Evaluation Committee Ground Rules
[pic]
A&E
STANDARDS AND PROCEDURES
FOR
INITIAL AND FINAL EVALUATION/SCORING
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Flex your power! Be energy efficient!
Division of Procurement and Contracts (DPAC)
A&E Standards and Procedures for Scoring Initial and Final Evaluation
Revised 07/20/04
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 |
|Scoring The RFP When Part of The RFQ Solicitation |5 |
|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 |
|Attachment C –Criteria for Evaluation of Consultant Technical Proposals |
|ADM2027 – Initial Scoring System for Caltrans Consultant Selection Committee. This is used to score the Statement of Qualifications (SOQs). Note: A |
|Suggested Scoring System is attached as page 2 of this form. |
|ADM2028-Final Scoring System for Caltrans Consultant Selection Committee. This is used to score 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 |
| |
INSTRUCTIONS FOR CONSULTANT SELECTION COMMITTEE PARTICIPATION
A Consultant Selection Committee must be established at the same time the contracting out 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 Consultant Selection Committee Participation Memo must be provided before the RFQ is advertised in the California State Contract Register (CSCR). This nominating memo must adhere to the following:
( The memo must be signed by a Deputy District Director or a Headquarters’ Division Chief.
( A majority of the voting committee members cannot be in the same chain of command.
← The Committee must include technical expert(s) representing the functional area(s) related to the contract scope of work detailed in the solicitation (RFQ).
← Panel members may be substituted for the initial evaluation, however, more time may be required before the interview may be scheduled. An addendum to the Nominating memo will be required to add panel members.
← A minimum of three (3) full voting members are required for a quorum. To prevent any difficulty, it is better to assign more than 3 members to the panel.
← If a committee member can not attend the Consultant interview which would cause the minimum number of voting members to drop below 3 members, a DPAC Contract Officer exception approval will be required prior to the interview. Rescheduling the interview would be costly to all but may be the best choice.)
( The Committee Chairperson is a non-voting member, who will be assigned by a DPAC Contract Officer.
Although DPAC is specifically charged it is every participant’s personal responsibility to maintain the integrity of the solicitation process. All applicable procurement laws, regulations, and DPAC policies shall be adhered to. There is an implied covenant of good faith and fair dealing in every DPAC contract procurement that must be maintained.
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 to the DPAC Contract Analyst.
8. Committee members are prohibited from contacting Consultants to discuss their SOQs. Any questions are to be handled by the DPAC Contract Analyst.
9. All Department employees involved in the procurement/contracting process are required to complete and place a signed (pdf or fax) copy of the Conflict of Interest form (DGS-GC19990) in each contract file for every contract that is for $100,000 or more. Examples of personnel affected: District/Division Consulting Services Unit Staff, Consultant Selection Committee Members, Negotiation Team Members, Contract Managers, A&E Coordinators, DPAC Contract Officers, 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 by the DPAC Contract Analyst for the contract file (See Exhibit A).
10. 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.
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. The initial evaluation process uses the ADM-2027 form and Suggested Scoring System.
Each voting member will perform individual evaluations on each SOQ. Upon completion of individual evaluations, the committee members will forward their score sheets to the DPAC Contract Analyst. Once the results are verified, a short list is established and the DPAC Contract Analyst sends notification to the Consultants. Each score sheet will have attached, a signed Conflict of Interest statement from each committee member and will be subject to public disclosure.
Short listed Consultants will continue to the next phase of the process. The Contract Manager and DPAC Contract Officer will determine the number of firms to be interviewed. For instance, if the Department has one contract to award, a minimum of three firms will be interviewed. If the fourth ranked firm were a DBE or DVBE firm, it would be appropriate to interview that firm as well.
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. It is therefore essential that all committee members read and understand the RFQ.
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.
g) Evaluate only what is written in the SOQ.
h) Do not substitute personal knowledge or judgement for what may or may not be written in the SOQ.
i) Do make comparisons between SOQs.
j) Regarding scoring criteria, if you are unclear please discuss any questions with your DPAC Coordinator.
k) DO NOT DELEGATE RESPONSIBILITY! You are responsible to review and score each SOQ.
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 Analyst 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 scoring method to be used for the final evaluation of the Consultants interviewed utilizes the score sheet, ADM 2028, and Suggested Scoring System as advertised. The designated DPAC Analyst assigned to the solicitation will assist the Consultant Selection Committee members and monitor the scoring. The Committee Chairperson will lead the final scoring evaluation session. All scores shall be verified and checked, then converted to rank scores which will be tallied by the Chairperson or DPAC Contract Analyst.
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 Chairperson is responsible to facilitate this common understanding and to document the proceedings utilizing a Consulting Services Unit (CSU) staff person for the recordation if necessary. The preliminary documentation will be held for purposes of debriefing. The completed score sheets will be given to the DPAC Contract Analyst for the official contract file and will be subject to public disclosure.
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 rank scores are combined to determine the top ranked firm.
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.
3. The final score sheets for each Consultant firm will have committee members named and by their signatures, shall certify under penalty of perjury, that he/she fully understands the Committee Rules and Code of Ethical Standards and that non-compliance, including any disclosure as described herein is a basis for disciplinary action, including dismissal.
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.
➢ Do the reference checks before the interviews and if available, check DPAC Consultant evaluations on file for negative reports.
➢ 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 before the DPAC Contract Analyst tabulates ranked scores for final outcome. If the Analyst is not in attendance the Chair will assume this responsibility.
SCORING THE RFP WHEN PART OF THE RFQ SOLICITATION
When the solicitation requires a technical proposal, the Scoring System for the Caltrans Consultant Selection Committee will be the standard Suggested Scoring System that is utilized for scoring Consultant technical proposals in the RFP process (See Attachment C). The scoring for the technical proposal will be pass/fail. Consultants must meet a minimum score of 85 points. If the Consultant does not meet the minimum score, they will be disqualified from further evaluation (initial or final evaluation).
GUIDELINES FOR DEBRIEFING THE CONSULTANT
At the beginning of the final evaluation process, the Committee Chairperson will announce who will be the Debriefer. 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. The DPAC Analyst will provide a memo to the Consultants and the Debriefer to announce the debriefing period allowed.
At the conclusion of the Consultant interviews, it is recommended that the designated debriefer consult with the other committee members regarding the strengths and weaknesses of the unsuccessful Consultant(s), take notes as necessary and collect from the committee members, any relevant evaluation notes. 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 (SOQs) 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 have the Chairperson attend the debriefing session.
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.
M e m o r a n d u m Flex your power!
Be energy efficient!
Attachment A, Sample Only/Subject to Change
To: STEVE ALSTON, 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 SOQ’s to the District as follows:
( Send entire SOQ packets directly to District CSU, Attn: _____________, at (physical address), MS ____, for distribution and evaluation; or
( Send SOQ packet for evaluation, to each individual at the specific address indicated in the chart on page two.
When SOQ’s are mailed we would like:
( to be notified by email at the time the SOQ’s are mailed out.
( each individual listed in the chart to receive notification by email at
the time when the SOQ’s are mailed out.
[ADDRESSEE]
[Date]
Page 2
□ Please provide the Supervisor’s name for each panel participant.
□ Please do not use a P.O. box address for a mailing address.
□ Please submit no less than three participants to form a quorum.
□ Please contact your respective A&E Coordinator if you have any questions.
| | | |Telephone/Fax/ |
|Individual |Classification |District/Street Address |Calnet/Cell/Pager |
|Name |DPAC Staff, Non Voting Chair |Division of Procurement and Contracts (DPAC), |T: 916-227-____ |
| | |1727 30th Street |Fax: 916-227-6155 |
| | |Sacramento, CA 95816 |Calnet: 8-498-____ |
| | | |Cnet Fax: 8-498-6155 |
|Name |T.E Civil, Range D (Contract |District CSU, MS ____ |T: |
| |Manager) |Physical Address |Fax: |
| | | |Calnet: |
| | | |Cell: |
| | | |Pager: |
|Name |Senior T.E. |District |T: |
| | |Planning, MS ____ |Fax: |
| | |Physical Address |Calnet |
| | | |Cell: |
| | | |Pager: |
|Name |Senior Env. Planner |HQ Environmental, MS ____ |T: |
| | |Physical Address |Fax: |
| | | |Calnet |
| | | |Cell: |
| | | |Pager: |
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. 07/06/04) (Please leave Kform and revision date in the document)
STATE OF CALIFORNIA------- BUSINESS, TRANSPORTATION AND HOUSING AGENCY ARNOLD SCHWARZENEGGER, Governor
|DEPARTMENT OF TRANSPORTATION |[pic] |
|ADMINISTRATION |Flex your power power! |
|DIVISION OF PROCUREMENT AND CONTRACTS MS-67 |Be energy efficient! |
|1727 30TH STREET | |
|SACRAMENTO, CA 95816-7006 | |
|PHONE (916) 227-6000 | |
|FAX (916) 227-6155 | |
|INTERNET | |
USE THIS KFORM 54 FOR CONSULTANT INTERVIEW NOTIFICATION, TO CONVEY ON-CALL COST PROPOSAL REQUIREMENTS, AND WHEN CONSULTANT COST NEGOTIATIONS NOTIFICATION IS DESIRED IN THIS LETTER.
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
THE CONSULTANT MUST BE GIVEN A MINIMUM OF TEN (10) WORKING DAYS (MORE IF POSSIBLE) FROM NOTIFICATION OF INTERVIEW DATE TO ACTUAL INTERVIEW. THE TEN DAY PERIOD BEGINS WHEN CONSULTANT RECEIVES NOTIFICATION. TO NOTIFY CONSULTANTS, THE CONTRACT ANALYST MAY TELEPHONE, FAX AND/OR UTILIZE“OVER-NIGHT” MAIL TO INSURE PROPER NOTIFICATION TIME FOR THE CONSULTANT TO HAVE THE 10-DAY PREPARATION PERIOD. IF A CONSULTANT FIRM CAN NOT MAKE THE INTERVIEW SCHEDULED DATE/TIME BECAUSE OF CONFLICT(S), DPAC IS UNDER NO OBLIGATION TO CHANGE ITS SCHEDULED DATE/TIME. CONSULTANTS MAY TRADE TIME SLOTS IF NECESSARY, AS A REMEDY.
This is to confirm that you are scheduled for an interview with the Consultant Selection Committee for Agreement Number XXAXXX for Type and General Title of Service on Day of Week, Month, Day, Year, at Time a/p m., in the Headquarters/District/Conference Room of Department of Transportation, located at Street Address, Suite/Floor, City, California. If your Consultant firm’s team can not make the interview scheduled date/time because of conflict(s), DPAC is under no obligation to change its scheduled date/time.
It is the State’s policy that every visitor is required to present either, a driver’s license or another form of photo identification to the security guard before being admitted to a State building. Please ensure that each member of your team has the appropriate identification.
Page 2
IF THIS INFORMATION WAS PROVIDED IN THE SOQ PLEASE REMOVE THE FOLLOWING FOUR (4) LINES.
Please provide the following information prior to the interview date:
- a list of all Subconsultants and the anticipated percentage of work each will perform
- name of the audit firm, name of contact person and phone number if your firm has had an independent audit by a public entity within the last twelve months
Should your firm be selected, the Department may utilize this information to assist with expediting the audit process.
During the interview, we will discuss your approach to performing the work. A Proposed Form of Agreement (STD 213) (OR DRAFT SCOPE OF WORK/DELIVERABLES) is enclosed.
THE PRESENTATION FORMAT NOTED IN THIS LETTER IS A “STANDARD” INTERVIEW FORMAT. THE INTERVIEW FORMAT CAN BE ALTERED BY CALTRANS IF IT IS ADVANTAGEOUS TO THE SELECTION PROCESS FOR SELECTING THE MOST QUALIFIED CONSULTANT(S).
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. Representatives from any firm listed on your organizational chart may address the panel during the interview regardless of whether or not the individual is specifically identified in your Statement of Qualifications (SOQ). However, the Consultant must identify the representative(s) as not being listed in the SOQ. The panel will consider the fact that the representative addressing the panel is not part of the “proposed team” and will score accordingly. The Department of Transportation 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 panel 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 Proposed Form of Agreement (STD 213) (OR DRAFT SCOPE OF WORK/DELIVERABLES).
Page 3
USE THE FOLLOWING PARAGRAPHS WHEN A COST PROPOSAL IS REQUIRED TO BE COMPLETED AND BROUGHT TO THE INTERVIEW, OTHERWISE REMOVE).
Please bring appropriate # copies of your cost proposal to the interview. 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 on every page) and page numbered continuously - page 1 of 20, page 2 of 20, etc. It is mandatory that you have your Consultant firms’ return address on the front of the sealed envelope containing the cost proposals.
Each page of the Cost Proposal must be marked in the upper right corner with the following: Attachment 1, Agreement Number, continuous page number and the date of submittal. If applicable, attach and page in the applicable Goal Documentation form and/or Good Faith Effort forms as the last page(s) of your cost proposal. The following documents are attached to assist you in preparing your cost proposal:
1. Proposed form of Agreement (STD 213)
In an effort to streamline the way the State of California conducts business, we are in the process of standardizing current contracting procedures and formats. The first step toward achieving this goal is to eliminate unnecessary duplication of agreement language and documentation. You will note that in the new format of the Standard Agreement a copy of the General Terms and Conditions (GTC’s) is not provided. The GTC’s are available on the Internet at dgs.contracts and may be downloaded and printed for your file.
2. Cost Proposal format and Instructions (ADM 2033)
USE THE FOLLOWING PARAGRAPHS WHEN COST NEGOTIATIONS HAVE BEEN SCHEDULED AND A NOTIFICATION IS DESIRED TO BE ADDED HERE INSTEAD OF A SEPARATE MEMO. SEE KFORM 57 FOR LANGUAGE IF COST NEGOTIATIONS HAVE BEEN APPROVED FOR A TELECONFERENCE.
If you are the selected Consultant, please be prepared to attend the cost negotiation session on Day of the Week, Month, Day, Year at Time a/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 documents at the cost negotiations:
1. Payee Data Record (STD 204)
Page 4
2. Certificate of Insurance (ADM 367) [or provide your insurance carrier’s “acord” version which is preferred]
3. Contractor Certification Clauses (CCC-304)
The CCC-304 package contains clauses and conditions that may apply to persons doing business with the Department under this agreement. The CCC-304 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 are available on the Internet at dgs.contracts and may be downloaded and printed for your use. Please sign and return the first page of the CCC-304. Failure to do so will prohibit the State of California from doing business with your company.
Sincerely,
Contract Analyst Name
Contract Analyst
e-mail: Name_@dot.
Consultant Enclosures:
Proposed Form of Agreement (STD 213) (or Only Draft Scope of Work/Deliverables)
Consultant Evaluation Form/Final Evaluation and Suggested Scoring System (ADM 2028)
Cost Proposal Format and Instructions (ADM 2033)
LIST THE FOLLOWING ENCLOSURES IF COST NEGOTIATION NOTIFICATION IS INCLUDED IN THIS MEMO.
Payee Data Record (Form STD 204)
Certificate of Insurance (ADM 367)
c: Consultant Selection Panel Members (DO NOT NAME), IF CONTRACT MANAGER IS NOT ON THE PANEL, A BCC COPY WOULD BE SENT TO THE CM.
Consultant Selection Panel Member Enclosures:
Proposed Form of Agreement (STD 213) (or Only Draft Scope of Work/Deliverables)
Consultant Evaluation Form/Final Evaluation (ADM 2028) and Suggested Scoring System
Page 5
Interview Schedule
A&E Consultant Reference Check (Kform 63)
A&E Standards and Procedures for Initial and Final Evaluation/Scoring
Kform 54 (Revised 0706/04) (Please leave Kform and revision date in the document)
ATTACHMENT C
CRITERIA FOR EVALUATION OF CONSULTANT TECHNICAL PROPOSALS
This is a sample ONLY. The criteria listed below MUST coincide with your Proposed Form of Agreement, Scope of Work and RFP Proposal Requirements.
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Only those proposers with a passing score will proceed to initial evaluation scoring.
Consultant: __________________________________________________________
Contract No.: _________________ Project: ______________________________
| |(a) Weight |(b) Score (0-10)|(a) x (b) Weighted Score |
|Criteria | | | |
|1. Professional excellence, demonstrated competence in the service to be provided, and |3.0 | | |
|specialized experience of the Prime and Subconsultants. | | | |
|2. Education and experience of the Project Manager and other key personnel to be assigned. |2.0 | | |
|3. Staffing capability, workload, and record of meeting schedules on similar projects, including |2.0 | | |
|an assessment of the firm’s ability to handle additional work, in view of the firm’s current | | | |
|workload. | | | |
|4. Nature, quality, and relevance of recently completed work. |2.0 | | |
|5. Feasibility of oversight, ability and willingness to respond to Department requirements, and |1.0 | | |
|accessibility to Department Reviewers. | | | |
| | | |
| |Total | |
Comments (continue on reverse if necessary):
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.
Signature of Evaluator: ____________________________________ Date______
Printed Name of Evaluator: ____________________________________
Checked by: _______________________________________________ Date______
SUGGESTED SCORING SYSTEM
for
CALTRANS CONSULTANT SELECTION COMMITTEE
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.
Contract No.: ___________________Consultant: _____________________________________
| |(a) Weight |(b) Score |(a) x (b) Weighted |
|Criteria | |(0-10) |Score |
|1. PROJECT TEAM | | | |
|Qualifications and relevant individual experience |2.0 | | |
|Unique qualification of key personnel | | | |
|Time commitment of key members | | | |
|Organization Chart | | | |
|2. FIRM’S CAPABILITIES | | | |
|Demonstrated capability on similar or related projects |3.0 | | |
|Management and scheduling abilities | | | |
|Other on-going projects and priorities | | | |
|Quality and cost control | | | |
|Staff availability | | | |
|3. PROJECT UNDERSTANDING AND APPROACH | | | |
|Demonstrated knowledge of the work required |3.0 | | |
|Explanation of the project | | | |
|Knowledge of general engineering processes | | | |
|Innovative approaches and internal measures for timely completion of project | | | |
|5. FEASIBILITY OF OVERSIGHT | | | |
|Ability and willingness to respond to Department requirements |1.0 | | |
|Accessibility to Department reviewers | | | |
|6. REFERENCES* | | | |
|Record of producing a quality product on similar projects on time and within budget |1.0 | | |
|*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. |Total | |
Comments (continue of reverse if necessary:
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.
Signature of Evaluator: ______________________________ Date: ___________
Printed Name of Evaluator ___________________________
Checked by: ______________________________________ Date: ___________
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 Consultant Interviews. All relevant experience will be considered equally.
EXHIBIT A
SOLICITATION (RFQ) NO.________________
CONFLICT OF INTEREST
(GOVERNMENT CODE 19990)
A state officer or employee shall not engage in any employment, activity, or enterprise which is clearly inconsistent, incompatible, in conflict with, or inimical to her or her duties as a state officer or employee.
Each appointing power shall determine, subject to approval of the Department, those activities which, for employees under its jurisdiction, are inconsistent, incompatible or in conflict with their duties as state officers or employees. Activities and enterprises deemed to fall in these categories shall include, but not be limited to all of the following:
a) Using the prestige or influence of the State or the appointing authority for the officer’s or employee’s private gain or advantage or the private gain of another.
b) Using State time, facilities, equipment, or supplies for private gain or advantage.
c) Using, or having access to, confidential information available by virtue of State employment for private gain or advantage or providing confidential information to persons to whom issuance of this information has not been authorized.
d) Receiving or accepting money or any other consideration from anyone other than the State for the performance of his or her duties as a State officer or employee.
e) Performance of an act in other than his or her capacity as a State officer or employee knowing that the act may later be subject, directly or indirectly to the control, inspection, review, audit, or enforcement by the officer or employee.
f) Receiving or accepting, directly or indirectly, any gift, including money, or any service, gratuity, favor, entertainment, hospitality, loan, or any other thing of value from anyone who is doing or is seeking to do business of any kind with the officer’s or employee’s appointing authority or whose activities are regulated or controlled by the appointing authority under circumstances from which it reasonably could be substantiated that the gift was intended to influence the officer or employee in his or her official duties or was intended as a reward for any official actions performed by the officer or employee.
g) Subject to any other laws, rules, or regulations as pertain thereto, not devoting his or her full time, attention and efforts to his or her State office or employment during his or her hours of duty as a state officer or employee.
The Department shall adopt rules governing the application of this section. The rules shall include provision for notice to employees prior to the determination of proscribed activities and for appeal by employees from such a determination and from its application to an employee. Until the department adopts rules governing the application of this section, as amended in the 1985-86 Regular Session of the Legislature, existing procedures shall remain in full force and effect.
If the provisions of this section are in conflict with the provisions of a memorandum of understanding reached pursuant to Section 3517.5, the memorandum of understanding shall be controlling without further legislative action, except that if such provisions of a memorandum of understanding require the expenditure of funds, the provisions shall not become effective unless approved by the Legislature in the annual Budget Act. (Added by Stats. 1981, c230. Amended by Stats. 1986, c1344.)
I have read and understand Government Code 19990, and will comply with its provisions.
______________________________ __________________________
Print Name Position
_______________________________ __________________________
Signature Date
Department of Transportation
DGS-GC19990
08/21/00
Copies of the form and instructions can be accessed at the following Caltrans DPAC intranet site:
EXHIBIT B
Ethical conduct demands that confidentiality be maintained during the solicitation process, evaluation process and final selection process. It would be considered a breach in duty and may result in disciplinary action should information be shared regarding the contract procurement process. EXAMPLE: Should the Consultant call with questions related to the SOQ or scope of work refer the caller to the DPAC Contract Analyst. If the question is of a nature that all proposers should be apprised of, the Contract Analyst will prepare an Addendum to the solicitation and provide the question(s) and answer(s) to all proposers to ensure a level playing field. Failure to do so could result in a protest or cancellation of the solicitation.
To maintain confidentiality, one must always be aware of any information being provided and understand that it may be a conflict of interest or breach of conduct to do so. By signing below, each Consultant Selection Committee panel member certifies that he or she will abide by the code of ethical conduct and will not disclose any information related to this contract procurement to anyone. Please contact your respective A&E Coordinator if you have any questions regarding confidentiality of information.
PANEL MEMBER NAME: ___________________________
SIGNATURE: ___________________________________ DATE ___________
SOLICITATION (RFQ) NUMBER: __________________________
Kform 65 (New 11/03)
EXHIBIT C
|CONSULTANT INTERVIEW FORMAT* |
|(The final score will be determined by using Consensus Scoring) |
|Committee Pre-Interview |Committee must meet at least 30 minutes prior to interviews. |
| |Committee must decide who will ask each question. |
| |Place sign on interview door: “Interview in Progress Do Not Enter.” |
| |Consultants are not allowed in the room until Committee is ready. |
| |The interview room door must remain closed during interviews. |
| |Chairperson must inform Committee members that Score sheets are subject to the Public Records Act. |
| |Contract Manager must indicate to the Chairperson who is to be designated a “Debriefer”. |
|Consultant Interview Set-Up|Chairperson will inform Consultants they have five (5) minutes to reconfigure room and/or set-up equipment. Equipment|
|5 Minutes |set-up is Consultant’s responsibility. Committee must not assist with any equipment set-up. Longer time to setup |
| |will result in time taken from their presentation. |
|Introduction |Chairperson will begin interview when set-up is complete or when five (5) minutes have elapsed, whichever occurs last.|
|2 to 5 minutes |Begin with self-introduction. |
| |Describe interview format. |
| |Inform Consultant not to divulge Questions to other Consultants and/or Subconsultants. |
| |Allow voting members to self-introduce. |
| |Introduce other participant(s) as observer(s). |
| |Question any new/revised resumes, organizational charts and/or staffing information submitted by Consultant. |
| |Determine if any key individuals have been replaced. |
|Consultant Presentation |After introductions are complete (5 minutes), Consultant has 20 minutes for entire presentation (25 minute total). |
|20 Minutes |Chairperson monitors Consultant’s time. |
| |Give a signal when two (2) minutes remain. Call time at 20 minutes if necessary. |
|Committee Questions and |Committee has 20 minutes for questions and answers. |
|Answers |Begin questions with the first Committee member. |
|20 Minutes |After last question, Chairperson asks if there are any follow-up questions if time allows. |
| |Chairperson will inform Consultants they have five (5) minutes for closing remarks. |
| |Chairperson thanks Consultants for presentation. |
*See Selection Interview Notes/Script for more detail.
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