evaluation committee ground rules

A&E STANDARDS AND PROCEDURES

FOR INITIAL AND FINAL

EVALUATION/SCORING

DDPPAACCProcurement and Contracts

Div

ision

Flex your power! Be energy efficient!

Division of Procurement and Contracts (DPAC) A&E Standards and Procedures for Scoring Initial and Final Evaluation Revised 4/16/12

TABLE OF CONTENT SECTION PAGE

Instructions For Consultant Selection Committee Participation 1

Consultant Selection Committee Code of Ethical Conduct 1

General Guidelines For Scoring Initial Evaluation 3

Consultant Interviews 4

General Guidelines For Scoring Final Evaluation 4

Guidelines For Debriefing The Consultant 5

Do’s 6

Don’ts 7

Attachment A – Consultant Selection Committee Participation Memo

Attachment B – Oral Interview Letter to Consultant ADM2027 – Initial Scoring System for Caltrans Consultant Selection Committee. This is used to individually score the Statement of Qualifications (SOQs). Note: A Suggested Scoring System is attached as page 2 of this form. ADM2027-CONSENSUS – Initial Scoring System for Caltrans Consultant Selection Committee. This is used by the panel (as one entity) to record the tie-breaking score of the Statement of Qualifications (SOQs). Note: A Suggested Scoring System is attached as page 2 of this form. ADM2028a-Final Evaluation – Presentation and Interview. This is used to individually score the presentation and oral interview. Note: A Suggested Scoring System is attached as page 2 of this form. ADM2028a-CONSENSUS – Final Evaluation – Presentation and Interview. This is used by the panel (as one entity) to record the tie-breaking score of the presentation and oral interview. Note: A Suggested Scoring System is attached as page 2 of this form. ADM2028b-Final Evaluation – Interview Only. This is used to individually score the oral interview. Note: A Suggested Scoring System is attached as page 2 of this form. ADM2028b-CONSENSUS – Interview Only. This is used by the panel (as one entity) to record the tie-breaking score of the oral interview. Note: A Suggested Scoring System is attached as page 2 of this form.

Exhibit A – Conflict of Interest Form (Submit with Form 360)

Exhibit B – Confidentiality of Information Certification

Exhibit C – Consultant Interview Format


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INSTRUCTIONS FOR CONSULTANT SELECTION COMMITTEE PARTICIPATION A Consultant Selection Committee must be established at the same time the contracting process begins. The Consultant Selection Committee Participation Memo (See Attachment A), must be submitted to the Division of Procurement and Contracts (DPAC) with the ADM 360 Contract Request. If modification is necessary, the modified Consultant Selection Committee Participation Memo must be submitted to DPAC. The Consultant Selection Committee should be developed according to A&E Contract Management Guidelines No. 12-001 “Makeup of Consultant Selection Committee.” It is every participant’s responsibility to maintain the integrity of the solicitation process. All applicable procurement laws, regulations, and DPAC policies shall be adhered to. CONSULTANT SECTION COMMITTEE CODE OF ETHICAL CONDUCT

1. Each committee member shall conduct themselves throughout the evaluation process

professionally, with truth, accuracy, fairness, objectivity and duty to the public in carrying out State business with efficiency and frugality.

2. Each committee member shall not represent conflicting or competing interests, nor be in a position where personal interest may be in conflict, or appear to be in conflict with the purpose and administration of the solicitation or award.

3. Each committee member shall be aware of the Conflict of Interest laws with respect to the contracting process. If any committee member knows of a conflict of interest or the appearance of a conflict of interest, the member shall report it to the DPAC Contract Analyst immediately (see CA Public Contract Code (PCC) §10410 - §10411).

4. Each Committee member shall safeguard the confidences of all parties involved in the evaluation process, including such information disclosed in the context of communications relating to an anticipated professional relationship with potential Consultants.

5. Committee members shall not accept gratuities from any Consultants or interested parties.

6. Committee members shall not discuss any aspects of the proceedings with anyone not designated as a committee member or Chairperson for the particular service being solicited. This limitation includes, but is not limited to, discussing any details regarding the number of Consultants, the identity of the Consultants, short-listing, or final evaluation. SOQs and scoring information shall be treated as confidential. Formal notification is provided to all firms by the DPAC Analyst as it pertains to short-listing firms and the final results of oral interviews. Debriefing occurs after the execution of the contract.

7. Refer any attempted communication by or to Consultants during the procurement process from advertisement until final selection to the DPAC Contract Analyst.

8. All Department employees involved in the procurement/contracting process are required to complete and sign a copy of the Conflict of Interest form (DGS-GC19990)

http://admin.dot.ca.gov/pc/doc/aesc.pdf�

http://admin.dot.ca.gov/pc/doc/aesc.pdf�


Page 2 of 7

for every contract that is for $100,000 or more. Examples of personnel affected: Consultant Selection Committee Members, Negotiation Team Members, Contract Manager, DPAC A&E Coordinator(s), DPAC Branch Chief(s), DPAC Contract Analyst(s) and any other District or Division personnel involved in the contract procurement process. Contracts cannot be executed until the signed Conflict of Interest forms are received (PDF or fax) by the DPAC Contract Analyst for the contract file (See Exhibit A

9. In addition, see Exhibit B regarding confidentiality of information certification. This signed form is also required and must accompany the Consultant Selection Committee nomination memo as a PDF file when submitting the 360 package electronically.

).


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GENERAL GUIDELINES FOR SCORING INITIAL EVALUATION The Scoring process begins with the initial evaluation of the SOQs. The purpose of the initial evaluation is to evaluate all SOQs in detail to determine which Consultants will be short-listed and continue to the next phase of the process – the formal interview. Form ADM-2027 and Suggested Scoring System are used to record consultant scores and ranks during the initial evaluation process. Each voting member will perform individual evaluations on each SOQ. Refer to applicable steps in the Architectural and Engineering Contract Process Workflow for scoring and ranking procedures/responsibilities. The Contract Manager and the Consultant Selection Committee will determine the number of firms to be interviewed (also known as short-listed). DPAC may provide assistance during this process. Some items for consideration are: 1) A minimum of three firms shall be interviewed, pursuant to G.C. 4525, et seq. 2) If the fourth-ranked firm were a UDBE, DBE, DVBE, or SBE firm, it would be appropriate to interview that firm as well 3) (OPTIONAL) If there is a tie after individual scores are tallied and ranked, the panel (as one entity) will discuss the strengths and weaknesses of each tied consultant’s SOQ. Afterwards, the panel (as one entity) will prepare a tie-breaking consensus score sheet (form ADM 2027 CONSENSUS) for each tied consultant.* The panel will be instructed not to have a tie in the the tie-breaking consensus scores. However, if a tie still exists and the panel members do not reach a consensus, the tied firms may be short-listed. The tie-breaking consensus score sheets will be utilized as the official file copies. The earlier copies of score sheets that reflected tie scores will be retained in the contract file as backup documentation. * If firms are tied, or close in ranking, it is recommended that these firms also be interviewed. 1. Committee members shall adhere to the following evaluation process for initial scoring:

(a) Read each SOQ in its entirety. (b) Evaluations must follow the requirements established in the RFQ and SOQ

Submittal Instructions. It is therefore essential that all committee members read and understand the RFQ and SOQ Submittal Instructions.

(c) Do not add, subtract or change any evaluation factors on the score sheet. (d) For each evaluation factor you will weigh and document Consultants’ abilities,

significant weaknesses, and missing information (deficiencies) as related in the SOQs. Deficiencies may include the lack of qualified personnel required by the scope of work.

(e) Focus on essential information related to scoring criteria; be clear and concise in documentation to support your scores. This will be of great importance for debriefing Consultants who want to know how to improve and do business with the Department.

(f) Evaluate the merit of each SOQ.

http://admin.dot.ca.gov/pc/doc/workflow.pdf�

http://caltrans-opac.ca.gov/SOQ_Instructions.pdf�




Page 4 of 7

(g) Evaluate only(h) Do

what is written in the SOQ. not

(i)

substitute personal knowledge or judgement for what may or may not be written in the SOQ. Do

(j) Regarding scoring criteria, if you are unclear please discuss any questions with your DPAC A&E District Coordinator.

make comparisons between SOQs.

(k) DO NOT DELEGATE RESPONSIBILITY! You are responsible to review and score each SOQ.

(l) Complete and sign score sheets in ink. (m) Ensure that DPAC Analyst receives all score sheets by the scheduled date and

time, unless other arrangements have been made. This is important to maintain the contract schedule.

CONSULTANT INTERVIEWS Consultant interviews are the basis for the final evaluation of the selection process. A uniform approach will be applied to all firms interviewed. An interview letter (See Attachment B) will be sent by the DPAC Support Staff to each short-listed Consultant with information regarding the interview process. The interviews will be arranged so that:

The Committee Chairperson will chair the interviews The same amount of time is allotted for each Consultant Oral interviews will include a question and answer session The same questions will be asked of each Consultant Follow-up questions are allowed if there is time remaining Interviews will be confidential and take place outside the purview of other

Consultants GENERAL GUIDELINES FOR SCORING FINAL EVALUATION The Committee Chairperson is responsible for ensuring that the committee members have a common understanding of all scoring criteria, the suggested scoring system that relates to the evaluation criteria, and an understanding of the evaluation process. The completed score sheets, ADM 2028a-Final Evaluation—Presentation and Interview, or 2028b-Final Evaluation—Interview Only, will be given to the DPAC Contract Analyst for the official contract file. After each Consultant firm is interviewed and the corresponding evaluation criterion factors are considered, the panel member individually scores the Consultant and those scores are converted to ranks. The ranked scores are combined to determine the top-ranked firm.


Page 5 of 7

1. In order to ensure an objective

scoring process, the Committee Chairperson will instruct the members on how to use the Suggested Scoring System. This can be accomplished by meeting with committee members. This will ensure that all members are evaluating Consultants based on a common understanding of the evaluation factors. A discussion of each evaluation factor/criterion on the score sheet may be necessary as well.

2. If there is a tie after individual scores are tallied and rank-ordered, the panel (as one entity) will discuss the strengths and weaknesses of each tied consultant’s interview. Afterwards, the panel (as one entity) will prepare a tie-breaking consensus score sheet (form ADM 2028a CONSENSUS or form ADM 2028b CONSENSUS) for each tied consultant in the rank that was tied. The panel will be instructed not to have a tie in the tie-breaking consensus score sheets. The tie-breaking consensus score sheets will be compared to break the tie.

3. The final score sheets for each Consultant firm will have committee members named

and by their signatures, shall certify that he/she has performed an evaluation of each consultant, and (if applicable) is in agreement with the consensus scoring. In addition, he/she certifies that he/she has not engaged in discussions within the past year with each consultant regarding their future employment.

4. Committee members shall consider the following for final scoring:

Did the Consultant’s team answer the committee’s questions? Did the Consultant’s presentation support the information provided in the SOQ? Be objective. Do not deviate from criteria of the score sheet. All relevant experience will be considered equally. Caltrans experience will not be

given more weight in the evaluation process. All scores will be checked for accuracy by the Chair before tabulating ranked

scores for final outcome. 5. Complete and sign score sheets in ink. GUIDELINES FOR DEBRIEFING THE CONSULTANT The Debriefer will be identified on the Selection Committee memo (Kform 50). The Debriefer can be the Contract Manager or another committee member who has been designated by the District. Debriefing may only be conducted by a member of the committee. At the conclusion of the award process (contracts fully executed and distributed), the Consultant(s) requesting debriefing may then be debriefed in person or via teleconference (at the consultant request). The DPAC Analyst will provide a memo to the Consultants and the Debriefer to announce the debriefing period allowed.


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To gather information for debriefing purposes, the selection panel can do one of the following, if desired:

Prior to interviews, discuss the initial evaluations of firms that were not short-listed. After interviews, discuss the initial and final evaluations of all firms.

It is the committee’s responsibility to take notes as necessary in order to support strengths and weaknesses of the unsuccessful consultants. This information will assist the debriefer in providing the Consultants with information about their interview, how they may improve their SOQ and be more competitive in the future. One way to look at the debriefing is to ask “what information can I provide that will help Consultants do better in the future?” The debriefing should be short and professional. The following definitions may be of use in debriefing:

“Deficiency” is a material failure of a Statement of Qualifications (SOQ) to meet a requirement or a combination of significant weaknesses in a SOQ that increases the risk of unsuccessful contract performance to an unacceptable level (FAR 15.001). “Weakness” means a flaw in the SOQ that increases the risk of unsuccessful contract performance. A “significant weakness” in the SOQ is a flaw that appreciably increases the risk of unsuccessful contract performance (FAR 15.001).

Do’s Initial Evaluation Review Do identify SOQ strengths that offer advantages. Do look for content of SOQ meeting requirements. Do recognize and clearly identify inconsistencies, errors, omissions, irregularities, and

deficiencies that may affect scoring. Do ratings based on objective and best-reasoned judgment.

Consultant Evaluation at Interview Do discuss the Consultant’s individual presentation. Do avoid forming “first impressions” of a Consultant that may provide undue influence. Do recognize and discount flattery on the part of the Consultant.

Debriefer Do collect documentation regarding the SOQ and interview for the debriefing. Do connect your comments to the published selection criteria. Do discuss deficiencies or weaknesses only of that firm you are debriefing. Do invite the Chairperson or another Committee member to attend the debriefing session.


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Don’ts Initial Evaluation Review Do not downgrade an SOQ because it did not address something that was NEVER

asked for in the RFQ.

Consultant Evaluation at Interview Do not discuss costs; remember, this is qualification-based selection. Do not discuss travel expense costs for out-of-state Consultants. Do not discuss character/personal traits of individuals within the Consultant’s team.

Debriefer Do not discuss negative or problem experiences with Consultant’s team on prior

contracts, except for that information that results from the reference checks or information gathered from recent contract evaluation forms.

Do not discuss other Consultant’s scores with the Consultant. Do not discuss information that does not relate to the Consultant’s presentation. Do not share written notes. (Written notes are considered “working papers” and not

subject to public disclosure). Do not do debriefing until after

the contract has been fully executed and distributed.

State of California Business, Transportation and Housing Agency DEPARTMENT OF TRANSPORTATION

“Caltrans improves mobility across California”

M e m o r a n d u m Flex your power! BE ENERGY EFFICIENT!

Attachment A, Sample Only/Subject to Change

To: FRANCESCA NEGRI, Chief Date: Month day, year Division of Procurement and Contracts File: [Optional]

From: Contract Manager or CSU Officer District or Headquarters name; and Division

Subject: Consultant Selection Committee Participation The employees listed on page two are nominated for participation on the selection committee for the upcoming (contract description) services. Prior approval has been obtained from each Headquarters (and/or District) Office Chief for the appointment of their respective representatives. For accurate delivery of the Statement of Qualification (SOQ) packets, please distribute SOQs to the District as follows:

1. Send entire SOQ packets directly to District CSU listed below, for distribution and evaluation:

Department of Transportation

(District Office) (District address, MS)

(District city, zip) Attention:

Telephone: ( ) –

2. When SOQs are mailed, please notify by email each panel member listed in page two of this memo.


[ADDRESSEE] [Date] Page 2 ♦ Please provide the Supervisor’s name and Supervisor’s classification for each panel

participant. ♦ Please do not use a P.O. Box address for a mailing address. ♦ Please submit no less than five participants to maintain a quorum. (See A&E Contract

Management Guidelines No. 12-001.) ♦ For information on classifications, refer to PMD-008 and A&E Contract Management

Guidelines No. 12-001. ♦ Please contact your respective A&E Coordinator if you have any questions.

Individual Classification

District/Street Address

Telephone/Fax/ Calnet/Cell/Pager

Name (Supervisor Name) (Supervisor Classification)

DPAC Staff, Non Voting Chair

Division of Procurement and Contracts (DPAC) 1727 30th Street, MS 65 Sacramento, CA 95816

T: 916-227-____ Fax: 916-227-6155


Classification (Contract Manager, Debriefer)

District CSU, MS ____ Street address (no P.O. Box)

T: Fax: Cell: Pager:


Classification District Planning, MS ____ Street address (no P.O. Box)



Classification HQ Environmental, MS ____ Street address (no P.O. Box)



Classification District Planning, MS ____ Street address (no P.O. Box)


Approved: _____________________________________, Deputy District Director or HQ Division Chief


[ADDRESSEE] [Date] Page 3 Note: Only a Deputy District Director or a HQ Division Chief may sign. (A District Division Chief may not sign.) c: Committee Members Manager, Design Program Manager, Planning Program Manager, HQ Environmental Program Kform 50 (Rev. 3/30/12) (Please leave Kform and revision date in the document)

DEPARTMENT OF TRANSPORTATION STATE OF CALIFORNIA------- BUSINESS, TRANSPORTATION AND HOUSING AGENCY EDMUND G. BROWN, Governor

ADMINISTRATION DIVISION OF PROCUREMENT AND CONTRACTS MS-65 1727 30TH STREET SACRAMENTO, CA 95816-7006 PHONE (916) 227-6000 FAX (916) 227-6155 INTERNET http://caltrans-opac.ca.gov

Flex your power power!

Be energy efficient!

Current Date Agreement Number: XXAXXX

Attachment B, Sample Only/Subject to Change Consultant’s Name Street Address City, State, Zip Code Attn: Consultant’s Contact Person, Title This is to confirm that you are scheduled for an interview with the Consultant Selection Committee for Agreement Number XXAXXX for (Insert Type and General Title of Service) on (Day of Week, Month, Day, Year,) at (Time am/pm), in the (Headquarters/District) Conference Room of the Department of Transportation, located at (Street Address, Suite/Floor, City). If your firm’s team has a conflict with the scheduled date and time, our office is under no obligation to accommodate your firm’s request for changes. It is the State’s policy that every visitor is required to present a driver’s license or other form of photo identification to the security guard before being admitted into a State building. Please ensure that each member of your team has the appropriate identification. During the interview, we will discuss your approach to performing the work. A DRAFT SCOPE OF WORK/DELIVERABLES is enclosed for your review. Please be prepared to comment on any deficiencies you might see in the Scope of Work, which is the only portion of the contract subject to negotiation. THE INTERVIEW FORMAT CAN BE ALTERED BY CALTRANS IF IT IS ADVANTAGEOUS TO THE SELECTION PROCESS. (E.G. THE CONSULTANT'S PRESENTATION CAN BE OMITTED. CHECK WITH CONTRACT MANAGER.) Your presentation should be no longer than 20 minutes and should address the factors listed on the attached Consultant Evaluation Form/Final Evaluation ADM 2028. Your Project Manager is expected to attend the interview. Absence of the Project Manager will be reflected in your score. Please be advised that if you include former Caltrans employees in your organization chart, and they have not been separated from the State for more than one year, they

may not participate in the interview or negotiation process. This is in accordance with section III, Post-Government Employment Restrictions, of the Statement of Qualifications (SOQ) Submittal Instructions. Aside from the aforementioned exception, representatives from any firm listed on your organizational chart may address the selection committee during the interview regardless of whether or not the individual is specifically identified in your SOQ. However, the Consultant must identify the representative(s) as not being listed in the SOQ. The selection committee will consider the fact that the representative addressing the selection committee is not part of the “proposed team” and will score accordingly. The Department does not provide audiovisual equipment (i.e. screens, projectors, extension cords, etc.) for presentations. A total time of 50 minutes has been allowed for your interview, structured as follows:

1. Set-up equipment and introductions 05 minutes 2. Consultant’s presentation 20 minutes 3. Questions by selection committee 20 minutes 4. Closing statement and take down equipment 05 minutes

Please confirm your attendance and contact me if you have any questions concerning the interview or the DRAFT SCOPE OF WORK/DELIVERABLES. Please bring appropriate # copies of your cost proposal to the interview. Each page of the Cost Proposal must be marked in the upper right corner with the following: Attachment 2, Agreement Number, continuous page number (e.g. page 1 of 20, page 2 of 20, etc.) and the date of submittal (same date on every page). If Subconsultants are to be used, separate cost proposal forms must be submitted for each Subconsultant in the same format as the prime, with date of submittal same date as prime and page numbered continuously - page 11 of 20, page 12 of 20, etc. It is mandatory that you have your firms’ return address on the front of the sealed

envelope containing the Cost Proposals, the STD 204-Payee Data Record, and the Certification of Final Indirect Costs (see enclosures).

The following documents are enclosed to assist you in preparing your cost proposal:

1. Draft Scope of Work/Deliverables 2. “Fixed Rates of Compensation” Cost Proposal Format and Instructions (ADM

2033)

3. Payee Data Record, STD 204

4. Certification of Final Indirect Costs, as required pursuant to 48 CFR, Part 31, and FHWA Order 4470.1A

USE THE FOLLOWING PARAGRAPHS WHEN COST NEGOTIATIONS HAVE BEEN SCHEDULED AND A NOTIFICATION IS DESIRED TO BE ADDED If you are the selected Consultant, please be prepared to attend the Cost Negotiation on (Day of the Week), (Month, Day, Year) at (Time am/pm), in the Headquarters/District/Conference Room (number) of The Department of Transportation, located at (Street Address, Suite/floor, City), California. You will be required to provide the following documentation: 1. Certificate of Insurance (Your insurance carrier’s “Acord” version)

2. Contractor Certification Clauses-CCC-307 (CCC’s)

The CCC’s contain clauses and conditions that may apply to persons doing business with the Department under this agreement. The CCC’s are to be kept on file in a central location and must be renewed every three (3) years and updated as changes occur. The CCC’s, available on the Internet at http://www.ols.dgs.ca.gov/Standard+Language, may be downloaded and printed for your use. Please bring a signed copy of the first page of the CCC’s to the negotiations

. Failure to do so will prohibit the State of California from doing business with your firm.

3. Certified Public Accountant (CPA)-audited Indirect Cost Rate Audit Report or

approved State Cognizant Indirect Rate

4. Completed Internal Control Questionnaire (ICQ, Appendix B of AASHTO Guide

Items 3 and 4 above are explained in the Statement of Qualifications (SOQ) Submittal Instructions.

Sincerely, Contract Analyst Name Contract Analyst Phone Number E-mail Address: [email protected]

http://www.ols.dgs.ca.gov/Standard+Language�

Consultant Enclosures

:

Draft Scope of Work/Deliverables CHOOSE OPTION A OR B, DEPENDING ON WHETHER OR NOT CONTRACT MANAGER WANTS TO INCLUDE CONSULTANT PRESENTATIONS. OPTION A Consultant Evaluation Form/Final Evaluation – Presentation and Interview (ADM 2028a) and Suggested Scoring System OPTION B Consultant Evaluation Form/Final Evaluation – Interview Only (ADM 2028b) and Suggested Scoring System “Fixed Rates of Compensation” Cost Proposal Format and Instructions (ADM 2033) Payee Data Record, STD 204 c: Consultant Selection Committee (DO NOT NAME), IF CONTRACT MANAGER

IS NOT ON THE SELECTION COMMITTEE, A BCC COPY WOULD BE SENT TO THE CM.

LIST THE FOLLOWING ENCLOSURES IF COST NEGOTIATION NOTIFICATION IS INCLUDED IN THIS MEMO. Consultant Selection Committee Enclosures

:

Draft Scope of Work/Deliverables CHOOSE OPTION A OR B, DEPENDING ON WHETHER OR NOT CONTRACT MANAGER WANTS TO INCLUDE CONSULTANT PRESENTATIONS. OPTION A Consultant Evaluation Form/Final Evaluation – Presentation and Interview (ADM 2028a) and Suggested Scoring System Consultant Evaluation Form/Final Evaluation – Presentation and Interview (ADM 2028a CONSENSUS) and Suggested Scoring System OPTION B Consultant Evaluation Form/Final Evaluation – Interview Only (ADM 2028b) and Suggested Scoring System Consultant Evaluation Form/Final Evaluation – Interview Only (ADM 2028b CONSENSUS) and Suggested Scoring System Interview Schedule A&E Consultant Reference Check (Kform 63) Kform 54 (Revised 03/14/12) (Please leave Kform and revision date reference in the document.)

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM INITIAL EVALUATION (for Short Listing) ADM-2027 (Rev 07/14/09) Page 1 of 2

Contract No:_________________Consultant_______________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score 1. Composition of the proposed team (professional

and technical level personnel of the prime and subconsultants) to fulfill the requirements of the Scope of Work in the Request for Qualifications.

3.0

2. Experience of the Project Manager. 2.0

3. Education and experience of the key personnel to be assigned.

2.0

4. • Availability of the Project Manager and the

proposed team. • Accessibility to the Department and ability to

respond to Department requirements.

1.0

5. Nature of completed relevant projects. • All relevant experience should include state,

federal and local projects. (All projects would be rated equally. Caltrans projects would not be given a higher rate.)

2.0

Total

Comments (continue on reverse if necessary):

Signature of Evaluator: ____________________________________ Date______ Printed Name of Evaluator: ____________________________________ Checked by: _______________________________________________ Date______

I certify that I have performed an independent evaluation of the above named consultant. I further certify that I have not engaged in discussions within the last year with the above-named consultant regarding my future employment with said consultant.

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM INITIAL EVALUATION (for Short Listing) ADM-2027 (Rev 07/14/09) Page 2 of 2

SUGGESTED SCORING SYSTEM

for

CALTRANS CONSULTANT SELECTION COMMITTEES

Fail

(0 points)

Zero (0) points are given when the category being evaluated is nonresponsive. Below Average

(1 - 4 points)

One (1) to four (4) points are awarded to responses that are considered to be minimally acceptable. Average

(5 points)

Five (5) points are awarded if qualifications fully satisfy the requirement. Above Average

(6 - 9 points)

Six (6) points to nine (9) points are awarded if qualifications more than satisfy the requirement and experience specifically applies to the project under consideration. Exceptional

(10 points)

Ten (10) points are awarded if a firm’s qualifications far exceed those required. Scores of ten (10) points generally are infrequent. This scoring system is provided as a guideline for evaluating Statements of Qualifications that are submitted in response to a Request for Qualifications and for evaluating consultant proposals. All relevant experience will be considered equally.

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM INITIAL EVALUATION (for Short Listing) ADM-2027 CONSENSUS (Rev 3/14/12) Page 1 of 2

CONSENSUS Contract No:_________________Consultant_______________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score 1. Composition of the proposed team (professional

and technical level personnel of the prime and subconsultants) to fulfill the requirements of the Scope of Work in the Request for Qualifications.

3.0

2. Experience of the Project Manager. 2.0

3. Education and experience of the key personnel to be assigned.

2.0

4. • Availability of the Project Manager and the

proposed team. • Accessibility to the Department and ability to

respond to Department requirements.

1.0

5. Nature of completed relevant projects. • All relevant experience should include state,

federal and local projects. (All projects would be rated equally. Caltrans projects would not be given a higher rate.)

2.0

Total


Each Panel Member named and signed below certifies under penalty of perjury that he/she fully understands the Panel Rules and Code of Ethical Standards and that non-compliance, including any disclosure as described herein. is a basis for disciplinary action, including dismissal.

EVALUATOR (Print) SIGNATURE DATE

PANEL CHAIRPERSON’S NAME (Print)

Checked by: _______________________________________________ Date______

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM INITIAL EVALUATION (for Short Listing) ADM-2027 CONSENSUS (Rev 3/14/12) Page 2 of 2

CONSENSUS


for


Fail

(0 points)


(1 - 4 points)


(5 points)


(6 - 9 points)


(10 points)

Ten (10) points are awarded if a firm’s qualifications far exceed those required. Scores of ten (10) points generally are infrequent. This scoring system is provided as a guideline for evaluating Statements of Qualifications that are submitted in response to a Request for Qualifications and for evaluating consultant proposals. All relevant experience will be considered equally.

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - PRESENTATION AND INTERVIEW (Qualifications-Based Selection) ADM-2028a (Rev. 07/14/09) Page 1of 2

Contract No.: ___________________ Consultant: ___________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score Presentation

• Demonstrated knowledge of the scope of work • Project team composition • Ability to respond to the Department’s needs • On-going projects and priorities • Time Commitment

2.0

Interview (Q&A)

7.0

References • Record of producing a quality product on similar projects

on time and within budget.

(All panel members must enter a zero (0) for all interviewed Consultants if time did not allow for reference checks or if the reference checks were not completed on all

the Consultants.)

1.0

Total



Signature of Evaluator: ______________________________ Date: ___________ Printed Name of Evaluator ___________________________ Checked by: ______________________________________ Date: ___________

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - PRESENTATION AND INTERVIEW (Qualifications-Based Selection) ADM-2028a (Rev. 07/14/09) Page 2of 2


for


Fail

(0 points)


(1 - 4 points)


(5 points)


(6 - 9 points)


(10 points)

Ten (10) points are awarded if a firm’s qualifications far exceed those required. Scores of ten (10) points generally are infrequent. This scoring system is provided as a guideline for evaluating Consultant Interviews. All relevant experience will be considered equally.

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - PRESENTATION AND INTERVIEW (Qualifications-Based Selection) ADM-2028a CONSENSUS (Rev. 03/14/12) Page 1 of 2

CONSENSUS Contract No.: ___________________ Consultant: ___________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score Presentation

• Demonstrated knowledge of the scope of work • Project team composition • Ability to respond to the Department’s needs • On-going projects and priorities • Time Commitment

2.0

Interview (Q&A)

7.0




the Consultants.)

1.0

Total


Each Panel Member named and signed below certifies under penalty of perjury that he/she fully understands the Panel Rules and Code of Ethical Standards and that non-compliance, including any disclosure as described herein, is a basis for disciplinary action, including dismissal.



Checked by: ______________________________________ Date: ___________

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - PRESENTATION AND INTERVIEW (Qualifications-Based Selection) ADM-2028a CONSENSUS (Rev. 03/14/12) Page 2 of 2

CONSENSUS


for


Fail

(0 points)


(1 - 4 points)


(5 points)


(6 - 9 points)


(10 points)


STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - INTERVIEW ONLY (Qualifications-Based Selection) ADM-2028b (Rev. 07/14/09) Page 1of 2

Contract No.: ___________________ Consultant: ___________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score Interview (Q&A)

9.0




the Consultants.)

1.0

Total



Signature of Evaluator: ______________________________ Date: ___________ Printed Name of Evaluator ___________________________ Checked by: ______________________________________ Date: ___________

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - INTERVIEW ONLY (Qualifications-Based Selection) ADM-2028b (Rev. 07/14/09) Page 2 of 2


for


Fail

(0 points)


(1 - 4 points)


(5 points)


(6 - 9 points)


(10 points)


STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - INTERVIEW ONLY (Qualifications-Based Selection) ADM-2028b CONSENSUS (Rev.03/14/12) Page 1 of 2

CONSENSUS Contract No.: ___________________ Consultant: ___________________________

Criteria (a)

Weight (b)

Score (0-10)

(a) x (b) Weighted

Score Interview (Q&A)

9.0




the Consultants.)

1.0

Total


Each Panel Member named and signed below certifies under penalty of perjury that he/she fully understands the Panel Rules and Code of Ethical Standards and that non-compliance, including any disclosure as described herein, is a basis for disciplinary action, including dismissal.



Checked by: ______________________________________ Date: ___________

STATE OF CALIFORNIA • DEPARTMENT OF TRANSPORTATION ARCHITECTURAL & ENGINEERING (A&E) CONSULTANT EVALUATION FORM FINAL EVALUATION - INTERVIEW ONLY (Qualifications-Based Selection) ADM-2028b CONSENSUS (Rev.03/14/12) Page 2 of 2

CONSENSUS


for


Fail

(0 points)


(1 - 4 points)


(5 points)


(6 - 9 points)


(10 points)


EXHIBIT A

SOLICITATION (RFQ) NO.________________

CONFLICT OF INTEREST (GOVERNMENT CODE 19990)

The current version of the Conflict of Interest form (ADM-3043) can be found at: http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM-3043&distpath=adminsvcntr&brapath=contracts

http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM-3043&distpath=adminsvcntr&brapath=contracts�

http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM-3043&distpath=adminsvcntr&brapath=contracts�

EXHIBIT B

The certificate can be found at http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM3038&distpath=adminsvcntr&brapath=contracts

http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM3038&distpath=adminsvcntr&brapath=contracts�

http://cefs2.dot.ca.gov:8080/v2Forms/servlet/FormRenderer?frmid=ADM3038&distpath=adminsvcntr&brapath=contracts�

EXHIBIT C

CONSULTANT INTERVIEW FORMAT*

COMMITTEE PRE-INTERVIEW

1. Committee must meet at least 30 minutes prior to interviews. 2. Committee must decide who will ask each question. 3. Place sign on interview door: “Interview in Progress Do Not Enter.” 4. Consultants are not allowed in the room until Committee is ready. 5. The interview room door must remain closed during interviews. 6. Contract Manager must indicate to the Chairperson who is to be

designated a “Debriefer”. CONSULTANT INTERVIEW SET-UP 5 MINUTES

Chairperson will inform Consultants they have five (5) minutes to reconfigure room and/or set-up equipment. Equipment set-up is Consultant’s responsibility. Committee must not assist with any equipment set-up. Longer time to set up will result in time taken from their presentation.

INTRODUCTION 2 TO 5 MINUTES

1. Chairperson will begin interview when set-up is complete or when five (5) minutes have elapsed, whichever occurs last.

2. Begin with self-introduction. 3. Describe interview format. 4. Inform Consultant not to divulge Questions to other Consultants

and/or Subconsultants. 5. Allow voting members to self-introduce. 6. Introduce other participant(s) as observer(s). 7. Question any new/revised resumes, organizational charts and/or

staffing information submitted by Consultant. 8. Determine if any key individuals have been replaced.

CONSULTANT PRESENTATION 20 MINUTES

1. After introductions are complete (5 minutes), Consultant has 20 minutes for entire presentation (25 minute total).

2. Chairperson monitors Consultant’s time. 3. Give a signal when two (2) minutes remain. Call time at 20 minutes if

necessary. COMMITTEE QUESTIONS AND ANSWERS 20 MINUTES

1. Committee has 20 minutes for questions and answers. 2. Begin questions with the first Committee member. 3. After last question, Chairperson asks if there are any follow-up

questions if time allows. 4. Chairperson will inform Consultants they have five (5) minutes for

closing remarks. 5. Chairperson thanks Consultants for presentation.

*See Selection Interview Notes/Script for more detail.

evaluation committee ground rules

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