REQUESTFORPROPOSALS
PerformanceAuditServices
CIRMRFP16/17CIRM417
June30,2017
TheCaliforniaInstituteforRegenerativeMedicineinvitesinterestedbidderstoreviewandrespondtothisRequestforProposals(RFP),entitledRFP16/17CIRM417FiscalYear2016-17PerformanceAuditServicesfortheCaliforniaInstituteforRegenerativeMedicine(CIRM).TheRFPseeksPerformanceAuditingservicesforthethirdtriennialperformanceauditofCIRM’sfunctions,operations,managementsystems,andpoliciesandproceduresforfiscalyear2016-2017.ProspectivebiddersinterestedinrespondingtothisRFPareencouragedtoemailthecontactpersonlistedbelowbyJuly14,2017,indicatingtheirinterestwiththefirm’sname,address,andemailaddresswherefuturenotificationscanbesent.SubmittingtheemailwillensurethatyourfirmreceivessupplementalorupdatedinformationthatmightbereleasedsubsequenttoCIRM’sformalissuanceoftheRFP.
Proposalsaredueby5:00p.m.onAugust4,2017.IntheopinionofCIRM,thisRFPiscompleteandwithoutneedofexplanation.However,ifprospectivebiddershavequestions,noticeanydiscrepanciesorinconsistencies,orneedanyclarifyinginformation,questionsmaybesubmittedtoCIRMnolaterthanthedatestatedinSectionC.1,KeyActionDates.PleasenotethatnoverbalinformationgivenwillbebindinguponCIRMunlesssuchinformationisissuedinwriting,asanofficialaddendum,orasanswerstobidders’writtenquestions.ThecontactpersonforthisRFPis:
CynthiaSchafferContractsManager
CaliforniaInstituteforRegenerativeMedicine(510)340-9165
TableofContents
A. PurposeandBackground...............................................................................................................................11. Purpose.................................................................................................................................................................................................12. Background.........................................................................................................................................................................................1a. OverviewofCIRM.....................................................................................................................................................................1b. Contracts.......................................................................................................................................................................................3c. GrantsApplication,Review,andApproval.....................................................................................................................4d. GrantsManagement.................................................................................................................................................................5e. Loans...............................................................................................................................................................................................6f. GrantsManagementSystem.................................................................................................................................................6g. IntellectualPropertyPolicies...............................................................................................................................................7h. PriorPerformanceAuditsandStudies............................................................Error!Bookmarknotdefined.
B. StatementofWork............................................................................................................................................71. ServicestobeProvided.................................................................................................................................................................72. Deliverables........................................................................................................................................................................................8a. AuditPlan.....................................................................................................................................................................................8b. DraftReport.................................................................................................................................................................................8c. DraftFinalReport.....................................................................................................................................................................8d. FinalReport.................................................................................................................................................................................9
3. PerformanceExpectations...........................................................................................................................................................94. DurationofContract....................................................................................................................................................................105. Budget................................................................................................................................................................................................10
C. ProcurementInformation...........................................................................................................................111. KeyActionDates............................................................................................................................................................................112. ExplanationofEvents..................................................................................................................................................................11a. IssueRFP....................................................................................................................................................................................11b. SubmitIntenttoBid..............................................................................................................................................................11c. SubmitWrittenQuestions..................................................................................................................................................12d. ResponsetoWrittenQuestions........................................................................................................................................12e. SubmissionofProposals.....................................................................................................................................................13f. InterviewsofFinalists..........................................................................................................................................................13g. FinalNegotiationsandContractAward.......................................................................................................................13
3. ConditionsoftheProcurement...............................................................................................................................................14a. CIRMRights..............................................................................................................................................................................14b. Bidders’Costs..........................................................................................................................................................................14c. ContractTermsandConditions.......................................................................................................................................15d. Follow-onWork......................................................................................................................................................................15e. CaliforniaPublicRecordsAct............................................................................................................................................15
D. BidderQualifications....................................................................................................................................16E. ProposalFormatandOrganization........................................................................................................171. NumberofCopies..........................................................................................................................................................................172. ProposalFormat............................................................................................................................................................................17a. LetterofTransmittal.............................................................................................................................................................17b. ExperienceandQualificationsoftheFirm..................................................................................................................17c. ExperienceandQualificationsofProposedPersonnel..........................................................................................18d. StatementofWorkApproach............................................................................................................................................20e. CostProposals.........................................................................................................................................................................20f. RequiredAttachments.........................................................................................................................................................20g. OtherContentsofProposal................................................................................................................................................20
F. ProposalEvaluation......................................................................................................................................20
AttachmentsAttachment1:FirmInformation.....................................................................................................................23Attachment2:ReferencesForm......................................................................................................................24Attachment3:CostDetail...................................................................................................................................27
AppendicesAppendix1:IndependentConsultantAgreement...................................................................................29Appendix2:LinkstoCIRMPoliciesandRegulations.............................................................................36
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A. PurposeandBackground
1. Purpose
TheCaliforniaInstituteforRegenerativeMedicine(CIRM)isrequestingproposalsfromqualifiedindependentpublicaccountingandconsultingfirmsforperformanceauditservices.Health&SafetyCodesection125290.30,subdivision(c)mandatesthatCIRMcommissionaperformanceauditeverythreeyearsbeginningwiththe2010-11fiscalyear.Theperformanceauditforthe2016-2017fiscalyearwillexaminethefunctions,operations,managementsystems,andpoliciesandproceduresofCIRMtoassesswhetheritisachievingeconomy,efficiency,andeffectivenessintheemploymentofavailableresources.Inaddition,theauditwillexaminewhetherCIRMiscomplyingwithpoliciesandproceduresestablishedbyitsgoverningboard.ThefocusoftheperformanceauditisonCIRM’sprocessforgrantsawardandadministration,ratherthanthescientificgoalsandperformanceoftheresearchfundedbythegrants.Thestatutespecificallyexcludesscientificperformancefromthescopeoftheaudit.Theperformanceauditshallincludeallofthefollowing:
• Policiesandproceduresfortheissuanceofcontractsandareviewofarepresentativesampleofcontracts;
• Policiesandproceduresfortheissuanceofgrantsandloansandareviewofarepresentativesampleofgrantsandloans;and
• PoliciesandproceduresrelatingtotheprotectionortreatmentofintellectualpropertyrightsassociatedwithresearchfundedorcommissionedbyCIRM.
2. Background
ThissectionprovidesahighlevelsummaryofCIRMfunctionsandoperationsandisintendedasbackgroundforprospectivebidderstoassistintheirdevelopmentofproposalstoprovideperformanceauditingservices.ThefollowinginformationshouldnotbeconstruedtobeanexhaustiveorcomprehensivedescriptionofCIRM’sprocessesandactivities.a. OverviewofCIRMCIRM’smissionistoacceleratestemcelltreatmentstopatientswithunmetmedicalneeds.TheCaliforniaInstituteforRegenerativeMedicine(CIRM)arosefromthevisionofCalifornia’speople:thatstemcelltreatmentscouldprovidenewoptionsandgreaterhopetopatientswithseriousunmetmedicalneeds.PatientadvocatesjoinedforceswithdoctorsandscientiststocreateavehicletofundstemcellresearchinCalifornia.OnNovember2,2004,59percentofthevotersinthisstateapprovedProposition71,
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whichamendedtheCaliforniaConstitutiontoestablishtherighttoconductstemcellresearchinCalifornia,authorized$3billiontofundstemcellresearch,andcreatedCIRM.Inauthorizingthesefunds,Californiansexpecttospeedthedevelopmentanddeliveryofstemcelltreatmentsandcurestopatients,includingmakingitaprioritytofundethicalresearchthatwasnotreceivingtimelyorsufficientfederalfunding.CIRM’sgoverningBoard,theIndependentCitizens’OversightCommittee(ICOC),continuallyworkstofurtherCIRM’smissionwhileprovidingfinancialresponsibilitytothepeopleofCalifornia.TheICOC,whichincludesrepresentativesfrompatientadvocacygroups,medicalresearch,andindustry,ischargedwithadoptingscientific,medical,ethical,andintellectualpropertypolicies;makingfinalfundingdecisionsongrantandloanawards;andprovidingoversightofCIRM.CIRMisfocusedonachievingitsmissionthroughthetimelyandefficientfundingofhigh-qualitystemcellprojectsandacceleratingdeliveryofresultingtreatmentsandcurestopatientsinneed.CIRMissingularlycommittedtothisgoal.ICOCmembersarepublicofficials,appointedonthebasisoftheirexperienceearnedinCalifornia’sleadingpublicuniversities,non-profitacademicandresearchinstitutions,patientadvocacygroupsandthebiotechnologyindustry.TheICOCmemberselectachairpersonandvicechairperson,whoservesix-yeartermsandmeetcertaincriteriaalsospecifiedinthecode.TheICOC’sfunctionsarespecifiedinHealthandSafetyCodesection125290.40andincludethefollowingdutiesrelevanttothisperformanceaudit:
• Developsannuallong-termstrategicresearchandfinancialplans;
• Makesfinaldecisionsonresearchstandardsandgrantawards;
• Ensurescompletionofanannualfinancialaudit;
• EstablishespoliciesregardingintellectualpropertyrightsarisingfromresearchfundedbyCIRM;
• EstablishesrulesandguidelinesfortheoperationoftheICOCanditsworkinggroups;and
• Adopts,amends,andrescindsrulesandregulationstocarryoutProposition71andtogoverntheproceduresoftheICOC.
ThreescientificandmedicalworkinggroupsadvisetheICOCbutdonothavefinaldecision-makingauthority.Theyprovideguidancerelatedtoethicalstandards,grantsreview,andfacilitiesasfollows:
• TheScientificandMedicalAccountabilityStandardsWorkingGroup(StandardsWorkingGroup),madeupofpatientadvocatemembersoftheICOC,ethicists,andclinicians,makesrecommendationsregardingmedicalandethicalstandardsforobtainingresearchmaterialsandfortheconductofclinicaltrials.
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• TheScientificandMedicalResearchFacilitiesWorkingGroup(FacilitiesWorkingGroup),madeupofpatientadvocatesfromtheICOCandrealestatespecialists,makesrecommendationsregardingfundingforbuildingsandcapitalequipmentincludingthesettingofmilestonesandtimetables.
• TheScientificandMedicalResearchFundingWorkingGroup(GrantsWorkingGroup),drawsfromover200stemcellscienceexpertsfromoutsideCaliforniaandfrompatientadvocatesontheICOC,reviewsapplicationsforfundingandmakesrecommendationsastowhichapplicationsshouldbefunded.
ThePresidentservesasCIRM’sPresidentandChiefExecutiveOfficer,andoverseestheCIRMteam.ThePresident'sprimaryresponsibilitiesaretorecruitthehighestscientificandmedicaltalentintheUnitedStatestoserveonworkinggroups;toserveCIRMonitsworkinggroups;todirecttheICOCteamandparticipateintheprocessofsupportingallworkinggrouprequirementstodeveloprecommendationsongrants,loans,facilities,andstandards,aswellastodirectandsupporttheICOCprocessofevaluatingandactingonthoserecommendations;theimplementationofalldecisionsontheseandgeneralmattersoftheICOC;tohire,direct,andmanagetheteam;todevelopthebudgetsandcostcontrolprograms;tomanagecompliancewithallrulesandregulationsoftheICOC,includingtheperformanceofallgrantawardrecipients;andtomanageandexecuteallintellectualpropertyagreementsandanyothercontractspertainingtoCIRMorresearchitfunds.CIRMhaspoliciesinplaceforitsinternaladministrativeprocedures,regulationsforitsgrantmakingactivities,andprocedurestobefollowedbyawardees.Allofthepolicies,procedures,andregulationswillbeprovidedtothesuccessfulbidderaftertheawardofthecontract.
b. Contracts
AlthoughCIRMisaStateagency,Proposition71allowedittoadoptprocurementpoliciesbasedonUniversityofCaliforniapolicies,whichdifferfromotherCaliforniaStateagencies.CIRM’sadoptedcontractingpolicies,whicharebaseduponUniversityofCaliforniaBusinessandFinanceBulletin34,canbefoundonCIRM’swebsite(seeAppendix2).Approximately120contractswillhavebeenissuedduringthe2016-17fiscalyearforservicesincludingindependentconsultants,hotelagreements,andsupportservices,suchaslegal,accounting,andinformationtechnology.Inaddition,CIRMpurchasesgoodsandservicespaidthroughCalCard,AMEX,Mastercardorwarrants.Themajorityofthesepurchasesarelessthan$1,000.TheannualCIRMfinancialauditcoversmostoftheaccountingfunction,includingformaltestingofaccountingtransactions.Thescopeoftheperformanceauditshould
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notduplicateformaltestingofaccountingtransactionscurrentlyperformedbythefinancialauditor.c. GrantsApplication,Review,andApprovalCIRM’sPortfolioDevelopmentandReviewOfficemanagestheapplication,reviewandapprovalprocess.TheprocessisguidedbyProposition71,theGrantsAdministrationPolicy,andtheGrantsWorkingGroupBylaws.CIRMoffersrecurringfundingopportunitiesthataredescribedunderaProgramAnnouncement(PA),andspecificoradhocopportunitiesunderaRequestforApplications(RFA).TheRFAorPAistheofficialdocumentthatspecifiestheobjectives,applicablerequirements,eligiblecosts,andthereviewcriteriathatwillbeusedtoevaluatethemeritsofapplicationssubmittedinresponsetothesolicitation.Priortoissuingasolicitation,theconceptforafundingopportunitymustfirstbeapprovedbyCIRM’sGoverningBoard,theICOC.ApplicationssubmittedtoCIRMinresponsetoasolicitationarescreenedforeligibilityandtheneligibleapplicationsareassignedtotheGrantsWorkingGroup(GWG)toevaluateandscoretheapplicationsbasedonscientificmerit.EachapplicationisreviewedindepthbytwoorthreereviewerswhocommentontheoverallscientificmeritoftheapplicationunderthespecificreviewcriteriadefinedintheRFAorPA.ReviewbytheGWGfollowstheproceduresdescribedintheGWGBylaws.ThetaskoftheGWGistoidentifythemostmeritoriousapplicationsandmakefundingrecommendationstotheGoverningBoard.TheApplicationReviewSubcommitteeoftheICOCconsiderstherecommendationsoftheGWGandconductsaprogrammaticassessmentoftheapplications.TheICOCsubcommitteemayaccept,reject,ormodifytheGWGrecommendationforanyapplication.TheICOCauthorizesfundingoftheapprovedapplications.Table1providesinformationontheapproximatenumberofapplicationssubmitted,reviewedandapprovedinaone-yearperiod.
Table1:AnnualApplicationActivityApplicationProcess
FundingOpportunityProgram
Discovery Translation Clinical Infrastructure EducationApplicationsSubmitted
246 85 48 4 14
ApplicationsReviewed
242 62 48 4 14
ApplicationsApproved
34 15 13 1 13
DuringboththeGWGandICOCreviewprocesses,GWGandICOCmembersmustensuretheyhavenoconflict-of-interest(COI)withanyparticularapplication.TheCIRMteam
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spendsconsiderabletimeidentifyingpotentialCOIissues.CIRMgeneratesalistfromtheGrantsManagementSystem(GMS)thatcapturesthenamesofallindividualsandorganizationsprovidedingrantapplicationsaskeypersonnelorsubcontracts.GWGmembers,ICOCmembers,andCIRMteammembersreviewthelistandreportanyconflictswiththerecordednames.TheGMSmatchestherecordednamestoassociatedapplications.Basedonreportedconflicts,theCIRMteamidentifiesrecusalsforGWGmembers,ICOCmembers,andCIRMteammembersforeachapplication.TheGMSalsoidentifiesallGWGandICOCmembersandtheiraffiliations,whichcanbecross-referencedtotheindividualsandcompanieslistedinthegrantapplications.TheCIRMteamchecksthecross-referencesandnotifiesGWGandICOCmemberswhentherearematches.Inaddition,ifanapplicationisdiscussedinaGWGreviewmeeting,anymemberwithapotentialCOImustleavetheroomduringdiscussions.DuringICOCreview,ICOCmembersmustabstainfromdiscussingandvotingonanyapplicationsforwhichtheyhaveaCOIandleavetheroomduringanyclosedsessiondiscussionofthoseapplications.d. GrantsManagementTheGrantsManagementOfficeisresponsibleforpre-awardreview,awardacceptance,monitoring,paymentandclose-outprocesses.Duringthepre-awardreviewphase,theteamcreatesanawardrecordfortheapprovedapplications.Foreachaward,thereisanassignedCIRMGrantsManagementOfficer(GMO)andaScienceOfficer(SO).TheGMOandSOconductaPre-FundingAdministrativeReview(PFAR)priortofundinganapprovedapplication.BoththeGMOandSOutilizeaPFARchecklistthatdetailswhattheymustreview.DuringPFAR,theteamverifieseligibilityinformationinthegrantapplication(i.e.,confirmthattheprincipalinvestigatorpossessestheacademicdegreesstatedintheapplication),ensuresthatanyapprovalsneededtostarttheprojectareinplaceasrequiredbyCIRM’smedicalandethicalstandards,developsmilestonesandadisbursementschedule,andchecksforanyotheritemsneededtoconfirmtheprojectisreadytolaunch.IftheICOCapprovesanapplicationsubjecttoconditionsormodifications,theGMOandSOconsultwiththeapplicantonhowtoimplementthosechanges.PFARisconcludedwhenboththeGMOandSOhavesubmittedtheirchecklists.DuringtheAwardAcceptancePhase,theCIRMteampreparestheNoticeofAward(NOA),whichincludesanyspecialtermsand/oranybudgetadjustmentsnotedonthechecklists.Ifneeded,theCIRMLegalteamalsoreviewstheNOA.Followingthisreview,aCIRMscientificexecutivereviewsandsignstheNOAanditismailedtotheawardeetosignandreturn.UponfullexecutionoftheNOA,theCIRMteampreparesapaymemothatissignedoffbytheGMOandFinanceOfficethensenttotheCaliforniaDepartmentofGeneralServicestoprocessthepayment.TheStateController’sOffice(SCO)thenissuesawarrantandreleasesfundstotheAwardee.DuringtheMonitoringPhase,theAwardeeprovidesvariousprogressandfinancialreportsafterthegranthasbeenawarded.Thereportscontaindifferentinformationdependingonwhethertheawardfundedtraining,research,orfacilities.CIRM’sGrantAdministrationPolicies(seeAppendix2)andtheRFAdocumentlistthereporting
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requirements.Thegrantmanagementactivitiesforfiscalyear2016-17arelistedinTable2.
Table2:GrantsManagementEstimatesforFiscalYear2016-17
GrantsManagementProcessEstimateforFY2016-17
#ofPre-FundingAdministrativeReviews 60#ofNewAwards• Conferenceawards• Researchawards• ResearchTrainingorBridgestoResearchawards• Facilitiesawards
156030
#ofAwardPayments 400#ofAwardeeProgressReportsSubmitted 375#ofAwardeeFinancialReportsSubmitted 375#ofAwardsClosed-Out 85
e. LoansSomeCIRM-sponsoredresearchprojectsarefundedthroughloansratherthangrants.Loansarelimitedtolargerprojects(atleast$3million)undertakenbyfor-profitapplicants.TheLoansAdministrationPolicycanbefoundonCIRM’swebsite(seeAppendix2).Mosttermsandprocessesforloansarethesameasthoseforgrants.ThekeydifferenceisthataloanrecipienthasaconditionalobligationtorepayCIRMfunding,butisnotsubjecttotherevenue-sharingprovisionsoftheIntellectualPropertyregulations.Duringtheauditperiod,noloanrepaymentsweredueormade.f. GrantsManagementSystemCIRMmaintainsacustomweb-basedGrantsManagementSystem(GMS)tosupportapplicationsubmission,review,approval,andpost-awardprocesses.
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g. IntellectualPropertyPoliciesProposition71authorizedtheICOCtodevelopintellectualproperty(IP)policiestoobtainafinancialreturntotheStateonthebondfundingwhileassuringthatessentialmedicalresearchwouldnotbeunreasonablyhindered.TheadequacyoftheIPpoliciesisoutsidethescopeofthisperformanceaudit.UnderthecurrentIPpolicies(seeAppendix2),CIRMdoesnotownanyinventions.However,awardeemustnotifyCIRMaboutanyCIRM-fundedinventionsandsharetheresultingrevenue.Within60calendardaysafteraCIRM-fundedinventionhasbeenreportedbytheprincipalinvestigatortotheawardeeinstitution’sIP/TechnologyTransferOffice,theawardeemustsubmitanInventionDisclosureForm,whichidentifiestheaward,theinventor(s),andtheprincipalinvestigator.TheawardeemustundertakereasonableeffortstobringtheirinventionstopracticaluseandtosharerevenuewiththeStateofCaliforniabasedonformulasspecifiedintheIPpolicies.Inaddition,iftheawardeedevelopsdrugsortherapeutictreatmentsresultinginwholeorinpartfromCIRM-fundedresearch,theawardeemustensureaccesstoeligibleCaliforniansandpriceprotectionsforsalestoStateagenciesandtheCaliforniaDiscountPrescriptionDrugProgram.AwardeesmaypublishtheirCIRM-fundedfindinginscientificjournals,orpublishanabstractinconnectionwithascientificmeeting,informationaboutaCIRM-fundedinvention,oraCIRM-fundedtechnology.Intheeventofapublication,theawardeemustsubmitaPublicationDisclosureFormtoCIRM.AwardeesalsomustsubmitanInventionUtilizationReporttoCIRM,whichincludesanypatents,executionoflicenseagreements,materialtransferagreementsorcollaborativeagreements,annuallyandfor15yearsaftertheprojectperiodoftheaward.TheelementsoftheInventionUtilizationReportaredefinedintheIPpolicies.
B. StatementofWork
1. ServicestobeProvided
TheselectedbidderwillconductaperformanceauditofCIRM’sfunctions,operations,managementsystems,andpoliciesandproceduresforthe2016-17fiscalyear.TheperformanceauditobjectivesandauditscopearedefinedinHealth&SafetyCodesection125290.30,subdivision(c).Theperformanceauditwillassess:1)whetherCIRMisachievingeconomy,efficiency,andeffectivenessintheemploymentofavailableresources;and2)whetherCIRMiscomplyingwithICOCpoliciesandprocedures.Thestatuteexcludesareviewofscientificperformancefromthescopeofthisaudit.
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Theperformanceauditmustbeconductedinaccordancewithgenerallyacceptedgovernmentauditingstandards(GAGAS)asdefinedbytheGeneralAccountingOffice’s(GAO)GovernmentalAuditingStandards(GAOYellowBook).
2. Deliverables
a. AuditPlanTheauditorwilldevelopaperformanceauditplanbasedonacomprehensiveriskassessmentmodel,developedbytheauditor,whichidentifiesinpriorityorderthefunctionsoroperationalareastoaudit(i.e.,CIRMfunctionsandoperationalareas,inorderofpriority,thatcouldbeexaminedwithintheavailableauditbudgetinadditiontothestatutorily-definedexaminationofcontracts,grantsandloans,andintellectualproperty).ThedetailedauditplanwilladheretoGAGASandtheGAO’sAuditingStandardsandprovidethemethodologytheauditorwillusetoaddresstheauditobjectives.Theauditplanwilldescribeboththenatureandextentofauditprocedurestobeusedforgatheringandanalyzingevidence,includingthespecificstepsandteststheauditorswillperform.Theauditorwilldesigntheauditmethodologytoobtainsufficient,appropriateevidencetoaddresstheauditobjectives,reduceauditrisktoanacceptablelevel,andprovidereasonableassurancethattheevidenceissufficientandappropriatetosupportthefindingsandconclusions.Theplanwillincludetheexpecteddatesforcompletingfieldworkforeachauditobjective.b. DraftReportTheauditorwillprovideawrittendraftperformanceauditreportthatcontainsobservations,conclusions,andactionablerecommendationsforCIRM.ThedraftauditreportmustbefullysupportedwithsufficientandappropriateevidenceasrequiredbytheGAO’sGovernmentAuditingStandards.Theauditormustcommunicateitsfindings,conclusions,andrecommendationsandprovideCIRMmanagementtheopportunitytoreviewandcomment,perGAGAS.
c. DraftFinalReportTheauditorwillprovideawrittendraftfinalperformanceauditreportthatcontainsobservations,conclusions,andactionablerecommendationsforCIRM.ThedraftfinalauditreportmustbefullysupportedwithsufficientandappropriateevidenceasrequiredbytheGAO’sGovernmentAuditingStandardsandcontainthefollowing:1)executivesummary;2)theobjectives,scope,andmethodologyoftheaudit;3)theauditresults,includingfindings,conclusions,andrecommendations,asappropriate;4)astatementabouttheauditors’compliancewithgenerallyacceptedgovernmentauditingstandards;5)asummaryoftheviewsofCIRMmanagement;and6)ifapplicable,thenatureofanyconfidentialorsensitiveinformationomitted.Inaddition,theauditorwillcreateapresentation(i.e.,PowerPoint)toconveytheresultsoftheauditandmakethepresentationtoCIRMmanagement.
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d. FinalReportTheauditorwillsubmitafinalauditreporttoCIRMmanagement,includinganexecutivesummaryandCIRMmanagement’sresponsetotherecommendations.Theauditorwillprovideaminimumoffivehardcopiesandoneelectroniccopy(onCD)ofthefinalreport.TheauditorshouldalsobepreparedtomakethepresentationtotheICOCGoverningBoardoradesignatedsubcommittee,andtheCitizensFinancialAccountabilityOversightCommittee(CFAOC)whichmaymeetanywhereinCalifornia.
3. PerformanceExpectations
CIRMhasthefollowingperformanceexpectationsoftheauditorinprovidingtheseservices.Theauditormust:
• ConductallactivitiesinaccordancewiththeagreeduponcontracttermsandwiththeGAO’sGovernmentalAuditingStandards.
• BesensitivetotheimpactthatrequestsforinformationordocumentationhaveontheCIRMteam’sabilitytocarryouttheirnormaldutiesandresponsibilities.
• Beon-siteinCIRM’sofficetoconductinterviews,collectevidence,conductentranceandexitconferences,orcarryoutanyotheractivitiesthatrequiredirectinteractionwithCIRMteamordirectexaminationofCIRMdocumentation.NoconfidentialdocumentationwillbeallowedtoleaveCIRM’spremises.Thebalanceoftheworkshouldbeconductedintheauditfirm’soffices.
• NotifyCIRMmanagementpriortothereleaseofthefinaldraftauditreporttothediscoveryofanysignificantissuesperGAGAS.InformCIRMmanagementifCIRMteamhasnotprovidedsufficientinformationoradequatedocumentationrequestedonaparticulartopic.Priortothereleaseofthefinaldraftreport,theauditorwillprovideCIRMmanagementanopportunitytoexplainitsperspectiveontheissueand/orprovidethenecessarydocumentationorinformation.
• Maintainthestrictestconfidentialityregardinganyissuesrelatingtotheaudit’ssubjectmatterpriortothepublicreleaseoftheauditfinalreport.ThosewithinCIRMmusthaveaclearbusinessneedtoknowandthoseoutsideCIRMmustbeauthorizedbylaworregulationtoreceivetheinformation.Theauditormaycontactotherjurisdictionsoragenciestoobtaininformationwherethecontactisreasonableornecessarytocompletetheaudit.
• Deliverallworkproductsinatimelymanner,withagoalofhavingthefinalreportcompletedbyMarch1,2018,withsubsequentpresentationtotheICOC.
• Communicateissues,findings,andrecommendationsclearlyandsuccinctly.CIRMvaluesthediscoveryofsignificantissuesandrecommendationsrelatedtotheauditobjectivesandscope.Thequalityoftheissuesraisedandrecommendationsmadeismoreimportantthanthequantity.
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4. DurationofContract
Thecontractfortheseserviceswillcoveraperiod,startinginmid-September2017andendingwithapresentationtotheICOCinMarch2018.ThestartingandendingdatesmaychangeifCIRMmakesanawardearlierthanexpectedorifCIRMcannotexecutetheagreementinatimelymannerduetounforeseendelays.CIRMreservestherighttoextendthetermoftheresultingagreementasnecessarytocompleteorcontinuetheservices.PresentationtotheCFAOCmayoccurafterMarch31,2018.
5. Budget
Costproposalsmustnotexceed$275,000.
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C. ProcurementInformationThissectionoftheRFPcontainstheanticipatedschedulefortheprocurementanddescribestheprocurementeventsaswellastheconditionsgoverningtheprocurement.
1. KeyActionDates
Action Time(ifapplicable)
Date
CIRMissuesRFP June30,2017
Bidderssubmitemailofintenttobid 3:00pm July14,2017
Bidderssubmitwrittenquestions 3:00pm July14,2017
CIRMrespondstowrittenquestions July21,2017
Bidderssubmitproposals 5:00pm August4,2017
CIRMevaluatesproposals* August7-11,2017
CIRMselectsfinalists(atitssolediscretion)* August21,2017
CIRMconductsinterviews(atitssolediscretion)*
TBD August29-30.
CIRMnotifiesapparentsuccessfulbidder* September5,2017.
Finalnegotiations,awardcontract September5–22,2017.
Successfulbiddercommenceswork September25,2017.
*ThesedatesaresubjecttochangeatCIRM’ssolediscretion.
2. ExplanationofEvents
a. IssueRFPThisRFPhasbeenissuedbytheCaliforniaInstituteforRegenerativeMedicine.CopiesofthisRFP,includingsupportingdocuments,maybeobtainedfromCIRM’swebsiteathttp://www.cirm.ca.gov/Jobs_RFPs.b. SubmitIntenttoBidAllprospectivebiddersareencouragedtoregistertheirIntenttoBidassoonaspossibleafterreleaseoftheRFPtoprovidegreaterassurancethattheywillreceivewrittenresponsestoquestionsorothernotificationsaboutthisRFP.RequestingtheRFPdoesnotconstitutesubmissionofintenttobid.However,thereisnopenaltyfornotsubmittinganIntenttoBid.AnyprospectivebiddermayposewrittenquestionsorsubmitaproposaleveniftheyhavenotsubmittedanIntenttoBid.
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TosubmitanIntenttoBid,prospectivebiddersshouldemailtheirfirm’sname,persontocontact,emailaddress,mailingaddress,physicaladdress,daytimetelephonenumber,andfaxnumbertoCynthiaSchafferatPerformanceAuditRFP@cirm.ca.gov.Inthesubjectlineoftheemail,statethefollowing:IntenttoBidonRFP16/17CIRM417:YourFirm’sName.c. SubmitWrittenQuestionsPotentialbiddersmaysubmitwrittenquestionsviaemailuntil3:00p.m.PDTonJuly14,2017asindicatedinSectionC.1,KeyActionDates.TheContractAdministratorwillnotrespondtoquestionssubmittedinanyothermannerorformat.QuestionsshouldbeemailedtoPerformanceAuditRFP@cirm.ca.gov.Inthesubjectlineoftheemail,statethefollowing:QuestionsforRFP16/17CIRM417:YourFirm’sName.Whensubmittingawrittenquestion,biddersshouldprovidethefollowinginformation:
• Bidder’sname,nameoffirmsubmittingtheinquiry,mailingaddress,emailaddress,areacodeandtelephonenumber,andfaxnumber;
• Adescriptionofthesubjectorissueinquestionordiscrepancyfound;
• RFPsection,pagenumberorotherinformationusefulinidentifyingthespecificproblemorissueinquestion;and
• Clarificationsought,ifany.Bidderssubmittinginquiriesbyemailareresponsibleforconfirmingthereceiptofallmaterialsbythequestiondeadline.CallCynthiaSchafferat(510)340-9165toconfirmemailreceipt.Additionalwrittenrequestsforclarificationofdistributedanswersand/oraddendumsmustbereceivedbytheContractAdministratornolaterthanthree(3)daysaftertheanswersand/oraddendumsarepostedathttp://www.cirm.ca.gov/Jobs_RFPs.d. ResponsetoWrittenQuestionsTheContractAdministratorwillemailwrittenresponsestoallprospectivebiddersthatsubmittedanIntenttoBid.Inaddition,theContractAdministratorwillpostwrittenresponsestowrittenquestionsandanyRFPamendmentsontheCIRMwebsiteathttp://www.cirm.ca.gov/Jobs_RFPs.TheCIRMreservestherighttopostaddendauntiltheRFPclosingdateandtime.
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e. SubmissionofProposalsProposalsmustbesubmittedinconformancewithSectionE,ProposalFormatandOrganization.Nooral,telephoneorfacsimileproposalswillbeaccepted.CIRMpersonnelwillnotmerge,collate,orassembleproposalmaterials.Abiddermaysubmitanamendedproposalbeforethedeadlineforreceiptofproposals.Suchamendedproposalsmustbecompletereplacementsforapreviouslysubmittedproposalandmustbeclearlyidentifiedassuchinthetransmittalletter.ProposalsmustbereceivednolaterthanthedeadlinespecifiedinSectionC.1,KeyActionDates,totheattentionoftheContractsAdministratoratthelocationlistedbelow:
CynthiaSchafferContractsManagerCaliforniaInstituteforRegenerativeMedicine1999HarrisonStreet,Suite1650Oakland,CA94612
f. InterviewsofFinalistsAtitssolediscretion,theCIRMmayrequirethehighestrankedfirmstomakeanoralpresentationtotheRFPEvaluationCommittee.Intheeventfinalistsareinterviewed,theoralpresentationswillbescheduledattheCIRM’soffice,locatedat1999HarrisonStreet,Suite1650,Oakland,CA.Theselectedfinalistswillhaveanopportunitytosummarizetheinformationprovidedintheirwrittenproposals,expandontheircapabilities,experience,proposedapproach,workplan,andrespondtoquestionsfromtheRFPEvaluationCommittee.Itisimportantthattheprimaryindividualsassignedtotheperformanceauditparticipateinthepresentationandinterview.g. FinalNegotiationsandContractAwardThefinalistthatprovidesthebestvaluetoCIRMwillbedeemedtheapparentsuccessfulbidder,subjecttoapprovalbytheCIRMPresident.CIRMmaydiscusswiththeapparentsuccessfulbidderanydeficienciesorotheraspectsofitsproposalsuchasprice,technicalapproach,andtermsthatcould,intheopinionofCIRM,bealteredorexplainedtoenhancemateriallytheapparentsuccessfulbidder’sproposal.ThescopeandextentofdiscussionsareamattersolelywithinCIRM’sjudgment.IfCIRMandtheapparentsuccessfulbiddercannotcometoagreementonthesealterations,CIRM,atitssolediscretion,mayelecttoholddiscussionswiththenextrankedbidder.Uponcontractaward,theperformanceauditorshallbeginserviceimmediately.
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3. ConditionsoftheProcurement
a. CIRMRightsTheCIRMreservestherighttodothefollowingatanytime:
1) Rejectanyorallproposal(s),withoutindicatinganyreasonfortherejection;2) Waiveorcorrectanyminororinadvertentdefect,irregularityortechnical
errorinaproposalortheRFPprocess,oraspartofanysubsequentcontractnegotiation;
3) Requestthatbidderssupplementormodifyallorcertainaspectsoftheirproposalsorotherdocumentsormaterialssubmitted;
4) TerminatetheRFPand,atitsoption,issueanewRFP,ordeclinetoreissuetheRFP;
5) ExtendadeadlinespecifiedinthisRFP,includingdeadlinesforacceptingproposals;
6) Negotiatewithanyornoneofthebidders;7) Modifyinthefinalagreementanytermsand/orconditionsdescribedinthis
RFP;8) Terminatefailednegotiationswithabidderwithoutliability,andnegotiate
withotherbidders;9) Disqualifyanybidderonthebasisofarealorapparentconflictofinterest,or
evidenceofcollusionthatisdisclosedbytheproposalorotherdataavailabletoCIRM;
10) Eliminate,rejectordisqualifyaproposalofanybidderwhoisnotaresponsiblebidderorfailstosubmitaresponsiveofferasdeterminedsolelybyCIRM;
11) Acceptalloraportionofabidder’sproposal;and12) Undertakeanyinvestigation,including,withoutlimitation,contactingthird
parties,forassessingthebackground,experience,qualificationandexpertiseofanyorallbidders.
b. Bidders’CostsBiddersareresponsibleforallcostsofdevelopingandsubmittingaproposalpackage,interviews,oranyotherbidder’scostsassociatedwiththissolicitation.SuchcostscannotbechargedtoCIRMorincludedinanycostelementofabidder’spriceoffering.
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c. ContractTermsandConditionsThebidderthatisawardedacontractasaresultofthisprocurementmustcomplywiththetermsandsubmitaPayeeDataRecord,Std.204,includinginsurancerequirements,inCIRM’sstandardIndependentConsultantAgreement(seeAppendix1).AllprospectivebiddersmustindicateintheProposalTransmittalLetterthattheyunderstandandwillcomplywiththetermsandconditionsintheIndependentConsultantAgreement.d. Follow-onWorkThebidderthatisawardedacontractasaresultofthisprocurementisprecludedfrombiddingonanysubsequentcontractorperforminganyfollow-onworkrelatedtothefindingsandconclusionspresentedinthefinalperformanceauditreport.e. CaliforniaPublicRecordsActUndertheCaliforniaPublicRecordsAct,therecordsofStateagenciesaregenerallyavailabletothepublicuponrequest.Aproposalthatabiddersubmitswillbeapublicdocument.Ifabidderisawardedacontractasaresultofthisprocurement,thecontractwillbeapublicdocument.ThePublicRecordsActallowsCIRMtowithholddocuments,orpartsofdocuments,thatrevealtradesecretsorinformationthatisconfidentialorproprietary,orinformationthatwouldinvadepersonalprivacy.Biddersshouldsubmittheirproposalsinaformthatdoesnotincludesuchinformation.Ifabidderwishestoincludenon-publicinformation,thebiddershouldplacethatinformationinaseparateenvelopelabeled“Confidential,”andincludeabriefexplanationofthereasontheinformationisnon-public.Ifabidderdoesnotprovideanadequatebasisforwithholdingtheinformation,CIRMisrequiredtomakeitavailabletothepublic.CIRMreservestherighttomakethefinaldeterminationwhethertowithholdorproduceadocumentorportionofadocumentinresponsetoaPublicRecordsActrequest.IfCIRMwithholdsinformationatthebidder’srequest,thebiddermayberequiredtolitigateanyclaimoftradesecretasserted.CIRMisnotpermittedtoprovidelegaladviceaboutthePublicRecordsActand/oritsexemptions.ThefollowingdocumentsprovideadditionalinformationaboutCIRM’sobligationsunderthePublicRecordsAct:
• CIRMPublicRecordsAccessGuidehttp://www.cirm.ca.gov/sites/default/files/files/about_cirm/guidelines.pdf
• SummaryoftheCaliforniaPublicRecordsActhttp://www.ag.ca.gov/publications/summary_public_records_act.pdf
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D. BidderQualificationsCIRMexpectstheauditortodemonstrateahighdegreeofexperience,trainingandproficiencyintheconductofperformanceaudits.Thebiddershouldhaveextensivebackgroundinbothperformanceauditingofgovernmentalagenciesandgrantsprograms.Performanceauditexperienceinthefederalgovernment,inCaliforniaandotherstates,orinnon-profitfundingorganizationsmaybeconsideredassatisfyingthisrequirement.Inaddition,CIRMexpectsthattheauditorwillcomplywithGAGASasdefinedintheGAO’sYellowBookandwillmaintainappropriateexpertiseatthefirm’sownexpense.Thebiddermustmeet,ataminimum,thefollowingrequirements:
• FirmmusthaveanofficeestablishedintheStateofCalifornia.
• FirmmustbelicensedtodobusinessintheStateofCalifornia.
• Firmmusthaveconductedwithinthelastten(10)years,atleastthree(3)performanceauditsormanagementreviewsofgovernmentalagencies,preferablyagenciesengagedingrantsadministration.Performanceauditexperienceinthefederalgovernment,inCalifornia,andotherstatesmaybeconsideredassatisfyingthisrequirement.Performanceauditexperiencewithnon-profitgrantfundingorganizationswouldalsobeconsideredvaluable.
• Firmmustprovidecopies(hard-copyorelectronic)ofatleasttwo(2)performanceauditreportsormanagementreviewsthatthefirmhasperformedwithinthepastten(10)yearsinaccordancewithGAOGovernmentAuditingStandards.Thefirmmusthavehadprimaryresponsibilityforperformingthemajorityoftheworkoneachaudit.
• Firmmustagreetoretainworkingpapersandotherperformanceauditworkproductsforseven(7)years.Inretainingtheserecords,thefirmshouldgiveappropriateconsiderationtothesensitivityoftheinformationcontainedinthedocumentstopreventtheunauthorizedreleaseofconfidentialinformation.
• FirmmusthavesufficientstafftoprovidetoCIRMtheperformanceauditingservicesanddeliverablesdescribedinSectionB,StatementofWork.
• Firmmustdemonstratethatinallmattersrelatingtotheperformanceauditwork,theauditorganizationandtheindividualauditorarefreebothinfactandappearancefrompersonal,externalandorganizationalimpairmentstoindependence.
• Firmmustnotbeapubliclytradedcorporation,orsubsidiarythereof,thatisincorporatedoffshore,butforthepublictradingofthecorporation’sstocktheprincipalmarketistheUnitedStates.
• Firmmustbeabletocomplywiththeterms,includingalloftheinsurancerequirements,inCIRM’sstandardIndependentConsultantAgreement(seeAppendix1)andacknowledgecompliancewiththesetermsintheProposalTransmittalLetter.
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E. ProposalFormatandOrganization
1. NumberofCopies
Biddersmustprovideone(1)original,one(1)electronic,andfour(4)identicalcopiesoftheirproposaltothelocationspecifiedinSectionC.2.e,ProcurementInformation–SubmissionofProposalsonorbeforetheclosingdateandtimeforreceiptofproposals.Theoriginalmustbestamped“Original”andcontainoriginalsignaturesonthenecessaryforms.Theremainingsetsmustbeidenticalcopiesoftheoriginal.
2. ProposalFormat
Allproposalsshouldbetypewrittenonstandard8½x11paper(largersizepaperispermissibleforcharts,spreadsheets,etc.)andplacedwithinabinderwithtabsdelineatingeachsection.Biddersshouldutilizebothsidesofthepaperwherepractical.a. LetterofTransmittalThebiddermustprovideaLetterofTransmittalthatcontainsthefollowingelements:
1. Asummaryofthefirm’spertinentexpertise,skills,clientbaseandservicesprovided.
2. Aprimarycontactfortheproposal,includingthename,address,telephonenumbersandemailaddress.
3. Statementthatifawardedthecontractastheprimarycontractor,thebidderwillacceptfullresponsibilityforsuccessfulperformanceoftheentirescopeofwork.
4. Statementthatthefirmacknowledgesandwillcomplywiththeterms,includingalloftheinsurancerequirements,inCIRM’sstandardIndependentConsultantAgreement(seeAppendix1).
b. ExperienceandQualificationsoftheFirmThissectionoftheproposalshoulddemonstratethebidder’squalifications,experienceandcapacitytoconductthisperformanceaudit.Biddersmustprovidereferencesandworksamplestosubstantiatethisexperience.Thissectionofthebidders’proposalsshouldincludethefollowingelements:
1) ProvideFirmInformationutilizingAttachment1.
2) Providethefollowinginformation:- Legalstatusofthefirm(soleproprietorship,partnership,corporation,etc.)
andtheyeartheentitywasorganizedtodobusinessastheentitynowexists.
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- Ifthefirm,anyprincipalsofthefirm,oranyproposedsubcontractorcontractedwithCIRMduringthepast48months,describetheworkand/orprovideotherinformationavailabletoidentifythecontract.
- IfanyemployeeofthefirmoremployeeofproposedsubcontractorswasanemployeeofCIRMduringthepast24monthsorisnowanemployeeofCIRM,identifytheindividualbyname,jobtitleorpositionheld,hiredate,andseparationdate(ifapplicable).
- Ifthebidder,includinganyproposedsubcontractors,hashadapublicsectorcontractterminatedfordefaultinthepastthree(3)years,describesuchincident.Terminationfordefaultisdefinedasnoticetostopperformanceduetothefirm’snonperformanceorpoorperformance.Bidderswillsubmitfulldetailsofthetermsfordefault,identifytheotherparty(includingthename,address,andphonenumber),andpresentthebidder’spositiononthematter.CIRMwillevaluatethefactsandmay,atitssolediscretion,rejecttheproposalonthegroundsofthepastexperience.Ifthebidderhasexperiencednosuchterminationfordefaultinthepastthree(3)years,soindicate.
3) Describethebidder’sorganization,includingmainbusinesslocation,officelocationfromwhichbidders’staffwillworkonthisperformanceaudit,namesofprincipals,numberofemployees,clientbase,areasofspecializationandexpertise,andanyotherinformationthatwillassisttheRFPEvaluationCommitteeinformulatinganopinionaboutthestabilityandstrengthofthefirmandcorporatestatus.
4) DescribehowthebiddermeetstheminimumqualificationsspecifiedinSectionB,BidderQualifications.
5) Describerecentandrelevantexperience(pastten(10)years)thatthebidderandallsubcontractorshaveinconductingperformanceauditsormanagementreviewsofgovernmentorganizations,programsoractivities,orotherauditexperiencethatwillassistintheperformanceofthisaudit.
6) UtilizingtheReferencesForm(Attachment2),provideaminimumofthree(3)referencesthatcanbecheckedbytheRFPEvaluationCommittee.
7) Provideone(1)copyeach(hard-copyorelectronic)ofatleasttwo(2)
performanceauditreportsormanagementreviewsandthatthefirmhasperformedwithinthepastten(10)yearsinaccordancewithGAOGovernmentAuditingStandards.Thefirmmusthavehadprimaryresponsibilityforperformingthemajorityoftheworkoneachaudit.
c. ExperienceandQualificationsofProposedPersonnelItisessentialthatassignedteammembersarecommittedforthedurationoftheauditandthatreportinglinesareclear.Thissectionofbidders’proposalsshouldincludethe
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followingelements:
1. Provideanorganizationalchartindicatinglinesofauthorityforallkeypersonnel,includingsubcontractors,whowillbeinvolvedintheperformanceaudit.Ontheorganizationalchart,biddersshouldclearlyidentifytheleadindividualassignedtoworkdirectlywithCIRMmanagementwhohastheauthoritytoresolveanyproblems,issues,orconcerns.
2. Provideadescriptionoftheproposedauditteamstructureandinternalqualitycontrolsystemtobeusedduringthecourseoftheproject,includinganysubcontractors.Thebiddershouldindicatewhowithinthefirm’sorganizationwillhaveprimeresponsibilityandfinalauthorityforallworkproducts.ThebiddermustdemonstrateitsteamstructuremeetstherequirementsofGAOYellowBookgeneralstandards3.69through3.71for“Competence”andstandard3.72for“TechnicalKnowledge.”Inaddition,thebiddermustdemonstratethatitsinternalqualitycontrolsystemmeetstherequirementsofgeneralstandards3.82pertainingto“QualityControlandAssurances”and3.83–3.85pertainingto“SystemofQualityControl.”
3. Provideappropriateleadership,managementskills,authority,andresourcestoguidethisproject.Theassignmentofaskilledprojectmanagerwillplayalargeroleinfulfillingtherequirement.Thebiddermustprovidearésuméfortheprojectmanagerandincludeinformationontheindividual’sspecificskillsrelatedtothisproject,education,experience,significantaccomplishmentsandresponsibilitiesassumedonothersimilarprojects.
4. Identifyresponsibilitiesandrolesofthekeystaff,includinganysubcontractors,whowillbeassignedtotheproject.IncludeanyanticipatedinvolvementofCIRMstaffanddescribetheirlevelofparticipation.
5. Demonstratethatallstaffproposedmeetthefollowing:
• PossesstheknowledgeofGAGASapplicabletothisauditandtheeducation,skillsandexperiencetoapplysuchknowledgetotheauditbeingperformed;
• PossessgeneralknowledgeofthetypeofenvironmentinwhichCIRMoperatesandthesubjectmatterunderreview;
• Possesstheskillstocommunicateclearlyandeffectivelybothorallyandinwriting;and
• Arefreebothinfactandappearancefrompersonal,externalandorganizationalimpairmentstoindependenceinallmattersrelatingtothisperformanceaudit.
6. Providerésumésforthenamedkeyteam,whichmustincludeinformationontheindividual’sspecificskillsrelatedtothisproject,education,experience,significantaccomplishments,andresponsibilitiesassumedonotherprojects,
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andanyotherpertinentinformation.Résumésforsubcontractorpersonnelwillclearlydisplaytheword“SUBCONTRACTOR”onthetopofthefirstpage.
d. StatementofWorkApproachThebidder’sproposalmustincludeadescriptionofthebidder’soverallapproachandahigh-levelworkplanforprovidingtheservicesanddeliverablesindicatedinSectionB,StatementofWork.Biddersarerequestedtonotsimplyrepeatthe“YellowBook”intheirproposal.PleaseelaborateuponhowyourfirmwouldapplytheGAGASand“YellowBook”frameworktoproducethemostrelevant,actionable,andvalue-addedperformanceauditreportforCIRM.e. CostProposalsProposersmustfullycompleteCostDetailTable(Attachment3)thatsummarizes:1)proposedcostperprojectteammember,and2)proposedcostperdeliverable.Thetotalprojectcostcannotexceed$275,000.Notethatthehourlyratesmustbefullyloadedtoincludeallprofessionalfees,supportservices,travel,andanyotherexpenses.f. RequiredAttachments
• FirmInformation(Attachment1)• ReferencesForm(Attachment2)• CostDetail(Attachment3)
g. OtherContentsofProposalBiddersmayincludeanyrelevantinformationandpertinentexhibitsintheproposal.Proposalsaretobepreparedinsuchawayastoprovideastraightforward,concisedelineationofcapabilitiestosatisfytherequirementsofthisRFP.Emphasisshouldbeonconformancetotheinstructionsandresponsivenesstotherequirementsdescribedherein,andoncompletenessandclarityofcontent.
F. ProposalEvaluationProposalsmustbecompleteinallrespectsandsubmittedbythedatesandtimesshowninSectionC.1,KeyActionDates.Aproposalmay,atthesolediscretionofCIRM,berejectedifitisconditional,incomplete,oritcontainsanyalterationsofformorotherirregularities.TheselectionofafirmtoperformtherequestedserviceswillbemadebyaCIRM-appointedRFPEvaluationCommitteethatwillevaluateproposalsinaccordancewiththeevaluationcriteriaspecifiedinTable3andestablisharanking.Aseriousdeficiencyinanyonecriterionmaybegroundsforrejection.CIRMshallhavetherighttoobtain,
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fromanyandallsources,informationconcerningabidder,whichisdeemedpertinenttothisRFP,andtoconsidersuchinformationintheevaluationofthebidder’sproposal.ProposalswillbeevaluatedandscoredaccordingtothecriteriaindicatedinTable3.TheselectionwillbemadebytheRFPEvaluationCommitteeonthebasisofthefollowingweightedfactors.Themaximumpointsavailableforeachcriterionarenoted.
Table3:EvaluationCriteria
Criteria MaximumPointsClarityandSuccinctnessofProposal 10ExperienceandQualificationsoftheFirm 40ExperienceandQualificationsofProposedStaff 50ApproachandMethodology 30WorkSamples 30Cost 40MaximumTotalPossiblePoints: 200
ThelistingofcostasanevaluationfactordoesnotrequireCIRMtoselectthefirmthatsubmitsthelowestprice.CIRMintendstoselecttheproposalwhichprovidesthebestvalue.AproposalmeetingtherequirementsoftheRFPwiththelowestpricemaynotbeselected if award to a higher priced proposal, in the judgment of theRFPEvaluationCommittee,maximizesgreateroverallbenefitstoCIRM.CIRMmayelecttopayahigherprice to select a proposal that overall is exceptional and reasonably priced. The RFPEvaluationCommitteewillassesseachcomponentinthebidder’scostdetailinrelationtotheservicesthebidderoffers.Abidderthatexceedstherequirementsbyprovidingmoreservices,higherqualityservices,ormoreexperiencedstaffforareasonablepricewillreceivethehighestconsideration.CIRMreservestherighttoselectthetoprankedfirmbasedsolelyonthescoringofthewrittenproposalsandtoenterdirectlyintonegotiationswithsaidfirm.However,atitssolediscretion,CIRMmaycontactthereferencesofthehighestrankedfirmsandrequirethehighestrankedfirmstomakeanoralpresentationtotheRFPEvaluationCommittee.Inthisevent,oralpresentationswillbescheduledatCIRM’soffice,locatedat1999HarrisonStreet,Oakland,CA.Selectedfinalistswillhaveanopportunitytosummarizetheinformationprovidedintheirwrittenproposals,expandontheircapabilities,experience,proposedapproachandworkplanandanswerquestionsfromtheRFPEvaluationCommittee.Itisimportantthattheprimaryindividualsservicingthecontractarepresentforthispresentation.Uponcompletionoftheoralpresentations,theRFPEvaluationCommitteewillreviewthematerialpresentedanddeterminearankingorderforthefirmsinterviewed.Negotiationswillbeconductedwiththehighestrankedfirmuntilacontractisawarded.Ifanagreementcannotbereachedoncontractterms,negotiationswillbeterminatedandthenexthighestrankedfirmwillbecontactedfornegotiations.
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ListofAttachments
Attachment1:FirmInformationAttachment2:ReferencesFormAttachment3:CostDetail
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Attachment1:FirmInformation Name of firm or individual proposed consultant Business or trade name, if different from above Business Form (check only one)
Corporation Partnership LLC Individual/Sole Proprietor
Other: Mailing Address City State Zip Website Firm Contact Name Email Telephone Fax Total dollar amount of consultant work that the firm has performed for CIRM in the last 12 months. The name and position of any CIRM employee who holds a position of director, officer, partner, trustee, manager or employee in the consultant organization, as well as the names of any near relatives who are employed by CIRM. Certification I hereby certify under penalty of perjury that I am authorized by the proposed consultant to submit this proposal on its behalf. I have reviewed all information provided in the accompanying proposal, and it is true and complete to the best of my knowledge. Signature Date Name Title
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Attachment2:ReferencesFormProposersmustprovidethefollowingclientinformationforatleastthree(3)priorperformanceauditsofsimilarsizeandscope.Providethename,title,telephonenumber,andemailofcontactpersonsthatCIRMmaycontacttoinquireaboutyourfirm’sperformance.Thereferencesshouldbeindividualswho:1)wereprojectleaders;2)canvalidateyourfirm’sroleandresponsibilities;and3)cancommentonthequalityofyourfirm’sperformance.
REFERENCECLIENT#1
ClientName
ClientAddress
ContactName
ContactTitle
ContactPhone#
ContactEmail
ProjectName
ProjectBegin/EndDates
ProjectDescription
ProjectBudget
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REFERENCECLIENT#2
ClientName
ClientAddress
ContactName
ContactTitle
ContactPhone#
ContactEmail
ProjectName
ProjectBegin/EndDates
ProjectDescription
ProjectBudget
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REFERENCECLIENT#3
ClientName
ClientAddress
ContactName
ContactTitle
ContactPhone#
ContactEmail
ProjectName
ProjectBegin/EndDates
ProjectDescription
ProjectBudget
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Attachment3:CostDetailProposersmustfullycompletethefollowingcosttablesthatsummarize:1)proposedcostperprojectstaffmember,and2)proposedcostperdeliverable.Thetotalprojectcostcannotexceed$275,000.Notethatthehourlyratesmustbefullyloadedtoincludeallprofessionalfees,supportservices,travel,andanyotherexpenses.
TableA–CostperStaffMember
StaffName ProjectRole (a)RateperHour
(b)TotalHours
(a)x(b)StaffTotalCost
TotalCost:
TableB–CostperDeliverable
Deliverable1–AuditPlan
StaffName ProjectRole (a)RateperHour
(b)TotalHours
(a)x(b)StaffTotalCost
TotalCostforDeliverable1: Deliverable2–DraftReport
StaffName ProjectRole (a)RateperHour
(b)TotalHours
(a)x(b)StaffTotalCost
TotalCostforDeliverable2: Deliverable3–DraftFinalReport
StaffName ProjectRole (a)RateperHour
(b)TotalHours
(a)x(b)StaffTotalCost
TotalCostforDeliverable3: Deliverable4–FinalReport
StaffName ProjectRole (a)RateperHour
(b)TotalHours
(a)x(b)StaffTotalCost
TotalCostforDeliverable4:
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ListofAppendicesAppendix1:IndependentConsultantAgreementAppendix2:LinkstoCIRMPoliciesandRegulations
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Appendix1:IndependentConsultantAgreement
AgreementNo.CIRM____
CALIFORNIAINSTITUTEFORREGENERATIVEMEDICINEINDEPENDENTCONSULTANTAGREEMENT
THISAGREEMENTtofurnishcertainconsultantservicesismadebyandbetweentheCaliforniaInstituteforRegenerativeMedicinehereinaftercalled(CIRM),and[Name](Consultant).
I. NATUREANDPLACE(S)OFSERVICE
A. TheConsultantshallfurnishtoCIRMthefollowingdescribedservicesincludingatimeschedulebywhichtheConsultantistoproduceorprovidespecifiedmaterialsorperformcertainconsultingservicesaswellasreportsontheprogressoftheservices:
i. SeeattachmentA.
B. IftheConsultantisanentityotherthananindividual,CIRMrequiresthatstaffbeassignedaccordingtoAttachmentAtoperformtheworksetforthherein.NoreassignmentofworktoindividualsotherthanthosedescribedinAttachmentAmaybemadewithoutthewrittenapprovalofCIRM.
C. Place(s)ofperformanceofsuchservicesshallbe:
Consultant’slocation: CIRM’slocation: [ ] 1999HarrisonStreet [ ] Oakland,CA94612
D. CIRMwillprovideworkingspace,equipment,furniture,utilities,andservices,asfollows:
II. TERMOFAGREEMENT
A. ThetermofthisAgreementshallbefrom_____________through_____________.
B. CIRMreservestherighttoterminatethisAgreementsubjectto30dayswrittennoticetotheConsultant.ConsultantmaysubmitawrittennoticetoterminatethisAgreementonlyifCIRMshouldsubstantiallyfailtoperformitsresponsibilitiesasprovidedherein.Inaddition,CIRMmayterminatethisAgreementimmediatelyforcause.Theterm“forcause”shallmeanthattheConsultantfailstomeettheterms,conditions,and/orresponsibilitiesofthisAgreement.Inthisinstance,theterminationshallbeeffectiveasofthedateindicatedonCIRM’snotificationtotheConsultant.
C. The term of this Agreement may be extended by the mutual, written consent of both parties.
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III. COMPENSATIONANDREIMBURSEMENTFOREXPENSES
A. CIRMshallpaytheConsultantforservicesperformedonthefollowingbasis:
1. ProfessionalFees:
2. OtherExpenses
MAXIMUMTOBEPAIDUNDERTHISAGREEMENT $__________________________
*ReimbursementfortravelandperdiemshallbeinaccordancewithestablishedCIRMratesandpolicies.
B. PaymentsshallbemadeupontheConsultant'ssubmissionofinvoicesindicatingthe
AgreementNumberandsettingforthchargesinaccordancewithratesdetailedinArticleIII-A.ConsultantmustsubmitacompletedPayeeDataRecord(StateStandardForm204)beforeCIRMwillissuepayment.EachinvoiceshallincludetheConsultant'staxpayeridentificationnumber(SocialSecurityoremployeridentificationnumber).Invoicesshallbesubmittednotmorefrequentlythanmonthlyinarrearsto:
CaliforniaInstituteforRegenerativeMedicineFinanceOfficer1999HarrisonStreetOakland,CA94612
Paymentwillbemadeinaccordancewith,andwithinthetimespecifiedin,GovernmentCodeChapter4.5,commencingwithSection927.
IV. REPORTING InperformingconsultingservicesunderthisAgreement,theConsultantshallbeaccountabletoCIRM
andshallprovideprogressreportstoCIRMuponCIRM’srequest.
V. NOTIFICATION
NoticesconcerningthisAgreementshallbeaddressedasfollows:
CIRM: TOCONSULTANT:CaliforniaInstituteforRegenerativeMedicineGeneralCounsel1999HarrisonStreetOakland,CA94612
VI. TAXES
The compensation stated in Article III includes all applicable taxes and will not be changed hereafter as the result of Consultant's failure to include any applicable tax or as the result of any change in the Consultant's tax liabilities. The Consultant acknowledges that compensation payable hereunder may be subject to withholding of state and federal income tax, including state income tax subject to withholding pursuant to California Revenue and Taxation Code Sections 18661-18677.
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VII. INDEPENDENTCONTRACTORSTATUS
A. Both parties agree that in the performance of this Agreement the Consultant shall not be an agent or employee of CIRM, shall not be covered by the State’s Worker’s Compensation Insurance or Unemployment Insurance, shall not be eligible to participate in State employee retirement programs, and shall not be entitled to any other CIRM employee benefits.
B. The Consultant shall be solely responsible for the conduct and control of the work to be performed by
the Consultant under this Agreement, except that the Consultant is accountable to CIRM for the results of such work. The Consultant's services for CIRM shall be performed in accordance with currently approved methods and ethical standards applicable to the Consultant's professional capacity.
C. California State Contract Code 10515 (a) states: No person, firm, or subsidiary thereof who has been
awarded a consulting services contract may submit a bid for, nor be awarded a contract on or after July 1, 2003, for the provision of services, procurement of goods or supplies, or any other related action that is required, suggested, or otherwise deemed appropriate in the end product of the consulting services contract.
VIII. ASSIGNMENTORSUBCONTRACTING
TheConsultantmaynotassignortransferthisAgreement,oranyinterestorclaim,orsubcontractanyportionofthework,withoutthepriorwrittenapprovalofCIRM.ThewithholdingorgrantingofsuchapprovalistotallydiscretionarywithCIRM.IfCIRMconsentstosuchassignmentortransfer,thetermsandconditionsofthisAgreementshallbebindinguponanyassigneeortransferee.
IX. PROPERTYRIGHTS,INCLUDINGPATENTSANDCOPYRIGHTS
Allwrittenandothertangiblematerial("Material")producedpursuanttothisAgreementbytheConsultantshallbeconsideredawork-made-for-hireundertheCopyrightAct.TotheextentsaidMaterialdoesnotqualifyasawork-made-for-hire,Consultantherebyassignsallright,title,andinterest,including,butnotlimitedto,copyrightandallcopyrightrightsintheMaterialtoCIRMandshallexecuteanyandalldocumentsnecessarytoeffectuatesuchassignment.IntheeventConsultantusesanyindividualwhoisnotafull-timeemployeeofConsultantorusesanyotherentitytoperformanyoftheworkrequiredbyConsultanthereunder,Consultantshallrequiresaidindividualorentitytosignanagreementbeforecommencingworkthatcontainsidenticalwordingtotheforegoingtwosentencesexceptthattheword"Consultant"shallbereplacedwiththeindividual'sorentity'sname.
X. CONSULTANT'SLIABILITYANDINSURANCEREQUIREMENTS
A. TheConsultantagreestodefendand,atCIRM'selection,indemnifyandholdharmlessCIRM,
itsofficers,agents,andemployeesfromandagainstanyandallclaims,losses,expenses(includingcostsandreasonableattorney'sfees),claimsforinjury,ordamagesthatarecausedbyorresultfromthenegligentorintentionalactsoromissionsorbreachofthisAgreementbytheConsultantoritsofficers,employees,oragents.Inaddition,Consultantagreestodefendand,atCIRM’selection,indemnify,andholdharmlessCIRM,itsofficers,agents,andemployeesfromandagainstanyandallclaims,losses,expenses(includingcostsandreasonableattorney'sfees),claimsforinjury,ordamagesaccruingorresultingtoanyandallcontractors,subcontractors,suppliers,oranyotherperson,firmorcorporationfurnishingservicesorsupplyinggoodsinconnectionwithConsultant'sperformanceofthisAgreement
B. TheConsultantshallfurnishaCertificateofInsuranceorstatementofself-insurance
(contractualliabilityincluded)showingminimumcoverageasfollows:
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1. GeneralLiability:ComprehensiveorCommercialForm(MinimumLimits)
(i)GeneralAggregate(BI,PD)* $2,000,000(ii)Products,CompletedOperations
Aggregate $2,000,000(iii)PersonalandAdvertisingInjury $1,000,000(iv)EachOccurrence $1,000,000
*(notapplicabletocomprehensiveform)
However,ifsuchinsuranceiswrittenonaclaims-madeformfollowingterminationofthisAgreement,coverageshallsurviveforaperiodnolessthanthreeyears.CoveragemustincludeaPrimaryandNon-ContributoryprovisionandaSeverabilityofInterestprovision.CoverageshallalsoprovideforaretroactivedateofplacementcoincidingwiththeeffectivedateofthisAgreement.
2. BusinessAutoLiability:(MinimumLimits)forOwned,Scheduled,Non-Owned,or
HiredAutomobileswithacombinedsinglelimitofnolessthan$1,000,000peroccurrence.[Alternative:BusinessAutoLiabilityiswaivedbecauseConsultantwillnotdriveinthecourseofperformingservicesforCIRM.]
3. Workers’Compensation:asrequiredunderCaliforniaStateLaw.
4. ProfessionalLiabilityInsurance:(MinimumLimits) (1)Eachoccurrence $2,000,000 (2)ProjectAggregate $2,000,000 Ifthisinsuranceiswrittenonaclaims-madeform,itshallcontinueforthreeyears
followingterminationofthisAgreement.TheinsuranceshallhavearetroactivedateofplacementpriortoorcoincidingwiththeeffectivedateofthisAgreement.TheinsurancemustincludeContractualLiabilityCoverageandDefenseandIndemnificationofCIRMbythecontractingparty.
5. Otherinsuranceinamountsasfromtimetotimemayreasonablyberequiredbythe
mutualconsentofCIRMandtheConsultantagainstsuchotherinsurablehazardsrelatingtoperformance.
6. Certificate(s)ofInsuranceshallnameCIRMasanadditionalinsuredunder1,2and
4above,obligatetheinsurertonotifyCIRMatleastthirty(30)dayspriortocancellationoforchangesinanyoftherequiredinsuranceandincludeaprovisionthatthecoveragewillbeprimaryandwillnotparticipatewithnorbeexcesstoanyvalidandcollectibleinsuranceprogramofself-insurancecarriedormaintainedbyCIRM.PremiumsonallinsurancepoliciesshallbepaiddirectlybytheConsultant.
XI. RECORDSABOUTINDIVIDUALS
A. TheConsultantacknowledgesthatthecreationandmaintenanceofrecordspertainingto
individualsissubjecttocertainrequirementssetforthbytheCaliforniaInformationPracticesAct(CivilCode1798,etseq.)andbyCIRMpolicy.Suchrequirementsincludeprovisionsgoverningthecollection,maintenance,accuracy,dissemination,anddisclosureofinformationaboutindividuals,includingtherightofaccessbythesubjectindividuals.
B. IftheConsultantcreatesconfidentialorpersonalrecordsaboutanindividual,asdefinedby
theInformationPracticesAct,includingnotesortaperecordings,theinformationshallbe
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collectedtothegreatestextentpracticabledirectlyfromtheindividualwhoisthesubjectoftheinformation.Whencollectingtheinformation,theConsultantshallinformtheindividualthattherecordisbeingmadeandofthepurposeoftherecord.
C. Recordscontainingconfidentialorpersonalinformationaboutindividualsaretheproperty
ofCIRMandsubjecttoCIRM’spoliciesandapplicablefederalandstatelaws.TheConsultantagreestodeliverallsuchrecords,includingoriginalsandallcopiesandsummaries,toCIRMuponterminationofthisAgreement.
D. TheConsultantshallnotuserecordingdevicesindiscussionswithCIRM’semployees
withoutnotifyingallpartiestothediscussionthatthediscussionisbeingrecorded.
XII. EXAMINATIONOFRECORDS
The Consultant agrees that CIRM and its authorized agents shall have the right to review and copy any records and supporting documentation pertaining to the performance of this Agreement including, but not limited to, all documents, records and work papers whether obtained or copied from CIRM or developed by the Consultant. Consultant agrees to maintain such records for a minimum of five (5) years after final payment, unless a longer period of records retention is stipulated. Consultant agrees to allow CIRM and its authorized agent’s access to such records during normal business hours. Further, Consultant agrees to include a similar right of access in any subcontract related to the performance of this Agreement.
In accordance with state law, the Consultant agrees that CIRM, its authorized agents, the State Controller’s Office, and the Bureau of State Audits (collectively, the “Auditors”) shall have the right, in connection with an audit, to review and copy any records and supporting documentation pertaining to the performance of this Agreement including, but not limited to, all documents, records and work papers whether obtained or copied from CIRM or developed by the Consultant. Consultant agrees to maintain such records for possible audit for a minimum of five (5) years after final payment, unless a longer period of records retention is stipulated. Consultant agrees to allow the Auditors access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, Consultant agrees to include a similar right of the Auditors to audit records and interview team in any subcontract related to the performance of this Agreement.
XIII. CONFLICTOFINTEREST
A. TheConsultantwillnothireanyofficeroremployeeofCIRMtoperformanyservicecoveredbythisAgreement.Iftheworkistobeperformedinconnectionwithafederalorstatecontractorgrant,theConsultantwillnothireanyemployeeofthegovernmentagencyconcernedtoperformanyservicecoveredbythisAgreement.
B. TheConsultantaffirmsthattothebestofhis/herknowledgethereexistsnoactualor
potentialconflictbetweentheConsultant'sfamily,businessorfinancialinterestandtheservicesprovidedunderthisAgreement,andintheeventofchangeineitherprivateinterestsorserviceunderthisAgreement,anyquestionregardingpossibleconflictofinterestwhichmayariseasaresultofsuchchangewillberaisedwithCIRM.
C. TheConsultantshallnotbeinareportingrelationshiptoaCIRMemployeewhoisanear
relative,norshallthenearrelativebeinadecision-makingpositionwithrespecttotheConsultant.
D. TheConsultantmayberequiredtoexecuteaForm700StatementofEconomicInterestsas
publishedbytheFairPoliticalPracticesCommission.StatementsofEconomicInterestsarepublicdocuments.MoreinformationaboutForm700isavailableatwww.fppc.ca.gov.
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XIV. AFFIRMATIVEACTIONThe Consultant recognizes that as a state government contractor or subcontractor, the Consultant is obligated to comply with all state laws and regulations regarding equal opportunity and affirmative action in government contracts. When applicable, the Consultant agrees that all such laws and their implementing regulations are incorporated herein as though set forth in full. These laws include the nondiscrimination requirements of Government Code sections 12990 and 11135, and the nondiscrimination program and clause required by Title 2, Division 4, Chapter 5 of the California Code of Regulations.
XV. CONFIDENTIALITYTheConsultantshallkeepconfidentialanyandallinformationprovidedbyCIRM,and/orbyaCIRMawardee,includingbyanyoftheiragentsorrepresentatives,andanyinformationconveyedorallytotheConsultantbyCIRMand/orbyaCIRMawardee,includinganyoftheiragentsorrepresentatives,withoralnotificationofitsconfidentiality(the“ConfidentialInformation”).TheConsultantagreestomaintainthesecrecyofCIRM’sConfidentialInformationandagreesnottouseitexceptinperformingtheServicesunderthisAgreementandnottodiscloseittoanyoneoutsideCIRMoranyonewithinCIRM’sorganizationwhodoesnothaveaneedtoknowittoperformunderthisAgreement.Thisnon-disclosureprovisionshallnotapplytoanyofthefollowing:
1. InformationwhichtheConsultantcandemonstratebywrittenrecordswasknowntohimorher
priortotheeffectivedateofthisAgreement;2. Iscurrentlyin,orinthefutureenters,thepublicdomainotherthanthroughabreachofthis
AgreementorthroughotheractsoromissionsoftheConsultant;or3. Isobtainedlawfullyfromathirdparty.
XVI. APPLICABLELAWThe laws of the State of California shall govern this Agreement.
XVII. TERMSTOBEEXCLUSIVEThis Agreement constitutes the entire understanding between the parties regarding the subject matter hereof and supersedes any prior understanding between the parties, oral or written, regarding the same subject matter.
XVIII. WAIVERORMODIFICATIONOFTERMSNo waiver, amendment or other modifications of the terms of this Agreement shall be binding upon either party unless expressed in writing and signed by both parties hereto.
XIX. STANDARDFORPERFORMANCE
The parties acknowledge that CIRM, in selecting the Consultant to perform the services hereunder, is relying upon the Consultant’s reputation for excellence in the performance of the services required hereunder. The Consultant shall perform the services in the manner of one who is a recognized specialist in the types of services to be performed. All deadlines set forth in the Agreement are binding and may be modified only by subsequent written agreement of the parties. The Consultant shall devote such time to performance of its, her, or his duties under this Agreement as is reasonably necessary for the satisfactory performance of such duties within the deadlines set forth herein. Nothing in the foregoing shall be construed to alter the requirement that time is of the essence in this Agreement.
XX. EXCLUSION.
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Independent Consultant warrants that it is not excluded from participation in any governmental sponsored program, including, without limitation, the Medicare, Medicaid, or Champus programs (http://exclusions.oig.hhs.gov/search.aspx) and the Federal Procurement and Nonprocurement Programs (http://www.epls.gov/epls/search.do). This Agreement shall be subject to immediate termination in the event that the Independent Consultant is excluded from participation in any federal healthcare or procurement program.
XXI RESOLUTIONOFDISPUTES
If the Consultant disputes any action by CIRM arising under or out of the performance of this contract, the Consultant shall notify CIRM of the dispute in writing and request a claims decision. CIRM shall issue a decision within 30 days of the Consultant’s notice. If the Consultant disagrees with CIRM’s claims decision, the Consultant shall submit a formal claim to the President of CIRM. The decision by the President of CIRM shall be final and conclusive on the claim unless the decision is arbitrary, capricious or grossly erroneous or if any determination of fact is unsupported by substantial evidence. The decision may encompass facts, interpretation of the contract and determinations or applications of law. The decision shall be in writing following an opportunity for the Consultant to present oral or documentary evidence and arguments in support of the claim. Consultant shall continue with the responsibilities under this Agreement during any dispute.
XXII SURVIVAL.
The following sections survive the expiration or early termination of this Agreement: IX, X, XI, XII, XV, XVI, XXI and XXII. INDEPENDENTCONSULTANT THECALIFORNIAINSTITUTEFOR
REGENERATIVEMEDICINE Signature Date Date Name____________________________________Title_____________________________________Company_________________________________Item6445-502-6047001/H&SCode125291.20/Statutes2004/FY16/17Account/Fundtobecharged
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Appendix2:LinkstoCIRMPoliciesandRegulations
ContractsPolicyhttp://www.cirm.ca.gov/sites/default/files/files/about_cirm/Contracting_Policy_Adopted_20100819.pdf
GrantsAdministrationPolicyhttp://www.cirm.ca.gov/our-funding/chapter-5-grants-administration-policiesLoanAdministrationPolicyhttp://www.cirm.ca.gov/our-funding/chapter-8-loan-administration-policyIntellectualPropertyRegulationsIntellectualPropertyRequirementsforNon-Profitorganizations,applicabletograntsmadebeforeDecember17,2009http://www.cirm.ca.gov/our-funding/chapter-3-intellectual-property-requirements-non-profit-organizations-applicable-grantsIntellectualPropertyandRevenueSharingRequirementsforFor-Profitorganizations,applicabletograntsmadebeforeDecember17,2009http://www.cirm.ca.gov/our-funding/chapter-4IntellectualPropertyandRevenueSharingRequirements,applicabletograntsmadebeforeJanuary27,2014:http://www.cirm.ca.gov/our-funding/chapter-6-intellectual-property-and-revenue-sharing-requirements-non-profit-and-profitIntellectualPropertyandRevenueSharingRequirements,effectiveJanuary27,2014:http://www.cirm.ca.gov/sites/default/files/files/funding_page/Reg100600_100611_27_January_2014.pdf