A Qualification Based Selection method will be used to review proposals submitted in response to this RFP.

Transcription

1 REQUEST FOR PROPOSALS (RFP) Qualification Based Selection Minnesota Department of Transportation (MnDOT) Intelligent Transportation Systems (ITS) Innovative Idea Program All responses to this RFP (termed an Event within SWIFT) must be submitted through SWIFT using the Supplier portal: Training and documentation on how to submit your response is available through the Supplier portal link above. All responses to this RFP must be submitted and received in SWIFT no later than the Event End Date and Time, as set forth in the SWIFT Event Details applicable to this RFP. Note: Responders Must be Registered to Respond If you are reviewing this RFP in the SWIFT system, or you have downloaded the solicitation from the SWIFT system, you are likely already a registered vendor with the state. If you are reviewing this RFP in paper form, you may need to register as a vendor by going to For new vendors, please note that approval of your registration may take 3 4 business days to complete. If you need assistance obtaining a Vendor ID or completing the registration process, please call , Option 1. This document is available in alternative formats for persons with disabilities by calling Ron Bisek at or for persons who are hearing or speech impaired by calling the Minnesota Relay Service at This RFP does not obligate MnDOT to award a contract or complete the project, and MnDOT reserves the right to cancel the RFP if it is considered to be in its best interest. A Qualification Based Selection method will be used to review proposals submitted in response to this RFP. Responses to this RFP will be public information under the Minnesota Data Practices Act, Minnesota Statutes Chapter 13. PROJECT SPECIFIC INFORMATION Project Overview MnDOT requests responses for the Intelligent Transportation System (ITS) Innovative Idea Program. This solicitation is to seek out new and innovative ideas to test, demonstrate or deploy intelligent transportation systems technology in the state of Minnesota. This RFP is intended for responses by private or public partners outside of the MnDOT. Efforts under this RFP will allow ITS in Minnesota to stay at the forefront in pursuing new advanced technology to solve today s transportation challenges. Over the past several years, MnDOT has performed a broad range of ITS activities including need assessments, research and development, full-scale operational testing, and deployment of ITS strategies and technologies. It s success is based on a strong cooperation between the public and private sectors, which has produced innovative and unique programs and projects. Project Goal The goal of this project is to select and fund projects that are beyond the basic or applied research stage. Projects that can benefit from an operational test setting or demonstrate ongoing advances in technology are desired. Those projects that demonstrate a higher potential for deployment are desired over simple demonstration projects. Respondents are required to identify with the various Minnesota ITS Deployment Objectives show in Exhibit A of this RFP. The ITS Innovative Idea Program is not the sole mechanism to receive ITS funding for projects in Minnesota. Responding to this solicitation does not exclude projects from utilizing other contracting and funding mechanisms currently in place

2 Project Constraints It is anticipated that Innovative Idea projects resulting from this solicitation will be completed within a two year time frame. Proposed projects that may exceed the two year duration must be identified in the proposal. A variety of funding sources may be used for the Innovative Idea Program including Federal and State Trunk Highway Funds. Contracts resulting from this solicitation will comply with all applicable Federal or State statutes depending on the source of funds. Scope of Work and Deliverables The Scope of Work for each Innovative Idea project will be developed and finalized in conjunction with MnDOT based on Stage II proposal content submitted by the responder. The final Scope of Work for each Innovative Idea project will contain a detailed description of the work to be performed and specific deadlines for completion. Anticipated Term The term of the Innovative Idea Program contracts is anticipated to run from July 1, 2016 to June 30, Two-Stage Solicitation Process This solicitation will be completed in two stages. Stage I will include review of short project summary statements (proposals) defining the problem to be addressed and the approach to be employed. MnDOT will select those statements (proposals) for which the department would like to see additional detail, and will invite the Stage I Responder to prepare a full Stage II proposal. Proposers may submit more than one Stage I proposal, but each must be submitted separately. STAGE I QUESTIONS Responders who have any questions regarding this RFP must submit questions by only to: Ron Bisek Ron.bisek@state.mn.us All questions and answers will be posted on MnDOT s Consultant Services Web Page at under the P/T Notices section. All prospective responders will be responsible for checking the web page for any addendums to this RFP and any questions that have been answered. Note that questions will be posted verbatim as submitted. Questions regarding this RFP must be received by MnDOT no later than 2:00 p.m. Central Daylight Time on April, 8, MnDOT anticipates posting answers to such questions no later than 2:00 p.m. Central Daylight Time on April 14, No other MnDOT personnel are allowed to discuss the RFP before the proposal submission deadline. Contact regarding this RFP with any personnel not listed above may result in disqualification. PROPOSAL CONTENT The following will be considered minimum contents of the proposal, and must be submitted in the order listed: Proposal Content: Stage I Initial Project Summary Statement Stage I Initial Project Summary Statement Responders should submit a 4-page (maximum) project summary statement to include: 1. Cover Page (1-page maximum) The cover page must include company name, business address, contact person s name, telephone and fax number, address and signature of an authorized member of the lead firm proposing the project. 2. Definition of Problem (1-page maximum) The key to a successful project is having a clear understanding of what issues are being addressed by the project. Responders should supply adequate background information to demonstrate that a specific problem(s) exists and needs to be addressed. This may be accomplished through, but - 2 -

3 not limited to, anecdotal information; safety studies; results from previous research; or market studies. Details on the problem should clearly identify the impact to the customer (i.e. general public, business interests, system stewards, or policy makers). This solicitation is looking for ITS solutions to address problems; the benefits of these solutions should be clearly articulate din the proposal. 3. Explanation of Approach (2-page maximum) This section of the project summary statement should describe the approach that is going to be tested to address the problem previously identified. Responders should clearly indicate if their proposal is 1) a new approach or solution to an existing problem, 2) a modification to an existing approach, 3) enhancements of add-ons to current products or processes, or 4) a nontraditional use of existing technology. Responders should indicate if this project idea is new to the Minnesota area, nationally, or internationally. Sustainability and maintainability are important items that should be discussed in this section. Projects that require a large on-going commitment of specialized resources to remain operational after the project has concluded are less desirable than a robust solution that can be maintained utilizing local resources. Use of Funds Available Through this Solicitation Trunk highway funding may be used to fund projects resulting from this solicitation. Proposals not meeting requirements on the use of state trunk highway funds may result in the proposal being eliminated from consideration. Responders must not include price information either in the body of their Stage I proposal or as a separate submittal. Responders must limit their Stage I proposal to 4 single-sided, 8.5 x11 pages, with no smaller than 11 point font. Excess pages will not be reviewed and evaluated, regardless of content. Note, the cover letter and the required forms will not count as part of the page limit. Stage I PROPOSAL SUBMITTAL INSTRUCTIONS All proposals must be sent to: Ron Bisek, Contract Administrator Minnesota Department of Transportation (RTMC) Office of Traffic, Safety and Technology 1500 West County Road B2, Mailstop 725 Roseville, MN All responses must be received no later than 2:00 p.m. Central Time on Thursday, April 21, Please note that MnDOT procedures do not allow non-mndot employees to have access to the elevators or the stairs. You should plan enough time and follow these instructions for drop-off: Enter the MnDOT Waters Edge Building Once you enter through the doors, the receptionist is located on your right. Proposals are accepted at the Information Desk of Waters Edge only. The receptionist will date and time stamp the proposal and will call the Contract Administrator to pick up the proposal. Late responses will not be considered. Fax and responses will not be considered. All costs incurred in responding to this solicitation will be borne by the responder. Responders must submit 1 hard copy of the proposal, along with one copy of the entire response in electronic format (CD- ROM or flash drive). Proposals are to be submitted in a sealed mailing envelope or package, clearly marked Proposal on the outside. An authorized member of the firm must sign the Stage I proposal

4 Stage I PROPOSAL EVALUATION All stage I proposals submitted by the deadline will be evaluated, and a shortlist of projects will be determined. No set numeric formula or quantitative criteria will be used to rate Stage I proposals. MnDOT will, at its sole discretion, determine which projects to shortlist based on factors including, but not limited to, importance of problem identified, feasibility of proposed approach and likelihood of success, available and required state resources, and the degree to which the problem/approach meshes with the Minnesota s ITS Development Objectives. In some instances, an interview may be part of the evaluation process. By submitting a Stage I proposal, a responder acknowledges the wholly discretionary nature of the Stage I review and selection, and waives any claim it may have for MnDOT s failure to select their proposed project for submission of a Stage II proposal. All responders will be notified whether or not their Stage I submission has been selected to move to a Stage II proposal. Responders who have projects that are shortlisted will be required to submit a full project proposal in order to move forward to Stage II. Proposal content requirements and evaluation criteria for Stage II proposals are set forth below. Proposal Content: Stage II Full Proposal The following will be considered minimum contents of the Stage II proposal for the successful Stage I responders and must be submitted in the order listed: 1. Cover Page The cover page must include company name, business address, contact person s name, telephone and fax number, address, and signature of an authorized member of the lead firm proposing the project. 2. Definition of Problem The key to a successful project is having a clear understanding of what issues are being addressed. Responders must supply adequate background information to demonstrate that a specific MnDOT problem(s) exists where ITS is the best solution and needs to be addressed. This may be accomplished through, but not limited to, anecdotal information; safety studies; results from previous research; or market studies. Details on the problem should clearly identify the impact to the customer (i.e. general public, business interests, system stewards, or policy makers). This solicitation is looking for ITS solutions to address problems; the benefits of these solutions should be clearly articulated in the proposal. Responders must be concise in defining what the project is trying to address while highlighting the need to proceed with this project. There is ample opportunity to provide other supporting documentation throughout the remainder of the proposal. 3. Literature Search Responders must conduct a literature search to identify what efforts have been undertaken in the area their project proposes to address. This search must identify traditional measures that have been undertaken to address the problem identified in the problem statement. The literature search must identify the benefits and drawbacks of the traditional approaches as well as the opportunities to improve in this area. Responders must utilize this area to establish the level of innovation their solution will employ. The literature search must clearly indicate the state of the art and state of the practice related to their proposed project and identifies the opportunities for improvement. This section should set the stage for the proposed solution the responder is interested in pursuing. Responders should cite the sources reviewed. Responders are encouraged to provide thorough review but should refrain from providing ancillary information that provides little or no material benefit to their project. 4. Definition of Solution / Approach This section of the proposal must describe the approach that is going to be tested to address the problem previously identified. Responders must clearly indicate if their proposal is 1) a new approach or solution to an existing problem, 2) a modification to an existing approach, 3) enhancements of add-on s to current products or processes, or 4) a nontraditional use of existing technology. Responders must indicate if this project idea is new to the Minnesota area, - 4 -

5 nationally, or internationally. Sustainability and maintainability are important items that should be discussed in this section. Any on-going commitment of specialized resources required in order for the product to remain operational after the project has concluded must be identified. Responders must utilize the Scope of Work and Deliverables section of their proposal to elaborate on the tasks required to complete the project. 5. Scope of Work and Deliverables The scope of work and deliverables must detail the project specific tasks that are required to successfully complete the project. A detailed project plan must be developed that includes proposed tasks and deliverables. The following deliverables are expected at a minimum for each project; monthly invoicing and monthly/quarterly progress reports, concept of operations, functional requirements, system design, test/evaluation plan, and final report. Responders must clearly identify these and any other deliverables to be provided under the project tin this section of their proposal. The scope of work must identify potential partnering agencies willing to be involved in the proposed project. Expectations of MnDOT staff and other partnering agencies to be involved in the Responder s project must be articulated in this section. Responders must clearly indicate if the partner identified in the proposal has agreed to participate in this project; additionally, responders must provide written letters of support in the Required Forms and Documentation section of their proposal from any agency that has agreed to participate. Responders are encouraged to establish partnerships prior to submitting the proposal; however, proposals that do not have a partner identified will be considered. As part of the evaluation of the Stage II proposal, MnDOT may evaluate the ability and willingness of MnDOT staff and other partnering agencies to provide the support expectations indicated by the proposed approach. This evaluation may impact the scores MnDOT assigns to the factors or criteria used to score the proposals. Responders should include a task for project management and should also consider including a task for evaluating the system or providing data that can be used by others to evaluate the benefits of the system Responders are encouraged to recommend a testing area for the proposed projects; supporting evidence should be included as to why the testing area is recommended. If a specific area is not identified, the responders must identify desirable characteristics of an ideal testing environment. Responders should consider including an optional task for either removing any installed system at the end of the project or for providing training and upgrades if the system is to continue in operation after the end of the project. If the projects require the use of communication infrastructure, the responders must present the impact any project may have on the current operations of MnDOT communication systems (i.e., fiber, radio, etc.). Finally, the scope of work should include a preliminary schedule for the project. The schedule should include an estimated time for project development tasks as well as a proposed length of time for operational testing. A month project timeline is desired; however, projects that are shorter or longer than this timeline will be considered. 6. Measures of Success Responders are encouraged to suggest various measures that may be used to determine if their project was a success. This input will assist in developing a comprehensive evaluation plan specifically related to projects funded under the ITS Innovative Idea Program. Possible measures of success include, but are not limited to, safety; security; mobility; access to travel options; energy and the environment; and system integration of traffic, transit, commercial vehicle operations, and emergency service operations. Responders must elaborate on the various measures of success and related metrics they envision being applicable to their effort (e.g., safety measure of success reducing crash rate by X%, reducing injury severity by X%, etc.) - 5 -

6 7. Risk Assessment In order to fund projects that have a high probability of being successful in reaching the operational testing phase, responders must identify and assess risks that may affect the project. Examples of this information include, but are not limited to, changes to laws, approval from various administrative agencies responsible for oversight in a particular area technical risks, costs risks or the possibility of core technology changes during the project schedule. The risk assessment should identify the main risks, identify how big an impact the risk would have on the project success, identify the likelihood that the risk will occur and propose a potential high level mitigation approach(es).. 8. Company Background This section allows the Responders to present company background and information that is pertinent to this solicitation and the project. 9. Key Personnel: Responders must provide a list of the key personnel who will be assigned to the project and their area of responsibility. Responders must provide a statement for each of the key personnel detailing their training, work experience and qualifications relevant to the proposed work. No change in personnel assigned to the project will be permitted without the written approval of MnDOT s Project Manager. For each of the key personnel assigned to the project, provide a list of their current projects, expected completion dates, and percentage of time dedicated to those projects. 10. Required Forms and Documents The forms and documents required under any other section of this RFP. 11. Quality Management Plan: A project specific Quality Management Plan (QMP) that will be used on the project. The QMP must specify how Responder will perform Quality Assurance and Quality Control (QA/QC) activities throughout the duration of the project to ensure delivery of a quality product in a timely manner that conforms to established contract requirements. Components of the QMP must include the following project specific items (as outlined in MnDOT s current QMP Manual located at - A List of Requirements - Intent of the QMP - Philosophy of the QMP - Technical Document Review Process - Checking Procedures - Quality Control Verification - Definitions 12. Cost Proposal Provide, in a separate envelope, one copy of the cost proposal, clearly marked on the outside Cost Proposal, along with the Responder s official business name and address. For purposes of completing the cost proposal, MnDOT does not make regular payments based upon the passage of time; it only pays for services performed or work delivered after it is accomplished. Terms of the proposal as stated must be valid for the length of the project. If proposing an hourly rate, unit rate, or lump sum, include a breakdown (labor, overhead, profit & expenses) showing how the rate was derived. If proposing a cost plus fixed fee (profit) budget, the responder s Overhead Rate must not exceed 160%. The responder must utilize their current MnDOT approved Overhead rate, not to exceed 160%. For the purposes of this Cost Proposal, responders should utilize a fixed fee (profit) of 10%. Actual fixed fee (profit) will be determined/calculated by MnDOT upon selection. The responder must include a total project cost along with the following: a. A breakout of the hours by task for each employee. b. Identification of anticipated direct expenses. c. Identification of any assumptions made while developing this cost proposal. d. Identification of any cost information related to additional services or tasks. Include this in the cost proposal but identify it as additional costs and do not make it part of the total project cost. e. Responder must have the cost proposal signed in ink by an authorized member of the firm. The responder - 6 -

7 must not include any cost information within the body of the RFP technical proposal response. Stage II Proposal Format The Stage II proposal will be submitted as follows: 8 ½ x 11 inch page size (11 x 17 fold outs are acceptable for maps.) Text minimum 11 point font (including tables and figures) Stage II PROPOSAL SUBMITTAL INSTRUCTIONS All Stage II full proposals must be mailed (United States Postal Service), expressed (UPS, FedEx or other similar express carrier) or dropped off to the attention of: Ron Bisek, Contract Administrator Minnesota Department of Transportation Office of Traffic, Safety and Technology 1500 West County Road B2, Mailstop 725 Roseville, MN Responders invited to submit Stage II proposals will be informed of the exact date and time such proposals are due. Please note that MnDOT procedures do not allow non-mndot employees to have access to the elevators or the stairs. You should plan enough time and follow these instructions for drop-off. Enter the MnDOT Waters Edge Building Once you enter through the doors, the receptionist is located on your right. Proposals are accepted at the Information Desk of Waters Edge Only. The receptionist will date and time stamp the proposal and will call the Contract Administrator to pick up the proposal. Late responses will not be considered. Fax and responses will not be considered. All costs incurred in responding to this solicitation will be borne by the responder. Responders must submit 1 hard copy of the proposal, along with one copy of the entire response in electronic format (CD- ROM or flash drive). Proposals are to be submitted in a sealed mailing envelope or package, clearly marked proposal on the outside. An authorized member of the firm must sign the Stage I proposal. Stage II PROPOSAL EVALUATION Representatives of MnDOT will evaluate all full proposal responses received by the deadline. In some instances, an interview may be part of the evaluation process. A 100-point scale will be used to create the final evaluation recommendation. The factors and weighting on which proposals will be judged are: 1. Definition of Problem 10% 2. Literature Search 10% 3. Definition of Solution/Approach 10% 4. Scope of Work and Deliverables 20% 5. Measures of Success 5% 6. Risk Assessment 10% 7. Company Background 10% 8. Key Personnel Quality Management Plan 5% 10. Cost Proposal 10% - 7 -

8 Full proposals will be evaluated on a best value basis, including consideration of costs factors. Full proposals will be evaluated and ranked based on technical merit including the evaluation factors 1-9 listed above. After proposals have been scored on non-cost factors, MnDOT will then open the associated cost proposals. MnDOT will not use a fixed mathematical formula to score costs, but rather MnDOT will, in its sole discretion, award cost points (up to ten points) based on MnDOT s determination of the cost-effectiveness of the proposed project in relation to the overall amount of money available. The cost effectiveness of a proposal will be evaluated by considering factors including, but not limited to, partnership contribution; cost detail and funding plan the breadth and depth of a proposal s potential impact on the transportation system; availability of internal resources necessary to support proposed projects; and the potential on-going cost impacts to MnDOT or other public agencies. MnDOT does not guarantee that the lowest-cost projects will necessarily receive the most cost points, or that there will be any proportionality between costs and the number of cost points awarded. By submitting a proposal, the responder acknowledges that MnDOT retains full discretion over the determination of technical and cost points. By submitting a proposal, the responder also waives any claim it may have against MnDOT with respect to the evaluation, scoring, and selection, non-selection, or rejection of its proposal, unless MnDOT s actions were wholly arbitrary and capricious. Project Budget An estimated amount of $700, of ITS funds may be available through this solicitation. The MnDOT may award one, multiple or no projects based on this solicitation. All projects with budgets under $700, will be considered regardless of cost. Partnership contributions (i.e., cash, labor, equipment etc ) of 25% or more are encouraged and should be clearly identified in the Cost Proposal section of the Stage II proposal. Partnership contributions must be able to be documented and tracked throughout the course of the project. MnDOT anticipates that the final evaluation and selection will be completed by June 1,

9 GENERAL REQUIREMENTS Responders must adhere to all terms of this RFP. Late proposals will not be considered. Fax, and printed proposals will not be considered. All costs incurred in responding to this RFP will be borne by the responder. Affidavit of Noncollusion Responders must complete the attached Affidavit of Noncollusion form and submit it as part of their proposal. Conflicts of Interest Responders must provide a list of all entities with which it has relationships that create, or appear to create, a conflict of interest with the work that is contemplated in this RFP. This list should indicate the name of the entity, the relationship and a discussion of the conflict. Responders must complete the attached Disclosure of Potential Conflict of Interest form and submit it as part of their proposal. Proposal Contents Certification By submitting a proposal, responders warrant that the information provided is true, correct and reliable for purposes of evaluation for potential contract award. The submission of inaccurate or misleading information may be grounds for disqualification from contract award and may subject the responder to suspension or debarment proceedings, as well as other remedies available to MnDOT, by law. Disposition of Responses All materials submitted in response to this RFP will become property of MnDOT and will become public record, in accordance with Minnesota Statutes , after the evaluation process is completed. Pursuant to the Statute, completion of the evaluation process occurs when MnDOT has completed negotiating the contract with the successful responder. If a responder submits information in response to this RFP that it believes to be trade secret materials, as defined by the Minnesota Government Data Practices Act, Minnesota Statutes 13.37, the responder must: Clearly mark all trade secret materials in its proposal at the time the proposal is submitted; Include a statement with its proposal justifying the trade secret designation for each item; and Defend any action seeking release of the materials it believes to be trade secret, and indemnify and hold harmless the state, its agents and employees, from any judgments or damages awarded against the state in favor of the party requesting the materials, and any and all costs connected with that defense. This indemnification survives MnDOT s award of a contract. In submitting a proposal in response to this RFP, the responder agrees that this indemnification survives as long as the trade secret materials are in possession of MnDOT. MnDOT is required to keep all the basic documents related to its contracts, including responses to RFPs, for a minimum of seven years. MnDOT will not consider the prices submitted by the responder to be proprietary or trade secret materials. Contingency Fees Prohibited Pursuant to Minnesota Statutes 10A.06, no person may act as or employ a lobbyist for compensation that is dependent upon the result or outcome of any legislation or administrative action. Sample Contract Responders should be aware of MnDOT s standard contract terms and conditions when preparing their proposal. Responders may view the current version of the Professional/Technical High Risk Engineering & Related contract template on the Consultant Services website: Much of the language reflected in the contract template is required by statute. However; if a responder does take exception to any of the terms, conditions or language in the contract template, they must indicate those exceptions in their proposal. Responders should note that certain exceptions may result in your proposal being disqualified from further review and evaluation. Only those exceptions indicated in the proposal will be available for discussion or negotiation. Travel Reimbursements Reimbursements for travel and subsistence expenses actually and necessarily incurred by the successful responder, as a result of the contract, will not exceed the amounts provided in the current MnDOT Travel Regulations. Reimbursements will not be - 9 -

10 allowed for travel and subsistence expenses incurred outside of Minnesota, unless the successful responder has received MnDOT s written approval for out-of-state travel. Minnesota will be considered the home base for determining whether travel is out-of-state. Organizational Conflicts of Interest The responder warrants that, to the best of its knowledge and belief, and except as otherwise disclosed, there are no relevant facts or circumstances, which could give rise to organizational conflicts of interest. An organizational conflict of interest exists when, because of existing or planned activities or because of relationships with other persons, a vendor is unable or potentially unable to render impartial assistance or advice to MnDOT, or the vendor s objectivity in performing the contract work is or might be otherwise impaired, or the vendor has an unfair competitive advantage. The responder agrees that, if after award, an organizational conflict of interest is discovered, an immediate and full disclosure in writing must be made to the Assistant Director of the Department of Administration s Materials Management Division which must include a description of the action which the selected responder has taken or proposes to take to avoid or mitigate such conflicts. If an organization conflict of interest is determined to exist, MnDOT may, at its discretion, cancel the contract. In the event the responder was aware of an organizational conflict of interest prior to the award of the contract, and did not disclose the conflict to the contracting officer, MnDOT may terminate the contract for default. The provisions of this clause must be included in all subcontracts for work to be performed similar to the service provided by the prime contractor, and the terms contract, contractor, and contracting officer modified appropriately to preserve the State s rights. Pre-Award Audit Requirement The successful Stage II responders will be required to submit pre-award audit information and comply with audit standards. Failure to do so may result in disqualification. Information Technology (IT) Accessibility Standards Where applicable, all State information technology procurement must follow the State Accessibility Standard. Information about the Standard can be found at: Soliciting proposals by Disadvantaged Business Enterprises (DBE) A variety of funding sources may be utilized for these projects, including Federal, State Trunk Highway and State ITS funds. Each contract executed as a result of this RFP will comply with the requirements of each funding source, including the establishment of a specific DBE goal when federal funding is utilized. In the event that federal funds are used, and a DBE goal is established, the following parameters will be implemented: 1. For projects with a DBE % Goal assigned: In accordance with 49 Code of Regulations, Part 26, Participation By Disadvantaged Business Enterprises in MnDOT s Financial Assistance Program, a DBE goal will be established for each Innovative Idea Program Contract utilizing Federal funds executed under this RFP. To view a listing of those certified DBE s please contact MnDOT s Office of Civil Rights at , or visit their website at: This goal may be attained by means of: a) a subcontract agreement or affidavit with a Minnesota Unified Certification Program (Mn/UCP) certified Disadvantaged Business Enterprise; b) an equipment lease agreement with a Mn/UCP certified DBE; c) a joint venture with an Mn/UCP certified DBE. The joint venture must have the approval of MnDOT s Office of Civil Rights prior to submitting the proposal; d) a purchase agreement with a Mn/UCP certified DBE supplier (60% of the supplier s contracted amount will be credited toward the DBE goal), or; e) other services pre-approved by MnDOT s Office of Civil Rights; Prior to the award of any Innovative Idea Program Contract utilizing Federal funds, MnDOT s Office of Civil Rights is required to clear the successful responder s attainment of the goal or good faith efforts made to attain the goal. Note that a successful responder who fails to indicate a DBE commitment on the Goal Certification form must fulfill the goal established by the Office of Civil Rights. See DBE Special Provisions posted with this RFP for details

11 2. For projects with a DBE Race Gender Neutral Goal assigned: MnDOT s Office of Civil Rights may assign a Race Gender Neutral Goal to a project. In the event that may happen, responders are directed to read the DBE Race Gender Neutral Special Provisions, as posted along with this RFP. The DBE Special Provisions explain how to comply with the DBE requirements. In particular, see pages one and two regarding documents that a responder must submit prior to the award of any Innovative Idea contract utilizing federal funds. The form required can be found on Page 3 of the Special Provisions. To view a listing of certified DBE s, please contact the MnDOT Office of Civil Rights at , TTY , or visit their website at Note: Responders are not required to submit any DBE documentation or paperwork at this time as part of their proposal. Human Rights Requirements For all Contracts estimated to be in excess of $100,000, responders are required to complete the attached Affirmative Action Certification form and submit it as part of their proposal. As required by Minnesota Rules Part It is hereby agreed between the parties that Minnesota Statutes 363A.36, and Minnesota Rules Part will be incorporated into any contract between these parties based upon this specification or any modification of it. A copy of Minnesota Statutes 363A.36 and Minnesota Rules Part are available upon request from MnDOT. Early Retirement Incentive Reemployment Prohibition Laws of Minnesota 2010, Chapter 337, Subdivision 5, provided an early retirement incentive to some state of Minnesota employees. The law provides that an individual who received an early retirement incentive payment may not be hired as a consultant by any agency or entity that participates in the State Employee Group Insurance Program for a period of three years after termination of service. By submitting a proposal under this RFP, the responder certifies that it will not utilize any former state employee in the performance of a contract who received an early retirement incentive payment under Laws of Minnesota 2010, Chapter 337, unless three years have passed from the date of the employee s separation from state service. Certification Regarding Lobbying Federal money will be used (or may potentially be used) to pay for all or part of the work under the contract; therefore, responders must complete the attached Certification Regarding Lobbying form and submit it as part of their proposal. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Federal money will be used (or may potentially be used) to pay for all or part of the work under the contract; therefore, responders must certify the following, as required by the regulations implementing Executive Order 12549: Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -- Lower Tier Covered Transactions Instructions for Certification: 1. By signing and submitting a proposal, the prospective lower tier participant ( responder ) is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the successful responder knowingly rendered an erroneous certification, in addition to other remedies available to the federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The successful responder will provide immediate written notice to the person to whom this proposal is submitted if at any time the successful responder learns that its certification was erroneous when submitted or had become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverages sections of rules implementing Executive Order You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. Responders agree by submitting a proposal that, should the proposed covered transaction be entered into, it will not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 Code

12 of Federal Regulations (CFR) part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. Responders further agrees by submitting a proposal that it will include this clause titled Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs. 8. Nothing contained in the foregoing will be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under #5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the federal government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions 1. Responders certify, by submission of a proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. 2. Where responders are unable to certify to any of the statements in this certification, such prospective participant will attach an explanation to their proposal. Insurance Requirements A responder s proposal must clearly note any exceptions desired to insurance requirements, or the responder will be deemed to have accepted such requirements and waived any request for exception. 1. Insurance Certificates and Continuity of Coverage Required. The successful responder must provide a certificate of insurance showing that they have each type of insurance coverage and limits required herein. The certificate must be filed with MnDOT s Authorized Representative within 30 days of execution of the contract, and prior to commencing work under the contract. The successful responder must maintain such insurance in full force and effect throughout the term of the contract. 2. Required Insurance. The successful responder will be required to maintain the furnish satisfactory evidence of the following insurance policies: a. Workers Compensation Insurance: Except as provided below, the successful responder will be required to provide Workers Compensation insurance for all its employees and, in case any work is subcontracted, will require its subcontractor(s) to provide Workers Compensation insurance in accordance with the statutory requirements of the state of Minnesota, including Coverage B, Employer s Liability. Insurance minimum limits are as follows: - $100, Bodily Injury by Disease per employee - $500, Bodily Injury by Disease aggregate - $100, Bodily Injury by Accident If Minnesota Statutes exempts the successful responder from Workers Compensation insurance requirements, or if such responder has no employees in the state of Minnesota, the successful responder will be required to provide a written statement, signed by an authorized representative, indicating the qualifying exemption that excludes the successful responder from the Minnesota Workers Compensation requirements. If, during the course of the contract, the successful responder becomes subject to the Workers Compensation Insurance requirements, the successful responder then must comply with such requirements and must provide MnDOT with a Certificate of Insurance evidencing such coverage

13 b. Commercial General Liability Insurance: The successful responder will be required to maintain insurance protecting the successful responder from claims for damages for bodily injury, including sickness or disease, death and for care and loss of services as well as from claims for property damage, including loss of use which may arise from operations under the contract whether the operations are by the successful responder or by a subcontractor or by anyone directly or indirectly employed by the successful responder pursuant to the contract. Insurance minimum limits are as follows: - $2,000, per occurrence - $2,000, annual aggregate - $2,000, annual aggregate Products/Completed Operations The following coverages must be included: - Premises and Operations Bodily Injury and Property Damage - Personal and Advertising Injury - Blanket Contractual Liability - Products and Completed Operations Liability - State of Minnesota named as an Additional Insured, to the extent permitted by law c. Commercial Automobile Liability Insurance: The successful responder will be required to maintain insurance protecting the successful responder from claims for damages for bodily injury as well as from claims for property damage resulting from the ownership, operation, maintenance or use of all owned, hired, and non-owned autos which may arise from operations under the contract, and in case any work is subcontracted the successful responder must require the subcontractor to provide Commercial Automobile Liability insurance. Insurance minimum limits are as follows: - $2,000, per occurrence Combined Single limit for Bodily Injury and Property Damage In addition, the following coverages must be included: - Owned, Hired and Non-owned Automobile d. Professional/Technical, Errors and Omissions, and/or Miscellaneous Liability Insurance. The successful responder will be required provide coverage for all claims the successful responder may become legally obligated to pay resulting from any actual or alleged negligent act, error or omission related to the successful responders professional services performed under the contract. Unless otherwise specified within this RFP, the successful responder will be required to carry the following minimum limits: - $2,000, per claim - $2,000, annual aggregate Any deductible will be the sole responsibility of the successful responder and may not exceed $50, with the written approval of MnDOT. If the successful responder desires authority from MnDOT have a deductible in a higher amount, the successful responder will be required to make such request in writing, specifying the amount of the desired deductible and providing financial documentation, acceptable to MnDOT, so that MnDOT can ascertain the ability of the successful responder to cover the deductible from its own resources. MnDOT will treat such financial statements as non-public data to the extent permitted by the Minnesota Government Data Practices Act. The retroactive or prior acts date of coverage must not be after the effective date of the contract and the successful responder must maintain such coverage for a period of at least three years following the completion of work. If such insurance is discontinued, then extended reporting period coverage must be obtained by the successful responder to fulfill this requirement. e. Additional Insurance Conditions: - The successful responder s policy(ies) will be primary insurance to any other valid and collectible insurance available to MnDOT with respect to any claim arising out of the successful responder performance under this contract; - If the successful responder receives a cancellation notice from an insurance carrier affording coverage herein, the successful responder agrees to notify the state of Minnesota within five business days with a copy of the cancellation notice, unless the successful responder s policy(ies) contain a provision that coverage afforded under

14 the policy(ies) will not be cancelled without at least 30 days advance written notice to the state of Minnesota. - The successful responder is responsible for payment of contract related insurance premiums and deductibles; - If the successful responder is self-insured, a Certificate of Self-Insurance must be provided to MnDOT; - The successful responder s policy(ies) must include legal defense fees in addition to its liability policy limits, with the exception of part d above; - The successful responder must obtain insurance policies from insurance companies having an AM BEST rating of A minus, a Financial Size Category VII, or better, and authorized to do business in the state of Minnesota. - An Umbrella or Excess Liability insurance policy may be used to supplement the successful responder s policy limits to satisfy the full policy limits required by the contract. 3. Right to Terminate. MnDOT reserves the right to immediately terminate the contract if the successful responder is not in compliance with the insurance requirements, and MnDOT retains all rights to pursue any legal remedies against the successful responder. All insurance policies must be open to inspection by MnDOT and copies of policies must be submitted to MnDOT s Contract Administrator upon written request. 4. Insurance Certificates. The successful responder will be required to submit Certificate(s) of Insurance, acceptable to MnDOT, as evidence of meeting the insurance requirements, prior to commencing work under the contract. E-Verify Certification (In accordance with Minnesota Statutes 16C.075) By submission of a proposal for services in excess of $50,000.00, responders certify that as of the date of services performed on behalf of MnDOT, they, and all of their proposed subcontractors, will have implemented, or be in the process of implementing, the federal E-Verify program for all newly hired employees in the United States who will perform work on behalf of MnDOT. In the event of contract award, the successful responder will be responsible for collecting all subcontractor certifications and may do so utilizing the E-Verify Subcontractor Certification Form available at All subcontractor certifications must be kept on file with the successful responder and made available to MnDOT upon request. Resident Vendor Form If a responder wishes to claim resident vendor status, it must complete the Resident Vendor form and submit it as part of their proposal. THE BALANCE OF THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK