OHIO DEPARTMENT OF TRANSPORTATION
CUY-90-14.90
Project Number 133000
PID 82119
DESIGN-BUILD-FINANCE
INSTRUCTIONS TO PROPOSERS
(Revised 3/221/13)
Instructions to Proposers
CUY-90-14.90
Project No. 133000
PID 82119
TABLE OF CONTENTS
1. INTRODUCTION AND GENERAL PROVISIONS 1
1.1 Request for Proposals 1
1.2 Compliance with the terms of this ITP 2
1.3 Communications Protocols 2
1.3.1 The Department Representative 2
1.3.2 Identification of Proposer Representative 2
1.3.3 Rules of Contact 3
1.3.4 Communications with Stakeholders and Property Owners 4
1.4 Procurement Schedule 4
1.5 Improper Conduct 4
1.5.1 Non-Collusion Affidavit 4
1.5.2 Organizational Conflicts of Interest 4
1.5.3 Participation on more than one Proposer Team 5
1.5.4 Non-Exclusive Relationships with Monoline Insurers, Lenders and Conduit Issuers 5
1.6 Changes in Proposer’s Organization and Submission of Key Personnel 6
1.7 Reference Documents 6
1.8 Proposers’ Diligence 7
1.8.1 Examination of RFP and Project Right of Way 7
1.9 Disadvantaged Business Enterprises 7
1.10 Title VI Related Statutes Non-Discrimination Statement 8
1.11 Federally Required EEO Certification Clause 8
1.12 Notice of Requirement of Affirmative Action to Ensure Equal Employment Opportunity 8
1.13 Certification of Compliance with Affirmative Action Programs 9
1.14 Certification of Nonsegregated Facilities 9
1.15 Limitation on Use of Contract Funds for Lobbying 10
1.16 Prequalification 11
1.17 Subletting of the Contract 12
1.18 Insurance 12
2. RFP PROCESS 12
2.1 Summary of the RFP Process 12
2.2 Issuance of the RFP and Addenda 13
2.2.1 RFP Issuance 13
2.2.2 Issuance of Addenda to the RFP 14
2.3 Proposers’ Submittal of Questions and Comments Regarding the RFP and the Department’s Responses 14
2.4 One-on-One Meetings 15
2.5 The Department’s Disclosure of Information in Proposal Documents 16
3. ALTERNATE TECHNICAL CONCEPTS 17
3.1 ATC Definition 17
3.2 Submittal of an ATC to the Department 17
3.3 The Department’s Response to an ATC Submittal 19
4. GENERAL REQUIREMENTS FOR TECHNICAL AND FINANCIAL PROPOSALS 20
4.1 General Submittal Requirements 20
4.1.1 Signatures Required 20
4.1.2 Language and Currency 20
4.1.3 Inclusion of Proposal in Public Private Agreement 21
4.2 Requirements to Submit a Responsive Proposal 21
4.3 Content, Format and Organization 22
4.3.1 Proposal Contents and Format 22
4.3.2 Technical Proposal 23
4.3.3 Financial Proposal 23
4.3.4 Conflict or Inconsistency in Copies of Proposals 24
4.4 Proposal Delivery – Due Dates and Location 24
4.5 Modifications, Withdrawals and Late Submittals 24
4.5.1 Modifications to a Proposal 24
4.5.2 Withdrawal of Proposals 25
4.5.3 Late Proposals 25
4.6 Proposal Guaranty 25
4.6.1 Proposal Guaranty 25
4.6.2 Forfeiture of Proposal Guaranty 26
4.6.3 Return of Proposal Guaranty 26
4.6.4 Proposal Validity Period 27
4.7 Proposers’ Costs Not Reimbursable 27
5. PROPOSAL EVALUATION PROCESS 27
5.1 Technical Proposals Pass/Fail Evaluation Process 27
5.2 Technical Proposals Value Based Evaluation Process 28
5.3 Financial Proposal Pass/Fail Evaluation Process 28
5.4 Financial Proposal Value-Based Evaluation Process 28
5.5 Successful Proposer Selection 29
5.6 Other Evaluation Considerations 29
5.6.1 Requests for Clarification 29
6. FINANCIAL PROPOSAL CONSIDERATIONS 30
6.1 Selection of Benchmark and Base Interest Rates 30
6.2 Interest Rate Fluctuation Risk 31
7. FINALIZATION OF PROJECT DOCUMENTS 31
7.1 Commercial Close 31
7.2 Financial Close 32
8. WITHDRAWAL AND PAYMENT FOR WORK PRODUCT 33
8.1 Withdrawal of Successful Proposer Status 33
8.2 Stipend 33
9. PROTEST PROCEDURES 35
10. RESERVED RIGHTS 36
10.1 The Department’s Rights 36
10.2 Department Disclaimers 37
EXHIBITS 1
Exhibits and Forms:
Exhibit A RFP Schedule
Exhibit B Summary and Checklist of Proposal Contents
Exhibit C Technical Proposal
Exhibit C-1 Technical Proposal Instructions
Exhibit C-2 Technical Proposal Evaluation Criteria
Exhibit D Financial Proposal
Exhibit D-1 Financial Proposal Instructions
Exhibit D-2 Financial Proposal Evaluation Criteria
Form A Proposal Letter
Form B Major Participants and Key Personnel Commitment and Statement of Availability
Form C Schedule of Values
Form D Price Proposal
Form E Interest Rate Submittal
Ohio Department of Transportation -iii-
Instructions to Proposers
CUY-90-14.90
Project No. 133000
PID 82119
1. INTRODUCTION AND GENERAL PROVISIONS
1.1 Request for Proposals
(a) The Ohio Department of Transportation (the “Department” or “ODOT”) is seeking Proposals from all shortlisted firms and teams of firms (“Proposers”) through this Request For Proposals for a Developer to undertake the design, construction, and financing of the Innerbelt Construction Contract Group 2 (CCG2) Project (the “Project”).
(b) The Developer’s and Department’s obligations to each other in respect of the Project shall be set forth in the Contract Documents.
(c) The Proposer that is selected by the Department, in accordance with this ITP (as defined below) and the RFP (as defined below), to enter into the Public Private Agreement with the Department shall be referred to herein as the“Successful Proposer”. The Successful Proposer shall become the “Developer” upon execution of the Public Private Agreement.
(d) Only those parties that submitted a Statement of Qualifications (“SOQ”) in response to the Request for Qualifications for the Innerbelt Construction Contract Group 2 Project - PID 82119 (the “RFQ”) issued by the Department in November 2012 and became shortlisted thereunder are eligible to submit Proposals in response to this Request For Proposals.
(e) This Request For Proposals consists of the documents described below and any other documents that may be issued by Addenda hereto, in each case, as such documents may be revised, amended, supplemented or otherwise modified (collectively, the “RFP”):
i. This Instructions to Proposers (including all Exhibits and Forms attached hereto, collectively, this “ITP” or “Instructions to Proposers”); and
ii. Each of the following documents, (collectively, the “Contract Documents”):
(A) The Public Private Agreement; and
(B) The Project Scope and its Appendices.
(f) Definitions of capitalized terms used and not otherwise defined in this ITP and rules of construction regarding terms generally are set forth in the Public Private Agreement - Exhibit A1.
(g) For the purpose of the RFP, if there are any conflicts or inconsistencies among the terms and conditions of any of the documents comprising the RFP, the following shall apply:
i. in respect of matters of interpretation related to procurement matters, this ITP shall prevail over the documents in any other part of the RFP; and
ii. in respect of matters of interpretation related to the Project or the Public Private Agreement, the Public Private Agreement shall prevail over the documents in any other part of the RFP.
1.2 Compliance with the terms of this ITP
Proposers must comply with all terms of this ITP in submitting their Proposals, providing any other information in response to the RFP, engaging in any communications with the Department, and in all other respects throughout the entire RFP Process. Failure by a Proposer or any member of its team to comply with the requirements, restrictions, prohibitions and other terms herein may result in (a) disqualification of such Proposer, such member or both; (b) a draw by the Department on such Proposer’s Proposal Guaranty; and/or (c) loss of such Proposer’s eligibility to receive the Stipend.
1.3 Communications Protocols
1.3.1 The Department Representative
The Department has designated the following individual to be its authorized representative for the procurement of the Project and the RFP Process:
Michael Wawszkiewicz
Ohio Department of Transportation
Division of Innovative Delivery
Mail Stop 4300
1980 W. Broad Street
Columbus, OH 43223
Phone: (614) 728-4585
E-mail:
Such individual or any other individual(s) designated by the Department from time to time during the procurement, and notified to the Proposers, to act as its authorized representative for the purposes of the RFP Process shall be the “Department Representative”.
1.3.2 Identification of Proposer Representative
(a) Each Proposer shall designate one (1) individual to be its authorized representative responsible for contacts with the Department during the procurement (such individual, as may be substituted in accordance with clause (b) below, the “Proposer Representative”). Unless otherwise notified to the Department in writing, the authorized representative identified by each Proposer on Form C1 included with its SOQ shall be deemed to be such Proposer’s Proposer Representative.
(b) At any time, if a Proposer wishes to change the individual then designated as its Proposer Representative, such Proposer shall notify the Department Representative by e-mail of such change and the name, address and other contact information of such new designated individual. Each Proposer is solely responsible for ensuring that the contact information for its Proposer Representative is accurate and updated at all times during the RFP Process. Failure by a Proposer to identify a Proposer Representative or update his/her contact information with the Department in writing may result in such Proposer failing to receive important communications from the Department. The Department is not responsible for any such failure.
1.3.3 Rules of Contact
(a) Unless specifically authorized elsewhere in this ITP, the Department Representative shall be the Department’s single contact person and source of information for the procurement of the Project.
(b) All notices, submissions, approvals and other communications described in this ITP and the RFP, whether by a Proposer or the Department, shall be in writing and delivered by electronic-mail (e-mail), except in the cases of notices, submissions, approvals or other communications expressly permitted or required to be given verbally, by telephone or hard copy. Notwithstanding Section 1.5.4(c), unless expressly requested or permitted otherwise or initiated by the Department, the Department will not directly engage in communications regarding the procurement of the Project, the RFP or RFP Process with any Persons other than the Proposers, including any Lenders, Conduit Issuers or their respective advisors.
(c) The rules of contact set forth in this Section 1.3.3 shall apply during the entire RFP Process and to all forms of contact, including, without limitation, face-to-face meetings and teleconferences between the Department and any Proposer (which meetings and teleconferences may include any of such Proposer’s employees, consultants and advisors), e-mail or formal written communication and submissions through the Department’s web site.
(d) The following rules of contact shall apply to any contact by and among a Proposer and any other Proposer(s) or a Proposer and the Department:
i. Proposers are expected to conduct themselves with professional integrity and to refrain from lobbying activities. Commencing with the issuance of the RFP and continuing until the award of the Contract (or cancellation of the procurement), no employee, member, agent, or advisor of any potential or submitting Proposer shall have any direct or indirect ex parte communications regarding this Project with any representative of the Department, the Federal Highway Administration, or other Proposers or consultants involved with the procurement, except for communications expressly permitted by the RFP.
ii. Any verified allegation that a Proposer, Proposer member, an employee, agent, advisor or consultant of the Proposer has engaged in such prohibited communications or attempted to unduly influence the selection process may be cause for the Department to disqualify the Proposer or to disqualify the Proposer member from participating with the Proposer; all at the sole discretion of the Department.
1.3.4 Communications with Stakeholders and Property Owners
Depending on the nature and volume of questions received regarding Stakeholders issues, the Department may schedule meetings between Proposers and Stakeholders. Any such meeting will be open to all Proposers and the relevant Stakeholder(s). If the Department determines to schedule any such meeting, it will notify the Proposers of the Stakeholder attendees, topic(s) to be covered, date, time and other pertinent information regarding the meeting.
1.4 Procurement Schedule
The procurement process to select a Successful Proposer to deliver the Project shall commence with the issuance of the RFP and terminate upon the completion of Commercial Close and Financial Close or the date the Department notifies the Proposers that the procurement for the Project has been terminated, whichever occurs first, and shall include the various steps described in this ITP (collectively, the “RFP Process”). A detailed schedule of the RFP Process is set forth in Exhibit A (the “RFP Schedule”). All dates set forth in the RFP Schedule and elsewhere in the RFP are subject to change, in the Department’s sole discretion, by notice to the Proposers.
1.5 Improper Conduct
1.5.1 Non-Collusion Affidavit
In accordance with Title 23 United States Code, Section 112 and Ohio Revised Code, Chapter 1331 et. seq: and Sections 2921.11 and 2921.13, the Proposer hereby states, under penalty of perjury and under other such penalties as the law provides, that neither the Proposer or its agents or employees have entered either directly or indirectly into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with this Proposal. Execution of the Proposal Letter included in a Proposer’s Proposal shall be deemed to be the execution of this Non-Collusion Affidavit by such Proposer as permitted by title 28 United States Code, Section 1746.
1.5.2 Organizational Conflicts of Interest
The Proposer’s attention is directed to 23 CFR Part 636 Subpart A and in particular Section 636.116 regarding organizational conflicts of interest. Section 636.103 defines “organizational conflict of interest” as follows:
“Organizational conflict of interest means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the owner, or the person's objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage.”
Proposers are prohibited from receiving any advice or discussing any aspect relating to the Project or procurement of the Project with any person or entity with an organizational conflict of interest. The Department may disqualify a Proposer if an organizational conflict of interest exists.
The Proposer agrees that, if after award, an organizational conflict of interest is discovered, the Developer must make an immediate and full written disclosure to the Department that includes a description of the action that the Developer has taken or proposes to take to avoid or mitigate such conflicts. If an organizational conflict of interest is determined to exist, the Department may, at its discretion, terminate the Public Private Agreement.
The Proposer’s attention is further directed to Ohio Administrative Code Section 4733-35-05 (C) and the requirements regarding organizational conflicts of interest.