPE OF WORK The Consultant shall provide professional engineering, claim support services and technical forensic claims assistance on an “as needed” basis to support the EXPOSITION METRO LINE CONSTRUCTION AUTHORITY as set forth in Attachment A hereto. The Consultant or team of Consultants shall satisfy all legal and programmatic requirements associated with engineering, claim support services and technical forensic claims assistance, including oversight, filings, reports and other deliverables in accordance with the respective local, state and federal requirements. 107. BASIS FOR AWARD Any contract resulting from this RFP will be awarded to the responsive and responsible Proposer earning the highest total evaluation score under the terms of the evaluation criteria set forth under Section 305. The Authority may invite Proposers within the competitive range for interviews to discuss the merits and/or deficiencies of their respective proposals; however, the Authority is under no obligation to enter into discussions or conduct negotiations with a Proposer, and reserves the right to award a contract on the basis of the offers received. 108. CONTRACT TYPE It is anticipated that the Contract resulting from this RFP, if awarded, will be a fixed unit rate (i.e., labor hour) contract with a not-to-exceed amount. The Terms and Conditions to be included in the Contract are set forth in Attachment B. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 3
  • 7. PART II - INSTRUCTIONS TO PROPOSERS 201. SCHEDULE OF KEY EVENTS The schedule of key events for the procurement, leading to the award of the Contract, are as follows: EVENT DATE Issuance of RFP January 9, 2009 Pre-Proposal Meeting: 2:30 p.m.@ Expo Headquarters Building January 14, 2009 Requests for addenda and clarifications due January 19, 2009 Authority deadline for issuance of clarifications and/or addenda January 26, 2009 Proposal due date February 5, 2009 Consultant Interviews (If Required) February 11 –16, 2009 (TBD) Negotiations (if necessary) February17–23, 2009 (TBD) Recommendation for Contract Award (Authority Board) March 5, 2009 Kick-off Meeting and Final Contract Execution March 12, 2007 (TBD) The Authority reserves the right to modify the above schedule in its sole discretion, with appropriate written notice to all Prospective Proposers. 202. PRE-PROPOSAL CONFERENCE The Pre-Proposal Conference will be held on January 14, 2009, at. 2:00 p.m., Pacific Time, at Expo headquarters, located at 707 Wilshire Blvd., Ste. 3400, Los Angeles, California 90017. Attendance by interested parties is recommended, but not required. 203. RFP REVIEW AND MODIFICATION PROCEDURE A. Requests -- Any request for addenda or amendments to, or clarification or modification of this RFP must be submitted to the Authority’s Contracting Officer in writing at the address listed in Section 206. Any such request must be received by 4:00 p.m., Pacific Time, January 19, 2009. All requests must be accompanied by an identification of the Prospective Proposer and a reference to this RFP. B. Responses -- The Contracting Officer will make a determination and provide a written response to each request made by a Prospective Proposer pursuant to Subsection A. The written responses will be mailed or otherwise furnished to all prospective Proposers in accordance with the schedule in Section 201. C. Exchange of Information -- The Authority reserves the right to conduct one- on-one meetings with Prospective Proposers for purposes of improving the understanding of the Authority’s requirements and addressing industry issues and concerns. Any modifications to the EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 4
  • 8. Authority’s requirements or to the procurement process resulting from these meetings will be set forth in written addenda issued by the Authority. D. Addendum -- The Authority reserves the right, upon the request of a Prospective Proposer or upon its own initiative, to issue addenda to this RFP. In any such case, a written addendum will be provided to all Proposers. Any clarification, amendment, or other change or addition to the RFP must be provided to Proposers in written addendum form by the Contracting Officer. The Authority is not bound by any oral interpretations, clarifications, or changes made to this RFP by the Authority’s agents or employees. Proposers will be required to acknowledge, in the Proposal Letter (PRL Form) accompanying their Proposals, that they have received all addenda issued by the Authority. 204. PREPARATION OF PROPOSALS A. Acceptance of Terms -- Proposers understand and agree that submittal of a proposal will constitute acknowledgement and acceptance of, and a willingness to comply with, all the terms, conditions, and criteria contained in this RFP and in the Terms and Conditions and other Contract Documents, except as otherwise specified by an Exception stated in the PRL Form. Any and all parts of the submitted proposal may become part of the subsequent Contract between the selected Consultant and the Authority. B. False Statements -- False, incomplete, or unresponsive statements in connection with a proposal, or failure to adhere to the instructions in this RFP, may be sufficient cause for rejection of the proposal. The evaluation and determination of the fulfillment of this requirement will be the Authority’s responsibility and its judgment will be final. C. Format and Content -- Proposals shall provide a straightforward, concise delineation of the Proposer’s capability to satisfy the requirements of this RFP. Proposals shall be in the requested format, and shall provide all pertinent information specified in Sections 207 and 208 of this RFP. Each proposal shall be signed in ink by a duly authorized officer of the Proposer. 205. FORMAT AND STRUCTURE OF THE PROPOSAL Each proposal shall respond fully to the requirements of this RFP, and all proposal information shall be included in the following proposal volumes: • Package A. Proposer Background, Forms, and Certifications -- The Proposer Background Submittal provides basic legal, financial, and background information about the Proposer. • Package B. Qualifications/Technical Proposal -- The Qualifications/Technical Proposal provides information regarding the Proposer’s technical qualifications, experience, and approach to performing the Work, and will be the basis for evaluating and scoring the Proposals. • Note that this is a qualifications based RFP pursuant to the Brook’s Act. Price will not be a ranking factor. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 5
  • 9. 206. SUBMITTAL OF PROPOSALS A. Address for Submittals -- All proposals are to be submitted to the attention of: Bud Gandy Contracting Officer Exposition Metro Line Construction Authority 707 Wilshire Boulevard 34th Floor Los Angeles, CA 90012 B. Due Date -- Proposals must be received by the Authority no later than 3:00 p.m., Pacific Time, on February 5, 2009. Proposals will be received at the offices of the Authority at the above address and will be time-stamped upon receipt. Proposals time stamped 3:01 p.m. or later will be considered late and not be accepted. Late proposals will be returned unopened to the Proposer. C. Address of Proposer -- All Proposals submitted must include the name and address of the Proposer and a reference to “RFP No. XP8901-813.” No responsibility will attach to the Authority, or any official or employee thereof, for the pre-opening or, post-opening of, or the failure to open a Proposal not properly addressed and identified. D. Specific Requirements -- Each proposal shall be submitted on 8½” x 11” paper with a minimum 11 point font. Proposals shall consist of one unbound original and six (6) bound copies and shall adhere to the following page limitations: 1. Package A -- 45 pages. 2. Package B -- 50 pages. For the purpose of determining compliance with page limitations, 11” x 17” page sizes are acceptable for Organizational and Staffing charts only. Each such oversized page will be counted as one (1) page. 207. PACKAGE A -- BACKGROUND, FORMS, AND CERTIFICATIONS Each Proposer shall submit Package A that includes each of the materials set forth below. The forms and certifications referenced are set forth in Part V of this RFP. Tab A-1 Proposal Letter. Each Proposer shall submit a proposal letter using Form PRL. The proposal letter shall identify the Proposer and each of its Joint Venture members, general partners, and/or EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 6
  • 10. Major Subcontractors. Further, each Proposer shall identify any Exceptions taken to this RFP or the Terms and Conditions, in accordance with Section 215. Tab A-2 Disadvantaged Business Enterprise Requirements. Each Proposer must submit the information described below regarding its willingness and capability to comply with the Federal Disadvantaged Business Enterprise (DBE) requirements. 1. A statement that the Proposer will comply with the DBE Regulations of the U.S. Department of Transportation (49 C.F.R. Part 26) and with the DBE Program set forth in the DBE Program and Compliance Manual. 2. A statement that the Proposer (a) will adapt and utilize the race-neutral means identified in Section 26.51(b) of Title 49 C.F.R. as appropriate for application to this Project, and (b) will, to the maximum extent feasible, undertake these means of encouraging race neutral participation in the performance of the Scope of Work. Tab A-3 Non-Collusion Affidavit/Affirmation. Each Proposer shall submit Form NC certifying that the proposal is not the result of and has not been influenced by collusion. Tab A-4 Campaign Contribution and Gift Disclosure Forms. Each Proposer shall submit Form CCD and Form GD with respect to campaign contributions and gifts. Separate forms shall be submitted by the Proposer, its Joint Venture members, general partners, and Major Subcontractors. Tab A-5 Debarment, Suspension, and Other Responsibility Matters. Each Proposer must submit the Debarment, Suspension, and Other Responsibility Matters Form with their proposal, certifying the debarment and suspension status of the Proposer, any of its principals, and its Joint Venture members, general partners, and Major Subcontractor(s). Tab A-6 Certification of Restrictions on Lobbying. Proposers must sign and submit the Certification of Restrictions on Lobbying. 208. PACKAGE B -- QUALIFICATIONS/TECHNICAL PROPOSAL Each Proposer shall submit a Qualifications/Technical Proposal which explains the qualifications of the Proposer to perform the Work and sets forth the approaches, organizational structures, and EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 7
  • 11. procedures which the Proposer intends to follow to ensure successful completion of the Scope of Work. This Submittal shall provide the following information, with the contents and in the sequence set forth below: Tab B-1 Qualifications and Experience. 1. Provide a profile of the Proposer(s) and/or Major Subcontractors, including types of services offered; the year founded; form of organization (corporation, partnership, sole proprietorship); and a brief description of similar projects on which the Proposer and its team members, have performed services within the past five (5) years. For each of the projects cited, indicate when it was completed and the status of its implementation. 2. Describe the Proposers experience in providing engineering support, claim support/analysis and DRB presentations for public entities or major construction projects. 3. Provide references from each of the projects cited in paragraph (1). Furnish the name, title, address, and telephone number of the person(s) at the client organization who is most knowledgeable about the work performed. Additionally, the Proposer may supply references from other work not cited in this section as related experience. Tab B-2 Organization, Staffing, and Credentials. 1. Identify the prime contractor and major subcontractors and all other team members, and the specific areas of responsibility of each identified firm. Describe any experience of these team members in working together. 2. Identify the proposed Project Manager and Key Personnel proposed to perform the Work identified in the Scope of Work tasks, and include major areas of subcontracted work, if any. A list and description of similar projects completed by key staff, preferably as employees of the proposing firm(s). Include references, which can be contacted for projects that the firm has managed within the last five (5) years. 3. Provide education, experience, and professional credentials (including brief resumes of no more than two (2) pages each) of the Project Manager, Key Personnel, and Project staff with responsibility for significant task elements of the Scope of Work. Specifically indicate the year in which individuals worked on projects cited in their qualifications or resumes. 4. Include a project organization chart, which clearly delineates communication and reporting relationships between the Project Manager, Key Personnel, and other Project staff, including subcontractors. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 8
  • 12. 5. Include a statement that the proposed Project Manager and other Key Personnel will be available to the extent proposed for the duration of the Project, with an express acknowledgement by the Proposer that no person designated as “key” to the project shall be removed and/or replaced without the prior written concurrence of the Authority. Tab B-3 Approach to the Work. 1. Provide a narrative addressing the Proposers management and technical approach to claim resolution and DRB presentation, including its approach for completing the tasks in Scope of Work in the most cost effective manner, and demonstrating the Proposers understanding of the needs and requirements of the Authority in this RFP. 2. The approach (or work plan) must respond to the stated RFP objectives and expectations. Discussion of the approach to be used to satisfy the requirements of the Scope of Work (i.e. how will the firm manage data collection/analysis and reporting.) The work plan should include a tentative list and schedule of meetings proposed, data gathered and deliverables developed by the Proposer. Proposers are encouraged to develop conceptual flow charts showing how tasks would communicate with each other. 3. Identify the Proposers current workload and indicate the firm’s capability to accomplish current projects and this Project with its current work force 4. Provide an explanation of how Project coordination will be undertaken, including how the Proposer will manage its subcontractors (if applicable). 209. DESIGNATED CONTACTS AND COMMUNICATIONS A. Contact -- The designated Authority representative for all questions relating to this Request for Proposals is Bud Gandy, Contracting Officer, at the address set forth in Section 206A. B. Communications -- Communications in connection with this RFP shall be in writing and shall be delivered personally; by electronic mail; by facsimile; by telegram; or by regular, registered, or certified mail addressed to the person named in subsection above. All communications must identify the RFP Number. Telephone calls or facsimile messages may be used to expedite communications, but shall not be official communications unless confirmed in writing. 210. RFP WITHDRAWAL The Authority reserves the right to withdraw this RFP at any time without prior notice, and makes no representations that any Contract will be awarded to any Proposer responding to this EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 9
  • 13. RFP. The Authority expressly reserves the right to postpone proposal opening for its own convenience, to waive any informality or irregularity in the proposals received, and to reject any and all proposals received in response to this RFP without indicating any reasons for such rejection. 211. OWNERSHIP OF PROPOSALS All documents submitted by the Proposer in response to this RFP shall become the property of the Authority and will not be returned to the Proposer. The concepts and ideas in the information contained in the proposal, including any proprietary, trade secret or confidential information, submitted by Proposer shall also become the property of the Authority (1) if submitted by the successful Proposer, upon award and execution of the Contract; and (2) if submitted by an unsuccessful Proposer, following the completion of the procurement process. 212. ACCEPTANCE OF PROPOSALS Each proposal shall be submitted with the understanding that it constitutes an offer to perform each element of the Scope of Work in accordance with the terms of the proposal, this RFP, the Terms and Conditions, and the other Contract Documents, and that it is binding on the Proposer if accepted by the Authority. 213. CONFIDENTIALITY Subject to applicable law, the Authority will use reasonable efforts to maintain confidentiality during the proposal process. 214. WITHDRAWAL OF PROPOSAL A Proposer may not withdraw its proposal during the 180-day period after the Proposal Due Date without written consent of the Authority. Any costs incurred by Proposers in responding to this RFP in anticipation of receiving a Contract award are the Proposer’s sole expense and will not be reimbursed by the Authority 215. EXCEPTIONS TO PROPOSAL Proposers must identify, in Form PRL, any exceptions to the provisions of this RFP, including the Terms and Conditions in Attachment B. If no exceptions are stated, it will be assumed and understood that all provisions will be complied with, without exception. ANY EXCEPTIONS MAY BE CONSIDERED MATERIAL AND BE CAUSE FOR REJECTION OF A PROPOSAL ON THE GROUNDS IT IS NON-RESPONSIVE. 216. DISQUALIFICATION OF PROPOSALS Proposers may be disqualified and proposals may be rejected for any of (but not limited to) the following causes: EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 10
  • 14. 1. Lack of signature by an authorized representative on the Proposal. 2. Failure to properly complete the Proposal. 3. Evidence of collusion among proposers. 4. Unauthorized alteration of proposal forms. The Authority reserves the right to waive any minor informality or irregularity. 217. CONFLICT OF INTEREST A. Description of Conflicts -- No employee, officer or agent of the Authority shall participate in the selection, or in the award or administration, of the Contract if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when one of the following has a financial or other interest in any firm proposing on or selected for the award: 1. The employee, or an officer or agent of the employee; 2. Any member of the employee’s immediate family; 3. The employee’s business partner; or 4. An organization, which employs, or is about to employ, any of the above. B. Prohibition on Gratuities -- The Authority’s officers, employees, or agents shall neither solicit nor accept gratuities, favors, or anything of monetary value from Proposers, prospective Proposers, subcontractors to Proposers, or other parties to subagreements whereby the intent would reasonably be inferred as influencing the employee in the performance of his or her duties or was intended as a reward for any official act on his or her part. 218. IMPROPER CONDUCT If a Prospective Proposer, or anyone representing or acting on behalf of or at the direction of the Proposer, offers or gives any advantage, gratuity, bonus, discount, bribe or loan of any sort to the Authority, including agents or anyone representing the Authority at any time in connection with this RFP or the Contract, the Authority shall immediately disqualify the Proposer and may sue the Proposer for damages. 219. PROHIBITIONS OF LOBBYING AND CONTACTS A. Prohibition -- No person (or entity) submitting a proposal in response to this RFP, nor officer, employee, representative, agent, or consultant representing such a person (or entity) shall contact through any means or engage in any discussion concerning the award of the contract with any Member of the Governing Board of the Authority (or his or her personal staff) during the period beginning on the date of issuance of this RFP and ending on the date of Contract Award. Any such contact will be grounds for the disqualification of the Proposer. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 11
  • 15. B. Limitation on Contacts -- During the period beginning on the date of issuance of this RFP and ending on the date of Contract Award, any contact with the Authority staff by a Proposer should be limited to the pre-proposal conference under Section 202, the written clarification and addenda process described in Section 203, and any interviews held pursuant to Section 304. Any contact with Authority officials or staff other than pursuant to those established processes will be grounds for disqualification of the Proposer. 220. COLLUSION CLAUSE A. Collusion -- Any evidence of agreement or collusion among Proposers will render the proposals of each such Proposer void. B. Disclosure -- Advance disclosure of any information to any particular Proposer which gives that particular Proposer any advantage over any other interested Proposer, in advance of the proposal due date, made or permitted by a member of the Authority’s Governing Board or an employee or representative thereof, will operate to void any proposals of that Proposer. 221. INCONSISTENCIES IN CONDITIONS In the event there are inconsistencies between the Terms and Conditions in Attachment B and other terms or conditions contained in this RFP, the former will take precedence. 222. FEDERAL REQUIREMENTS The Project is funded in part with Federal financial assistance, and, accordingly, the Federal requirements and contract clauses that will be binding on the Consultant are set forth in the Federal Requirements and Contract Clauses document in Attachment C hereto. In addition, certain Federal requirements are addressed through certifications required under Part V of this RFP. 223. INCLUSION OF TERMS AND CONDITIONS All provisions and conditions contained herein may become part of any subsequent Contract awarded as a result of this RFP. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 12
  • 16. PART III - EVALUATION PROCESS AND AWARD 301. RECEIPT OF PROPOSALS Each Proposal received in response to this RFP will be placed in a secure location with access limited to specific Authority staff and representatives. All proposals will be reviewed and evaluated in accordance with this Part III. 302. AUTHORITY EVALUATION COMMITTEE The Authority will establish an Evaluation Committee with responsibility for reviewing all proposals and conducting the reviews, evaluations, and scoring described in this Part. The Evaluation Committee shall be chaired by the Contracting Officer or his or her designee. In addition, the Evaluation Committee may, in its discretion, utilize outside experts and financial consulting or reporting services to assist in the evaluation process. 303. INITIAL REVIEW OF PROPOSALS A. Compliance Determination -- The Evaluation Committee will first review and evaluate Part A of each Proposer’s submittal to determine whether the Proposer has properly provided the background information, forms, and certifications required to be included in Part A. Evaluation will be on a pass/fail basis. Proposals that are non-responsive to the RFP, or that otherwise do not provide the required information, will be considered non-compliant. Non- compliant Proposals will not be subject to further review, evaluation, or scoring by the Authority. Proposers will be notified in writing if their Proposals are found non-compliant. B. Minor Irregularities -- Minor informalities, irregularities, and apparent clerical mistakes which are unrelated to the technical content of the Proposal shall not be the basis for finding a proposal to be non-compliant, if corrected promptly by the Proposer upon receipt of notification from the Authority. The Authority reserves the right to notify a Proposer of such a minor irregularity following the initial review under this Section. 304. EVALUATION OF ACCEPTABLE PROPOSALS A. General -- Each proposal that is determined, pursuant to Section 303, to meet the requirements of this RFP and to pass all pass/fail criteria will be deemed to be “Acceptable” and will then be evaluated by the Evaluation Committee in accordance with the following provisions of this Section and will be scored using the evaluation criteria and weights set forth in Section 305. B. Technical Qualifications Evaluation -- The Evaluation Committee will conduct an evaluation of all acceptable proposals under the criteria set forth in Section 305. The Authority reserves the right to select for Contract award the Proposer earning the highest total evaluation score under the criteria in Section 305, based on the evaluation of the initial proposals as submitted, without interviews or discussions. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 13
  • 17. C. Interviews and Discussion -- Interviews and discussions may, in the discretion of the Authority, be held by the Contracting Officer and members of the Evaluation Committee with all Proposers determined to have submitted acceptable proposals. Interviews will normally include a presentation by the Proposer, following by questions and requests for clarification by the Contracting Officer and members of the Evaluation Committee. Proposers should be prepared to fully explain and justify all aspects of their proposals. The results of such interviews may be considered in the evaluation and scoring of proposals under Section 305. D. Client References -- The Evaluation Committee may contact any of a Proposer’s client references to discuss the Proposer’s qualifications and past performance. The results of any such reference checks may be considered in the evaluation and scoring of proposals under Section 305. E. Recommendation -- Following the completion of evaluation by the Evaluation Committee and the scoring of Proposals in accordance with this Section, the Contracting Officer will make an award recommendation based upon the criteria set forth in Section 305. That recommendation will be submitted to the Authority’s CEO, who will serve as the source selection official for purposes of making the final selection recommendation to the Governing Board of the Authority. F. Single Proposal -- If only one proposal is received in response to this RFP, the Authority may, in its discretion, negotiate a Contract with that single proposer if its proposal meets the requirements of this RFP, and may award a Contract to that proposer if agreement can be reached on final terms and conditions and if the price proposed is found by the Authority to be fair and reasonable. 305. EVALUATION FACTORS AND WEIGHTS A. General -- The Authority will, through its Evaluation Committee, evaluate and score the acceptable proposals submitted in response to this RFP on the basis of the factors set forth in Subsection B of this Section. B. Scoring -- Any proposals resulting from this RFP will be evaluated by the Evaluation Committee in accordance with the stated criteria and associated weights. Sub-criteria are equally weighted. Proposals may be reevaluated for all criteria and subcriteria after the establishment of a competitive range by the Committee, and the completion of the presentation/interview portion of the evaluation. C. EVALUATION FACTORS 1. Experience & Qualifications 50% The Evaluation Committee shall evaluate the overall relevant experience of each firm, with respect to performing the tasks outlined in the SOW. The Committee shall evaluate and/or conduct the following: • Evaluation of past performance by the firm in providing comparable services. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 14
  • 18. • Evaluation of relevant experience in providing Engineering and Claim Services. • Evaluation of the experience of the proposed staff and a review of resumes. • Reference checks from previous clients. 2. Approach to the Work 50% The proposed work plan shall be reviewed carefully and evaluated by the Committee using the following sub-criteria: • Methodology and Approach. The proposed methodology and approach shall be evaluated. At a minimum, the Committee shall evaluate the following items: How the firm proposes to perform the required work elements; What unique practices/methods the firm proposes to provide; Does the proposal demonstrate the firm’s understanding of the required work; Does the overall proposal meet the requirements as detailed in the SOW; Do all the individual work elements tie together to support the overall proposal; Does the proposal make sound business sense; and Is the proposal formulated in a coherent and professional manner. • Resource and Staff allocation. The Committee shall evaluate the proposed allocation of resources and staff assigned to this project. Items that may be evaluated by the Committee include: Is the allocation sufficient to meet the proposed work plan and schedule; Is the allocation proper, in both hours and level of staffing, to meet the proposed work plan and schedule; and Review of work assignments and relevant experience per assignment. • Project Management. The Committee shall evaluate how the firm proposes to manage the project. Items that may be evaluated by the Committee include: The assignment and role of the Project Manager; The proposed method of tracking and managing deliverables; Subcontractor Management. 3. Presentation and Interview Only firms included in the competitive range by the Evaluation Committee, based on the evaluation score, shall be invited to make a brief presentation to the Committee if required. The presentation shall provide a comprehensive overview of the firm’s proposal, focusing on the work plan, experience and schedule. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 15
  • 19. Following each presentation, there shall be a 30-minute interview session where the Committee may ask questions regarding the participant’s proposal. The results of the presentation and interview may be used by Committee members to re-evaluate the overall proposal and determine a final rating for each proposal. 306. POST SELECTION NEGOTIATIONS A. Negotiations -- Following the evaluation process, the Authority will negotiate with the highest ranking firm. B. Recommendation for Award -- After negotiations are complete, the CEO shall make a recommendation for Contract Award to the Governing Body. 307. AWARD AND CONTRACT EXECUTION Promptly following Board authorization of contract award, the Authority will deliver execution copies of the Contract Agreement to the selected Proposer. The selected Proposer shall execute and deliver all such execution copies to the Authority within seven (7) days of receipt, together with evidence of insurance and any other documents required to be provided at Contract execution, as stated in the Terms and Conditions. 308. NOTIFICATION OF AWARD AND DEBRIEFING Each Proposer that submits a Proposal in response to this RFP shall be notified in writing regarding the Proposer that was awarded the Contract. Proposers that are not awarded the contract may obtain an explanation and/or response concerning the strengths and weaknesses of their Proposal(s). Any such Proposer wishing to be debriefed, must request the debriefing in writing, and the Contracting Officer must receive the request by U.S. mail or fax within three (3) working days of receiving notification as described above. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 16
  • 20. PART IV - AUTHORITY PROTEST PROCEDURES 401. PURPOSE The purpose of this Part is to set forth the procedures to be utilized by the Authority in considering and determining all protests or objections regarding this RFP, and shall supplement the procedures set forth in Authority’s Administrative Code. 402. GENERAL In order for a protest to be considered by the Authority, it must be submitted by an interested party (as defined below) in accordance with the procedures set forth herein. A protest which is submitted by a party which is not an interested party or which is not in accordance with the procedures shall not be considered by the Authority, and will be returned to the submitting party without any further action by the Authority. 403. DEFINITIONS For purposes of these Protest Procedures: A. The term “bid” includes any proposal submitted by an offeror in response to this RFP. B. The term “contract” means that document to be entered into between the Authority and the successful bidder and offeror. C. The term “days” refers to normal business days of the Authority staff offices. D. The term “interested party” for purposes of a protest submitted prior to the proposal due date means any person who is a Prospective Proposer, and for purposes of a protest submitted on or after the proposal due date shall mean a party that has timely submitted a proposal in response to this RFP. E. The term “solicitation” means the RFP. 404. GROUNDS FOR PROTEST Any interested party may file a bid protest with the Authority on the grounds that: A. The Authority has failed to comply with applicable Federal or State Law; B. The Authority has failed to comply with its procurement policy manual; EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 17
  • 21. C. The Authority has failed to comply with the terms of the solicitation in question, including the failure to adhere to the evaluation criteria set forth in the solicitation, if applicable; or D. The Authority has issued restrictive or discriminatory specifications. 405. CONTENTS OF PROTEST A. A bid protest must be filed in writing and must include: 1. The name and address of the protestor. 2. The name and number of the procurement solicitation. 3. A detailed statement of the grounds for the protest, including all relevant facts and a citation to the Federal or State law, the provisions of the Authority procurement procedures, or specific term of the solicitation alleged to have been violated. 4. Any relevant supporting documentation the protesting party desires the Authority to consider in making its decision. 5. The desired relief, action, or ruling sought by the protestor. B. Protests must be filed with: Bud Gandy c/o Exposition Metro Line Construction Authority Board Secretary 707 Wilshire Boulevard 34th Floor Los Angeles, CA 90012 C. All protests must be received by the Authority address listed above during normal office hours of 8:00 a.m. to 5:00 p.m., Pacific Standard or Daylight Time. D. If any of the information required by this section is omitted or incomplete, the Authority will notify the protestor, in writing, within one day of the receipt of the protest, and the protestor will be given one day to provide the omitted or incomplete information in order for the protest to be further considered. Note that this provision only applies in the case of a failure to state any grounds for a protest and does not apply to stating inadequate grounds for a protest or the failure to submit documentation. 406. TIMING REQUIREMENTS AND CATEGORIES OF PROTESTS The Authority will consider the following categories of bid protests within the time period set forth in each category: EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 18
  • 22. A. Any bid protest alleging improprieties in a solicitation process or in solicitation documents must be filed no later than five days prior to the scheduled deadline for submittal of proposals, as appropriate, in order to be considered by the Authority. Any protest based on such grounds not filed within this period will not be considered by the Authority. This category of protests includes, but is not limited to, allegation of restrictive or exclusionary specifications or conditions. B. Any bid protests regarding the evaluation of bids or proposals by the Authority, or improprieties involving the approval or award or proposed approval or award of a contract must be filed with the Authority no later than five (5) working days after publication of the written recommendation for award. Any protest filed after such date which raises issues regarding the bid or proposed evaluation, or the contract approval or award will not be considered by the Authority. 407. REVIEW OF PROTEST BY THE AUTHORITY A. The Authority will notify the protestor within 3 days of timely receipt of a bid protest that the protest is being considered. B. In the notification, the Authority will inform the protestor of any additional information required for evaluation of the protest by the Authority, and set a time deadline for submittal of such information. If the Authority requests additional information, and it is not submitted by the stated deadline, the Authority may either review the protest on the information before it, or decline to take further action on the protest. C. In its sole discretion, the Authority may give notice of any bid protest to other bidders or proposers for the procurement involved in the protest, as appropriate, and permit such bidders or offerors to submit comments to the Authority relative to the merits of the bid protest. The Authority will set a time deadline for the submittal of such comments, which will be no less than 5 days after the Authority provides notification of the protest. D. In its sole discretion, the Authority may schedule an informal conference on the merits of a bid protest. All interested parties will be invited to participate in the conference. Any information provided at the conference will only be considered by the Authority in deciding the bid protest if it is submitted to the Authority in writing within 3 days after the conference. 408. EFFECTS OF PROTEST ON PROCUREMENT ACTIONS A. Upon receipt of a timely protest regarding evaluation of bid or proposals, or the approval or award of a contract, the Authority will suspend contract approval or other pending action, or may issue a stop work order if appropriate, until the resolution of the protest. In this event, the successful bidder or proposer may not recover costs as a change order. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 19
  • 23. B. Notwithstanding the pendency of a bid protest, the Authority reserves the right to proceed with any appropriate step or action in the procurement process or in the implementation of the contract in the following cases: 1. Where the item to be procured is urgently required; 2. Where the Authority determines, in writing, that the protest is vexatious or frivolous; 3. Where delivery or performance will be unduly delayed, or other undue harm to the Authority will occur, by failure to make the award promptly; or, 4. Where the Authority determines that proceeding with the procurement is otherwise in the public interest. 409. SUMMARY DISMISSAL OF PROTESTS The Authority reserves the right to summarily dismiss all or any portion of a bid protest that raises legal or factual arguments or allegations that have been considered and adjudicated by the Authority in a previous bid protest by any interested party in the same solicitation or procurement action. 410. PROTEST DECISIONS A. After review of a bid protest by appropriate Authority staff and/or legal counsel, a recommendation shall be made to the Chief Executive Officer of the Authority concerning the appropriate disposition of such protest. B. The recommendation shall be made on the basis of the information provided by the protestor and other parties, the results of any conferences, and the Authority’s own investigation and analysis. C. The decision of the Chief Executive Officer of the Authority shall be in writing and shall be the final binding agency action. Except in exceptional circumstances, the decision of the Chief Executive Officer of the Authority will be issued within 30 days after the date all relevant information is submitted according to the dealings set forth in these procedures. D. If the protest is upheld, the Authority will take appropriate action to correct the procurement process and protect the rights of the protestor, including resolicitation, revised evaluation of bids or proposals or the Authority’s determination, or termination of the contract. E. If the protest is denied, the Authority will lift any suspension imposed and proceed with the appropriate stage of the procurement process or the contract. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 20
  • 24. 411. FEDERAL TRANSIT ADMINISTRATION APPEALS A. A protestor adversely affected by a bid protest decision of the Authority may submit a protest to the Federal Transit Administration (FTA) in accordance with the provisions of FTA Circular 4220.1, as currently in effect as of the date of the Authority’s decision on the bid protest. B. Under the provision of the FTA Circular, FTA will only review protests regarding the alleged failure of the Authority to have written protest procedures or the alleged failure to have followed such protest procedures or the alleged failure to review a complaint or protest. C. In accordance with the FTA Circular, such protest must be filed no later than 5 days after the protestor knew or should have known of the Authority’s alleged failure listed above. D. Under the following conditions, the Authority may proceed with the procurement in spite of a pending protest to the FTA: 1. The items to be procured are urgently required; 2. Delivery or performance will be unduly delayed by failure to make the award promptly; or 3. Failure to make prompt award will otherwise cause undue harm to the Authority or the Federal Government. 412. JUDICIAL APPEALS A protestor adversely affected by a bid protest decision may appeal such decision to an appropriate court of the State of California. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 21
  • 25. PART V - FORMS AND CERTIFICATIONS FORM PRL - FORM OF PROPOSAL LETTER To: Exposition Metro Line Construction Authority Dear: RFP No. _____(the “RFP”) 1. Having inspected the RFP Documents and all other information issued by the Exposition Metro Line Construction Authority (the “Authority”) in connection with the Project which is described or listed in the RFP Documents, we [jointly and severally] offer to execute the Project in accordance with the RFP Documents, this Proposal Letter, and the Proposal Documents. Initially capitalized terms used in this Proposal Letter and the Proposal Documents shall have the meanings set forth in the RFP and the Contract. 2. The Proposer is a ___________________ [identify form of organization, and identify all equity participants in the Proposer]. In consideration for the Authority supplying us, at our request, with the RFP Documents and agreeing to examine and consider this Proposal, we undertake [jointly and severally]: a) to keep this Proposal open for acceptance for 180 days after the Proposal Due Date without unilaterally varying or amending its terms and, if the Proposer is a partnership or Joint Venture, without any member or partner withdrawing or any other change being made in the composition of the entity on whose behalf this Proposal is submitted; and b) if this Proposal is accepted, to provide security for the due performance of the Contract as stipulated in the Contract and the RFP. 3. We understand that the Authority is not bound to accept any proposal the Authority may receive. 4. We further understand that all costs and expenses incurred by us in preparing this Proposal and participating in the RFP process will be borne solely by us. 5. The Proposer agrees that the Authority will not be responsible for any errors or omissions in this Proposal. 6. This Proposal shall be governed by and construed in all respects according to the laws of the State of California. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 22
  • 26. 7. The Proposer acknowledges receipt of the following Addenda (identify by number and date): No. Date ______ ________________ ______ ________________ ______ ________________ [Insert the Proposer's name] By: ________________________________ Print Name: _________________________ Title: _______________________________ Exceptions (if any): EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 23
  • 27. DISADVANTAGED BUSINESS ENTERPRISE (DBE) COMPLIANCE DBE INFORMATION The Request for Proposals and Section 27 of the Draft Agreement affirm the Authority’s policy that DBEs as defined by 49 C.F.R. Part 26 shall have the opportunity to compete fairly for contracts financed in whole or in part with Federal funds. Those provisions also commit the Proposer/Consultant to undertake race neutral means to encourage participation of DBEs as provided in Section 26.51(b) of Title 49 of the C.F.R. For the Proposers’ convenience that regulatory provision is excerpted as follows: Sec. 26.51(b) (b) Race-neutral means include, but are not limited to, the following: (1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate DBE, and other small businesses, participation (e.g., unbundling large contracts to make them more accessible to small businesses, requiring or encouraging prime contractors to subcontract portions of work that they might otherwise perform with their own forces); (2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing); (3) Providing technical assistance and other services; (4) Carrying out information and communications programs on contracting procedures and specific contract opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in languages other than English, where appropriate); (5) Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses; (6) Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency; (7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low; (8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors; and (9) Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 24
  • 28. DISADVANTAGED BUSINESS ENTERPRISE (DBE) COMPLIANCE FORM MUST BE COMPLETED BY PROPOSER ONLY. COMPLETION OF THIS FORM IS REQUIRED. FAILURE TO COMPLETE THIS FORM WILL BE DEEMED BY THE AUTHORITY A FAILURE TO COMPLY WITH THE DBE REQUIREMENTS. The Proposer will comply with the DBE Regulations of the U.S. Department of Transportation (49 C.F.R. Part 26). The Proposer (a) will adapt and utilize the race-neutral means identified in Section 26.51(b) of Title 49 C.F.R. as appropriate for application to this Project, and (b) will, to the maximum extent feasible, undertake these means of encouraging race neutral participation in the performance of the scope of work. Date: City: State: Company Name: By: Authorized Signature Printed Name Title: EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 25
  • 29. FORM NC - NON-COLLUSION AFFIDAVIT STATE OF _____________________________________ COUNTY OF ___________________________________ Each of the undersigned, being first duly sworn, deposes and says that is the _______ of and is the ________________ of ________________, which entity(s) are the ____________ of , the entity making the foregoing Proposal, that the Proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization or corporation; that the Proposal is genuine and not collusive or sham; that the Proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any Proposer or anyone else to put in a sham proposal or that anyone shall refrain from proposing; that the Proposer has not in any manner, directly or indirectly, sought by agreement, communication or conference with anyone to fix the Proposal Price or any component of the Proposal Price, of the Proposer or any other Proposer, or to fix any overhead, profit or cost element included in the Proposal, or of that of any other Proposer, or to secure any advantage against the Authority of anyone interested in the Contract; that all statements contained in the Proposal are true; and, further, that the Proposer has not, directly or indirectly, submitted its Proposal Price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company, association, organization, proposal depository or any member or agent thereof to effectuate a collusive or sham proposal. The Proposer will not, directly or indirectly, divulge information or data regarding the price or other terms of its Proposal to any other Proposer, or seek to obtain information or data regarding the price or other terms of any other Proposal, until after award of the Contract or rejection of all Proposals and cancellation of the RFP. ____________________________ _________________________________ (Signature) (Signature) ____________________________ _________________________________ (Name Printed) (Name Printed) ____________________________ _________________________________ (Title) (Title) Subscribed and sworn to before me this _____________day of _____________, 2006. Notary Public in and for) ............................................................................. ) SS ............................................................................. said County and State ) ............................................................................. ............................................................................. [Seal] My commission expires: _______________________ [Duplicate or modify this form as necessary so that it accurately describes the entity making the proposal and so that it is signed on behalf of all general partners or joint venturers of the proposer.] EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 26
  • 30. INFORMATION SHEET: FORM CCD - CAMPAIGN CONTRIBUTION DISCLOSURE Note: Separate forms shall be submitted by Proposer, each general partner or Joint Venture member of the Proposer, each Guarantor and all named Major Subcontractors. This form should be submitted with the Proposal on the Proposal Due Date. The forms submitted do not need to include the information sheet, just Form CCD itself. Information Sheet Each person submitting a statement of qualifications, proposal or bid to enter into a contract with the Exposition Metro Line Construction Authority, each of its general partners or Joint Venture members, each Guarantor, and each person identified as a Subcontractor in the proposal must complete the attached Campaign Contribution Disclosure Form. Important Notice The basic provisions of Government Code Section 84308 and Public Utilities Code Section 132610 as applicable to contractors, prospective contractors and subcontractors are as follows: I. If you are a contractor, a prospective contractor, a general partner or Joint Venture member, Guarantor or Subcontractor of a contractor or prospective contractor, or a Major Subcontractor, you are prohibited from making a campaign contribution of more than $250 to any Board Member or his or her alternate or other Authority officer. This prohibition begins on the date the Authority releases documents requesting statements of qualifications (“RFQ”), requests for proposals (“RFP”) or invitations for bid (“IFB”) and ends three months after the Board of Directors awards the contract. In addition, no Board Member or alternate or Authority officer may solicit or accept a campaign contribution of more than $250 from you during this period. II. These prohibitions also apply to your agents, and, if you are a closely held corporation, to your majority shareholder as well. Also included are parent companies and subsidiary companies directed and controlled by you, and political action committees directed and controlled by you. III. Each of you must file the attached disclosure form and disclose whether you or your agent(s) have in the aggregate contributed more than $250 to any Board Member or his or her alternate or any other Authority officer during the 24 month period preceding the release of the RFP or IFB. IV. To determine whether a campaign contribution of more than $250 has been made by you, campaign contributions made by you within the preceding 24 months must be aggregated with those made by your agent within the preceding 24 months. Contributions made by your majority shareholder (if a closely held corporation), your subcontractor(s), your joint venture members, and EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 27
  • 31. your partner(s) in the proceeding must also be included as part of the aggregation. Campaign contributions made to different Members of the Board of Directors or their alternates or different Authority officers are not aggregated. V. If you, your agent, general partners, joint venture members, Guarantors and Major Subcontractors have in the aggregate contributed more than $250 to any individual Board Member or his/or her alternate or other Authority officer during the 24 months preceding the release of the RFP or IFB, that Board Member or alternate or other Authority officer must disqualify himself or herself from the decision. However, disqualification is not required if the Board Member or alternate or other Authority officer returns the campaign contribution within 30 days from the time the recipient knows, or should have known, about both the contribution and the fact that you have indicated a desire to enter into a contract with the Authority. VI. The Campaign Disclosure Form should be completed and filed with your proposal or bid, or with the first written document you file or submit after the proceeding commences A list of the Board Members and alternates and other Authority officers is attached. This notice summarizes the major requirements of Government Code Section 84308 of the Political Reform Act, 2 Cal. Adm. Code Sections 18438.8 and Public Utilities Code Section 132410. You should consult these statutes and regulations for specific information. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 28
  • 32. FORM CCD - CAMPAIGN CONTRIBUTION DISCLOSURE DISCLOSURE FORM Name of Entity: Address of Entity: Contract Title: No contributions have been made in the preceding 24 months. The following campaign contributions have been made in the preceding 24 months: Board Member(s), Board Alternate(s) or Authority officer(s) to whom campaign contributions were made and dates of contribution(s) in the preceding 24 months: Name of Recipient of Contribution: Name of Contributor (if other than Party): Date(s): Amount(s): Name of Recipient of Contribution: Name of Contributor (if other than Party): Date(s): Amount(s): Name of Recipient of Contribution: Name of Contributor (if other than Party): Date(s): Amount(s): [Add additional sheets as necessary.] Date: Signature of Party and/or Agent EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 29
  • 33. BOARD MEMBERS Director/Alternate Yvonne Burke, Chair Supervisor – Second District Alternate - Mike Bohlke Jan Perry, Vice Chair Council Member – 9th District Alternate – Bill Rosenthal Alan Corlin – Vice-Mayor Culver City Alternate – Scott Malsin Pam O’Connor, Mayor City of Santa Monica Alternate – Bobby Shriver Bernard Parks Council Member – 8th District Alternate – Vacant Herb Wesson, Jr. Council Member – 10th District Alternate – Vacant Supvr. Zev Yaroslavsky Supervisor – Third District Alternate – Vivian Rescalvo Roger Snoble CEO, METRO Ex Officio Member AUTHORITY OFFICERS Richard D. Thorpe, CEO Samantha Bricker, COO EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 30
  • 34. INFORMATION SHEET: FORM GD - GIFT DISCLOSURE Note: Separate forms shall be submitted by Proposer, each general partner or Joint Venture Member of each Guarantor, and each named Major Subcontractors. This form should be submitted with the Proposal on the Proposal Due Date. The forms submitted do not need to include the information sheet, just the Disclosure Form itself. Information Sheet The attached Gift Disclosure Form must be completed by Proposer, each of its general partners or Joint Venture members, each Guarantor, and each person identified as a Subcontractor in the proposal. Important Notice Basic Provisions of Government Code Section 87100 and Public Utilities Code Section 132610: I. Board members and their alternates and all Authority employees (“employees”) are prohibited from accepting gifts valued at more than $10 from contractors, subcontractors, the general partners or Joint Venture members of contractors. II. All contractors, general partners and Joint Venture members of all contractors, potential contractors and subcontractors with the Authority must file the attached disclosure form and disclose whether they have in the aggregate contributed $10 or more to any Board member or his or her alternate or any employee during the 12 month period preceding the date of submission of a response to a request for statements of qualifications, request for proposals or invitation for bid. III. Board members and alternates must disqualify themselves from decisions to award a contract which will have a material financial effect on a donor of a gift of more than $10 in the preceding 12 months. IV. A list of Board Members and their alternatives and Authority employees is attached. V. The Gift Disclosure Form should be completed and filed with each response to a request for a statement of qualifications, request for proposals or invitation to bid. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 31
  • 35. VI. This form summarizes the provisions of Government Code Section 87100 and Public Utilities Code Section 132610. You should consult these statues for more specific information. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 32
  • 36. GIFT DISCLOSURE FORM No gifts have been made in the preceding 12 months. The following gifts have been made in the preceding 12 months: Donor’s Name: Donor’s Address: Proposed or Current Contract: Board Member(s) or Alternate(s), or staff member to whom you and/or your agent made gifts in excess of $10 in the prior 12 months. Name of Recipient: Date(s): Amount(s): Name of Person Making Gift (if other than Party): Donor’s Name: Donor’s Address: Proposed or Current Contract: Board Member(s) or Alternate(s), or staff member to whom you and/or your agent made gifts in excess of $10 in the prior 12 months. Name of Recipient: Date(s): Amount(s): Name of Person Making Gift (if other than Party): [Attach additional forms if necessary.] Date: Name of Entity EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 33
  • 37. BOARD MEMBERS Director/Alternate Yvonne Burke, Chair Supervisor – Second District Alternate - Mike Bohlke Jan Perry, Vice Chair Council Member – 9th District Alternate – Bill Rosenthal Alan Corlin – Vice-Mayor Culver City Alternate – Scott Malsin Pam O’Connor, Mayor City of Santa Monica Alternate – Bobby Shriver Bernard Parks Council Member – 8th District Alternate - Vacant Herb Wesson, Jr. Council Member – 10th District Alternate – Vacant Supvr. Zev Yaroslavsky Supervisor – Third District Alternate – Vivian Rescalvo Roger Snoble CEO, METRO Ex Officio Member AUTHORITY OFFICERS Richard D. Thorpe, CEO Samantha Bricker, COO EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 34
  • 38. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS 1. The Proposer certifies to the best of its knowledge and belief, that it and its principals and any subcontractor with a subcontract with a value of over $ 250,000: a. Are not presently debarred, suspended, proposed, for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency, b. Have not within three-year period preceding this proposal been convicted of or have civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) transaction or contact under a public transaction, violation of Federal or state antitrust statutes, or commission of embezzlements, theft, forgery, bribery, falsification, or destruction of records, making false statements, or receiving stolen property; c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, state, or local) with commission of any of the offenses listed in paragraph 1b of this certification; and d. Have not within a three year period preceding this certification had one or more public transactions (Federal, state, or local) terminated for cause or default. 2. The proposer also certifies that if, later it becomes aware of any information contradicting the statements of paragraphs 1(a) through 1(d) above, it will promptly provide that information to the Authority. 3. If the proposer is unable to certify the statements within paragraphs (1) and (2) above, it shall provide a written explanation to the Authority. _______________________ _________________________ Name Title ________________________ Authorized Signature EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 35
  • 39. CERTIFICATION OF RESTRICTIONS ON LOBBYING I, ___________________________ hereby certify on behalf of _______________________________________ that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of a federally assisted contract. If any funds have been paid or will be paid, to any person for influencing or attempting to influence an officer or employee of Congress, or an employee of any Federal Agency, a Member of Congress, an officer or employee of a Member of Congress in connection with this federally assisted contract, the undersigned shall complete and submit Standard Form LLL, ”Disclosure Form to Report Lobbying”, in accordance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1353, Title 31, USC. Any person who fails to file the required certification shall be subject to a civil penalty of not less that $10,000 and no more than $100,000 for each failure. Executed the __________day of ___________of 2006. By: ___________________________________ (Signature of Authorized Official) ____________________________________ (Title of Authorized Official) EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 36
  • 40. DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 (See reverse for public burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: 1 a. contract b. grant 2 a. bid/offer/application 3 a. initial filing c. cooperative agreement b. initial award b. material change d. loan c. post-award For Material Change Only: e. loan guarantee Year ____ Quarter ____ f. loan insurance Date of Last Report ________ 4. Name and Address of Reporting Entity: 5. If reporting entity in No. 4 is Subawardee, enter Name and Address of Prime: 4 Prime 5 Subawardee Tier if known Congressional District, if known: Congressional District, if known: 6. Federal Department/Agency: 7. Federal Program Name/Description: CFDA Number, if applicable: ___________ 8. Federal Action Number, if known: 9. Award Amount, if known: $ 10. a. Name and Address of Lobbying Entity b. Individuals Performing Services (if individual, last name, first name, MI): (including address if different from No. 10a) (last name, first name, MI): (attach Continuation Sheet(s) SF-LLL-A, if necessary) 11. Amount of Payment (check all that apply): 13. Type of Payment (check all that apply): $ ______________________ 6 actual 7 planned 10 a. retainer 12. Form of Payment (check all that apply): 11 b. one-time fee 8 a. cash 12 c. commission 9 b. in-kind; specify: nature __________________ 13 d. contingent fee value __________________ 14 e. deferred 15 d. other; specify: ___________________ 14. Brief Description of Services Performed or to be Performed and Date(s) of Service, including officer(s), employee(s), or Member(s) contacted, for Payment indicated in Item 11 (attach Continuation Sheet(s) SF-LLL-A, if necessary): 15. Continuation Sheet(s) SF-LLL-A attached: 16 Yes 17 No 16. Information requested through this form is authorized by Title 31 U.S.C. Signature: _____________________________________________________ section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when transaction was Print Name: ___________________________________________________ made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be Title: available for public inspection. Any person who fails to file the required disclo- __________________________________________________________ sure shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Telephone No.: _________________________ Date: __________________ Authorized for Local Reproduction Federal Use Only: Standard Form - LLL EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 37
  • 41. INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. 4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. 5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below the agency name, if known. For example, Department of Transportation, United States Coast Guard. 7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans and loan commitments. 8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001." 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in Item 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change report, enter the cumulative amount of payment made or planned to be made. 12. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature and value of the in-kind payment. 13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 38
  • 42. 14. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal officials. Identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that were contacted. 15. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached. 16. The certifying official shall sign and date the form, print his/her name, title and telephone number. Public reporting burden for this collection of information is estimated to average 30 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348- 0046), Washington D.C. 20503. EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 39
  • 43. Disclosure of Lobbying Activities Continuation Sheet Reporting Entity: __________________________________________________ Page ____ of ___ EXPOSITION METRO LINE CONSTRUCTION AUTHORITY RFP NO. XP8901-813 DECEMBER 1, 2008 40