REQUEST FOR PROPOSALS (RFP)PROCUREMENT TOOLKIT
Wisconsin Department of Transportation
January 2021

January 2021

Request for Proposals Procurement Toolkit

Wisconsin Department of Transportation

TABLE OF CONTENTS
Title
1.0

Scope

2.0

Purpose

3.0

Definitions

4.0

WisDOT Involvement

5.0

Principles

6.0

Procedures
6.1
Develop appropriate specifications
6.2
Maintain a Written History of Procurement
6.3
Develop an Independent Cost Estimate
6.4
Document the Procurement Plan and timelines
6.5
Establish Source Selection Plan, including evaluation factors and weights
6.6
Prepare the solicitation and contract administration plan
6.7
Identify an adequate number of sources to facilitate competition
6.8
Obtain WisDOT solicitation-release approval
6.9
Conduct and document pre-proposal conference, if approved for use
6.10 Issue appropriate solicitation amendments
6.11 Receive, evaluate, score, and safeguard offeror proposals
6.12 Conduct oral presentations/negotiations
6.13 Call for Best and Final Offers and re-evaluate offers
6.14 Conduct and document preliminary and final cost or price analysis
6.15 Determine offeror “responsibility” of apparent successful offeror
6.16 Request WisDOT and local approvals to award
6.17 Notify unsuccessful offerors
6.18 Protests before or after award
6.19 Document the file
APPENDICES
Appendix A Written History of Procurement
Appendix B Independent Cost Estimate
Appendix C Solicitation/Contract Timeline
Appendix D Sample Solicitation Cover Sheet
Appendix E Sample RFP Template
Appendix F Sole Source Justification
Appendix G Affidavit of Non-Collusion
Appendix H Source Selection Guide
Appendix I Single Bid Analysis
Appendix J Cost/Price Analysis
Appendix K Bidder’s List
Appendix L Contractor Responsibility Determination
Appendix M Federal Clauses
Appendix N Change Order Review Checklist
Appendix O Procurement History Checklist
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Wisconsin Department of Transportation

Scope. This toolkit:
a. Provides recipients of Federal Transit Administration (FTA) funding under grants
through the Wisconsin Department of Transportation (WisDOT) with specificpolicies and procedures when contracting using competitive Requests for Proposals(RFP), otherwise known as negotiated procurement.
b. Applies to all negotiated procurements funded, in whole or in part, by the FTA except
for the types of procurements identified below. For the exceptions listed below,
consult with WisDOT prior to initiating the procurement:
1. Shared Ride Taxi (SRT) services procurements that are governed by WisDOT’s
SRT Toolkit;
2. Qualifications-based procurements for Architectural Engineering (A&E) services
and other construction-related services subject to the Brooks Act (40 U.S.C. 1101
– 1104; see also 49 U.S.C. Section 5325(b)(1)); and3. Construction procurements when using sealed bids.
c. May be used for conducting competitive, negotiated procurements when:
1. The specification is of a type (e.g., performance, functional, or detailed) thatwould necessitate the need for oral presentations or for discussions with offerors
concerning their offers (price, schedule, specification, terms and conditions, etc.);
2. The award will be made on the basis of factors other than price and price-related
factors (i.e., price alone is not determinative, such as when technical or past
performance considerations play a dominant role in source selection andsupersede price); and3. Time permits the solicitation, submission, evaluation, and negotiation of offers.
d. Must be used in concert with the RFP Source Selection Guide and document formats
provided as appendices to this Procurement Toolkit.

2.0

Purpose. This toolkit provides subrecipients with procedures applicable to negotiatedprocurements in order to:a. Save time – Reduce administrative costs by promoting the use of common
procedures;b. Attain the best price – Promote “full and open” competition for all contract
requirements;
c. Facilitate approval – Promote efficiency and economy in purchasing; and3

Request for Proposals Procurement Toolkit

Wisconsin Department of Transportationd. Help ensure compliance with FTA Circular 4220.1 requirements (as amended)
applicable to third party contracts funded, in whole or in part, by the FTA.
3.0

Definitions. The terms used throughout this toolkit are defined as follows:“Authorized individual” means a person who has been granted authority, in accordancewith local procedures, to buy supplies and services using proper contracting procedures.
The authorized individual serves as the Chair in the source selection process.
“Best and Final Offer” (BAFO) means a firm’s final offer following the subrecipient’s
conclusion of negotiations with firms who had previously been determined to be in thecompetitive range. A call for “Best and Final Offers” is made in writing and provides
notice to the offerors that negotiations are concluded, that offerors have an opportunity tosubmit their best and final offers, establishes a common date and time for vendors to
submit written best and final offers, and advises offerors that the subrecipient will selectthe source whose best and final offer is most advantageous to the subrecipient, based only
on price and the other factors included in the solicitation.
“Brand Name” means the name of a product or service that is limited to the product orservice produced or controlled by one private entity or by a closed group of private
entities. Brand names may include trademarks, manufacturer names, or model names or
numbers that are associated with only one manufacturer.
“Catalog price” means a price included in a catalog, price list, schedule, or other form
that is regularly maintained by the manufacturer or vendor, is either published orotherwise available for inspection by customers, and states prices at which sales are
currently, or were last, made to a significant number of buyers constituting the generalpublic.
“Clarifications” means limited exchanges, between the subrecipient and offerors, that
may occur when award without discussions is contemplated. If the solicitation provides
for award without conducting discussions, offerors may be given the opportunity toclarify certain aspects of their proposals (e.g., the relevance of an offeror’s past
performance information and adverse past performance information to which the offeror
has not previously had an opportunity to respond) or to resolve minor or clerical errors.
“Commercial item” means any item, other than real property, that is of a type customarily
used by the general public and which has been sold, leased, or licensed to the generalpublic or which has been offered for sale, lease, or license to the general public. This
includes installation services, maintenance services, repair services, training services, andother services if such services are procured for the support of a commercial item and thepotential source provides similar services to the general public.
“Competitive range” means the range of proposals that the Source Selection Chair has
identified as the most highly rated, unless the range is further reduced for purposes of
efficiency (provided that the solicitation notifies offerors that the competitive range might
be limited for purposes of efficiency). The competitive range is determined on the basisof the ratings of each proposal against the solicitation’s evaluation factors. Significant
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weaknesses, deficiencies, and other aspects of proposals remaining in the competitive
range must be made known to and discussed with each offeror still being considered foraward. At the time that the competitive range is determined, all offerors who have been
eliminated from the competitive range must be provided with written notice that they
have been eliminated from further consideration for award.
“Cost analysis” is the element-by-element examination of the estimated or actual cost ofcontract performance to determine the probable cost to the vendor. The goal is to form
an opinion on whether the proposed costs are in line with what reasonably economicaland efficient performance should cost. Some of the cost elements examined for necessity
and reasonableness are materials costs, labor costs, equipment, overhead, and profit. The
end result of a cost analysis should always be a determination that the price is “fair andreasonable.”“Day,” unless otherwise specified, means calendar day.
“Discussions” are negotiations that occur after establishment of the competitive rangethat may, at the subrecipient’s discretion, result in the offeror being allowed to revise its
proposal.
“Evaluation criteria” means the factors that will be considered in evaluating offeror
responses to the solicitation’s stated requirements. These must be clearly identified anddescribe how the offerors’ responses will be evaluated“Fair and reasonable” is a pricing concept that can be described as the price that a
prudent businessperson would pay for an item or service under competitive market
conditions, given a reasonable knowledge of the marketplace. 1 A “fair and reasonable”
pricing determination must be made for every procurement that uses FTA funds.
“Filed” means, in reference to protests, the complete receipt of any document by asubrecipient before its close of business. Documents received after close of business are
considered filed as of the next day. Unless otherwise stated, the subrecipient’s close ofbusiness is presumed to be 4:30 p.m., local time.
“Formal solicitation” refers to two very different procurement methodologies--sealed bid
or negotiated proposal. In the first, competitive price quotes are obtained from suppliers
by sealed bids (Invitation for Bid (IFB)), with public notice given by advertising thesolicitation. Bids are publicly opened and recorded, evaluated strictly against the IFB
specifications, and awarded based on the lowest responsive price. In the second, sealed
proposals are obtained from suppliers (Request for Proposal (RFP)) to provide a solution
to a problem or desired outcome, with public notice given by advertising. Proposals areevaluated, negotiated, and awarded based on price as well as other weighted factors.
“Full and open competition” means that all responsible sources are permitted to compete.

1

FTA Circular 4220.1F clearly establishes the requirement for a recipient (or subrecipient) to determine a price tobe “fair and reasonable” before purchase orders are placed or contracts awarded.

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Wisconsin Department of Transportation“Geographic preference” refers to statutorily or administratively imposed in-State or local
geographical preferences applied to local contractors in the evaluation and award ofcontracts. Except when contracting for architectural engineering services, the FTA
prohibits the practice of such geographic preference.2“Independent cost estimate (ICE)” means an estimate of the anticipated cost or price to be
paid for an item, service, or project that is developed by an entity or entities not
associated with the item, service, or project to be procured. To be considered“independent,” the estimate cannot be developed by any potential source, supplier, or
provider of the item, service, or project. However, it is acceptable to have an“independent” third party develop the estimate for the purchasing activity as long as thatparty has no interest in bidding or offering on the procurement. For more complex
procurements, the ICE represents the documented result of a practical and unbiased
analysis, assessment, and quantification of all costs and risks associated with a particular
procurement. The ICE must be based upon the procurement’s technical specifications.
Irrespective of the procurement’s complexity, the ICE serves as an essential tool for
conducting the subsequent required cost or price analysis.
“Interested party” means, for the purpose of filing a protest, an actual or prospective
bidder or offeror whose direct economic interest would be affected by the award of acontract or by the failure to award a contract.
“In writing,” “writing,” or “written” means any worded or numbered expression that canbe read, reproduced, and later communicated, and includes electronically transmitted andstored information.
“Liquidated Damages” - FTA has determined that a recipient may use liquidated damages
if the recipient reasonably expects to suffer damages through delayed contract
completion, or if weight requirements are exceeded, and the extent or amount of suchdamages are uncertain and would be difficult or impossible to determine. The rate andmeasurement standards must be calculated to reasonably reflect the recipient’s costs
should the standards not be met, and must be specified in the solicitation and contract.
The procurement file should include a record of the calculation and rationale for theamount of damages established.
“Market research” means collecting and analyzing information about capabilities within
the market to satisfy agency needs.
"Negotiation" means contracting through the use of either competitive or other-thancompetitive proposals and discussions. Any contract awarded without using sealed
bidding procedures is a negotiated contract. Negotiation is a procedure that includes
receiving proposals from offerors, evaluating such proposals in accordance with thesolicitation’s stated evaluation factors, bargaining with offerors, and providing offerors
with an opportunity to revise offers before the award of a contract. Bargaining--in thesense of discussion, persuasion, alteration of initial assumptions and positions, and give-2

FTA C 4220.1F, VI, 2.a.(4) (g).

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and-take--may apply to price, schedule, technical requirements, type of contract, or otherterms of a proposed contract.
“Notice of Intent to Award” means the written or electronic notice that the subrecipient
publishes or publicly posts indicating that it has completed bid or offer evaluations andintends to award a contract or multiple contracts under a specific solicitation. The
Notice, as a minimum, must identify the:(1) Subrecipient making the award and contact person;(2) Applicable solicitation number and title;(3) Applicable contract number, term, and value; and(4) Intended contractor(s) and address.
“Offer” means a response to a solicitation that, if accepted, would bind the offeror toperform the resultant contract. Responses to Invitations for Bids (sealed bidding) are
offers called “bids” or “sealed bids”; responses to Requests for Proposals (negotiation)
are offers called “proposals.”“Offeror” means the firm or entity that is submitting an offer in response to a Request for
Proposals.
“Option” means a unilateral right in a contract by which, for a specified time, thesubrecipient may elect to purchase additional supplies or services called for by thecontract, or may elect to extend the term of the contract.
“Past performance” means an offeror’s or contractor’s performance on active andphysically completed contracts“Piggybacking” is the post award use of a contractual document/process that allows
someone who was not contemplated in the original procurement to purchase the same
supplies/equipment through that original document/process (“FTA Dear Colleague”letter,
October1, 1998).
“Price analysis” is the process of examining and evaluating a proposed price without
evaluating its separate cost elements and profit/fee. The end result of a price analysis
should always be a determination that the price is “fair and reasonable.”“Procurement” refers to a range of activities related to purchasing goods, services, andconstruction. It is a process that typically begins with the specification, proceeds throughsolicitation and award, and ends with receipt, acceptance, and payment.
“Procurement Plan” means the written document which describes the overall strategy forthe procurement and the efforts of all personnel responsible for coordinating andmanaging their activities in ensuring that the subrecipient’s procurement needs are met ina timely manner and at a reasonable cost.

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Wisconsin Department of Transportation“Proposal modification” is a change made to a proposal before the solicitation’s closing
date and time, or made in response to an amendment, or made to correct a mistake at any
time before award.
“Proposal revision” is a change to a proposal made after the solicitation closing date, atthe request of or as allowed by the authorized individual as the result of negotiations.
“Protest” means a written objection by an interested party to any of the following:(1) A solicitation or other request by a subrecipient for bids or offers for a contract forthe procurement of property or services.
(2) The cancellation of the solicitation or other request.
(3) An award or proposed award of the contract.
(4) A termination or cancellation of an award of the contract, if the written objection
contains an allegation that the termination or cancellation is based in whole or inpart on improprieties concerning the award of the contract.
“Qualified source” or “qualified supplier” means a supplier who has the abilities,
qualities, attributes, etc., necessary to perform the work required or furnish the items orservices solicited.
“Request for Proposals” means a written solicitation that will use negotiation proceduresas opposed to sealed bids.
“Responsible” refers to a set of tangible characteristics that would make an apparent low
quoter eligible for award.
“Salient characteristics” means those qualities of an item that are essential to ensure thatthe intended use of the item can be satisfactorily realized. The term is used in connection
with a “brand name or equal” purchase description.
“Solicitation” means any request to submit offers or quotations to the subrecipient.
Solicitations under sealed bid procedures are called “Invitations for Bids.” Solicitations
under negotiated procedures are called “Requests for Proposals.”“Source Selection” means the formal process of evaluating competitive proposals inaccordance with established source selection policies, procedures, and criteria toultimately enter to into a procurement contract. All solicitations shall identify all
requirements that offerors must fulfill and all other factors to be used in evaluating bids
or proposals.
“Source selection information” means any of the following information that is preparedfor use by the procuring activity for the purpose of evaluating a bid or proposal to enter
into a procurement contract, if that information has not been previously made available tothe public or disclosed publicly:

8Request for Proposals Procurement Toolkit

Wisconsin Department of Transportation(1) Bid prices submitted in response to an invitation for bids, or lists of those bid
prices before bid opening.
(2) Proposed costs or prices submitted in response to a solicitation, or lists of those
proposed costs or prices.
(3) Source selection plan.
(4) Technical evaluation plans.
(5) Technical evaluations of proposals.
(6) Cost or price evaluations of proposals.
(7) Competitive range determinations that identify proposals that have a reasonablechance of being selected for award of a contract.
(8) Rankings of bids, proposals, or competitors.
(9) Reports and evaluations of source selection panels, boards, or advisory councils.
(10) Other information marked as “Source Selection Information” that, if disclosed,
would jeopardize the integrity or successful completion of the procurement towhich the information relates.
“Source Selection Plan” means the written document which describes the formal process
for evaluating offers and selecting a potential contactor for award. The process begins
with the establishment of an evaluation plan for a proposed acquisition and it ends when
the Source Selection Chair selects or recommends a contractor to receive a contract
award and debriefs the offerors.
“Subrecipient” means a Wisconsin entity, such as a local government, Indian tribe, or
non-profit, that expends FTA grant funds received from WisDOT to carry out a program.
“VendorNet” means the Wisconsin statewide electronic purchasing information systemused by state agencies, the university system, technical colleges, and participating
municipal governments. WisDOT requires municipalities to advertise their solicitations
requirements for Request for Proposals on VendorNet.
4.0

WisDOT Involvement in the Sub-Recipient Procurement Process. As the designatedrecipient of FTA grant funds, WisDOT must ensure that sub-recipients are aware of andcomply with Federal procurement requirements delineated in FTA Circular C 4220.1 (asamended). In order to qualify for maximum reimbursement, all requirements for contract
services that will be made by subrecipients with FTA funds must follow appropriate
procurement procedures. As such, WisDOT encourages sub-recipients to:9Request for Proposals Procurement Toolkit

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a. Make the appropriate WisDOT Program Manager aware of its intent to solicit forservices before the procurement is initiated.
b. Work with the appropriate WisDOT Program Manager or authorized WisDOT
representative throughout the procurement process to ensure proper steps arefollowed.
c. Submit clear and complete documentation to WisDOT electronically (via email) to
help facilitate timely WisDOT review throughout the procurement process.
5.0

Principles. During the conduct of any procurement, authorized individuals must:a. Comply with all applicable local and WisDOT standards of conduct restricting thesolicitation or acceptance of gifts, gratuities, favors, or anything of monetary value
from contractors or potential contractors. This restriction also applies to any
individuals with technical evaluation responsibilities for the procurement and/or
assigned to a Source Selection Team.
b. Facilitate “full and open” competition by-1. Using appropriate specifications and avoiding unduly restrictive specifications;such as, specifying only a ‘brand name’ product instead of allowing ‘an equal’
product to be offered without listing its salient characteristics.
2. Not applying a geographic preference for local or in-State suppliers whenevaluating quotes for award (except when purchasing architectural engineering
services); 3
3. Soliciting at least three qualified, potential sources.
c. Develop an independent cost estimate before receiving proposals.
d. Appropriately safeguard proprietary and source selection information.
e. If purchasing a commodity, estimate the quantity as accurately as possible, you may
include an assignability clause in the original procurement so that others may be able
to piggyback off of your contract.
f. Prior to recommending or making any award-1. Conduct cost or price analysis, as appropriate;
2. Determine that bidders are “responsive” to the solicitation’s stated requirements;
3. Determine that the apparent successful offeror is “responsible;”3) Except for procurements for A&E services, this practice is prohibited (FTA C 4220.1F, VI, 2.a.(4) (g)).

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4. Document the basis for the award decision; and5.Obtain the appropriate local and WisDOT approvals.
6.0

Procedures. The procedures in this Toolkit and its Appendices reference multiple
Department of Administration (DOA) forms. Municipalities must ensure that they areusing the most current version of these forms that are available on the VendorNet Systemat:https://vendornet.wi.gov/
6.1

Develop appropriate specifications. Develop a solicitation specification that best
describes the product or service needs clearly and accurately and facilitates “fulland open” competition.4 Keep in mind that the solicitation’s stated evaluation
factors and subfactors must be tied to significant requirements of thespecification. Also, the factors and subfactors used in the Source Selection Plan
MUST mirror those stated in the solicitation.

6.2

Maintain a Written History of Procurementa. Complete the Written History of Procurement template (Appendix A) andunderstand and complete the documentation required to maintain a compliant
Procurement History File (Appendix O).

6.3

Develop an Independent Cost Estimate.
a. Each procurement must have an independent cost estimate (ICE) developed
before bids or proposals are received. The ICE will facilitate the ability toperform the cost or price analysis required for every procurement action. 5
Appendix B, Independent Cost Estimate, provides a format that can be used
for developing and documenting the required cost estimate.
b. If prepared with sufficient detail and reliability, the estimate alone may besufficient to determine whether the quoted price is “fair and reasonable.”c. Sources of independent cost estimates can also include:a. Past pricing from recent contracts, adjusted for levels of service or
inflation if appropriate (identifying the specific contracts);
Note:(a) For comparative pricing purposes, there is no requirement to limit
comparisons to FTA-compliant contracts. For example, if the same orsimilar item has been purchased by a municipal police or public works

4
5

FTA C 4220.1F, III, 3.a.(1)(a) and FTA C 4220.1F, VI, 2.a.
FTA Circular C 4220.1F, VI, 6.

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department, it is acceptable to use those prices as long as the sources
are properly identified and adjusted to reflect inflation, etc.
(b) “Recent,” as used in this context, means within the last year or two.
Prices older than 1-2 years may be stale and will need to be adjusted
by the appropriate Producer or Consumer Price Index to reflectcurrent market conditions.
2. Estimates developed by in-house engineering or technical personnel; and3. Estimates developed by independent third-party firms.
6.4

Document the Procurement Plan and timelines. For simple procurements,
subrecipients must develop a simple timeline of events identifying essential stages
in the solicitation development, solicitation, evaluation, and award stages,
including time associated with obtaining various local and WisDOT approvals.
For more complex procurements WisDOT may require the subrecipient todevelop a Procurement Plan and formal Timeline (a sample timeline is at
Appendix C, Solicitation/Contract timeline), which is why it is important to
consult with WisDOT early in the procurement process. Examples would include
when complex specifications are involved, when multiple awards may be made,when awards will be based upon fixed-price with economic price adjustment for
option periods, etc.
a. For complex procurements, develop a Procurement Plan and anticipatedtimelines, using form DOA-3720, Procurement Plan. Append the form withadditional supporting information/documents that accurately and completely
describe the procurement requirement, including the draft solicitation (seeAppendix E). Attach the Solicitation/Contract Timeline (Appendix C) to theProcurement Plan. The subrecipient’s authorized individual signs the form
DOA-3720.
b. The Procurement Plan should address or include:
1. The title of the procurement;
2. Method of procurement;
3. Contract term (including any option periods) and rationale for same;
4. Estimated annual costs (ICE);
5. Relevant historical contract data for similar previous procurements;
6. Method(s) for advertising the procurement to maximize “full and open”
competition;
7. Any special contract provisions (e.g., option periods, economic priceadjustment, etc.);
8. The solicitation evaluation criteria (factors) and attendant weights;
9. Source Selection Plan; and10. Proposed evaluation team members.

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Wisconsin Department of Transportationc. The timeline must take into consideration any local and/or WisDOT required
reviews and approvals such as the need for a Pre-Proposal conference ornegotiation sessions, which must be approved by WisDOT. The timeline
must also reflect any scheduled oral presentations if authorized by WisDOT.
6.5

Establish the Source Selection Plan, including evaluation factors and weights.
a. The Source Selection Plan must describe the particulars of the procurement,
including the cost estimate, and identify the evaluation team members. A
Source Selection Guide that provides detailed guidance for conducting source
selections is included at Appendix H. The Source Selection Plan
documentation must include:
1. The evaluation criteria, including price, in rank order and attendant
weights,
2. Policies and procedures governing the evaluation team’s proceedings,
3. A copy of the individual rating sheets to be used for each factor,
4. The summary rating sheet to be used for each offeror, and
5. The evaluation team member certifications (Form DOA-3780).
b. The solicitation language describing how proposals will be evaluated foraward must mirror the Source Selection Plan, including identifying theevaluation factors and their relative importance (rank order). However,weights assigned to each factor do not need to be disclosed in the solicitation.
c. At a minimum, Source Selection Plans shall:
1. State how all source selection information will be properly safeguarded
from unauthorized, intentional or unintentional release;
2. State that individual evaluators will evaluate individual proposals in strict
accordance with the solicitations stated evaluation criteria (factors) and thebasis for points assigned for each factor;
3. Identify evaluators by name, title, and organization (specific evaluator
duties are identified in Appendix H);
4. Identify the Source Selection Chair, whose specific responsibilities are
discussed in Appendix H.
5. Require evaluators to sign the unified agreement of final scoring andreturn all copies of proposals and source selection information to theSource Selection Chair for safekeeping with the Procurement History File.
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6. State that the Source Selection Chair will determine when to request
WisDOT approval for oral presentations or negotiations with the highest
ranked offeror or with offerors determined to be in the competitive range(generally no more than three of the highest-ranked offerors);
7. State that if oral presentations are held, that such presentations are timelimited for all offerors, structured, and documented. Further, that noofferor will be provided an opportunity to submit a revised proposal unless
all offerors are provided the same opportunity to do so based upon asubsequent solicitation amendment that addresses issues which arose
during Oral Presentations and which would have an impact on all offerors.
Such amendment and a call for BAFO must be pre-approved by WisDOT.
8. State that if negotiations are held, that such negotiations will be held withall offerors in the competitive range and be structured and documented.
Further, that no offeror will be provided an opportunity to submit a revised
proposal unless all offerors in the competitive range are provided the same
opportunity to do so based upon a subsequent solicitation amendment that
addresses issues which arose during negotiations and which would have an
impact on all offerors in the competitive range (e.g., a change in
specification, delivery requirement, etc.). Such amendment and a call for
BAFO must be pre-approved by WisDOT.
9. Affirm that the Source Selection Chair is responsible for managing anddocumenting negotiations with the apparent highest scoring offeror (ifneeded), with all offerors in the competitive range, or with the sole offeror
in a single-offer (sole source) circumstance. Each of these instances and acall for BAFO must be pre-approved by WisDOT.
10. Affirm that after the Notice of Intent to Award is released, all queries frominterested parties concerning the procurement and source selection be
directed to the Source Selection Chair for appropriate handling.
6.6

Prepare the solicitation and develop contract administration plan.
a. The Request for Proposals includes all documents (whether attached orincorporated by reference) furnished to prospective offerors for the purpose ofsubmitting an offer. Do not use unnecessarily restrictive specifications or
requirements that might unduly limit the number of prospective offerors.
b. As a minimum, include provisions that clearly state or identify:
1. The time when and the place where proposals must be submitted;
2. If considered appropriate, that offers will be evaluated and may beconsidered for award without discussion with any offeror (in this case,“clarifications” are permitted);
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3. That an award will be made to the responsible offeror whose offer has
been determined to represent the “best value” to the subrecipient.
4. The offices and individuals assigned to oversee the contract, accept
delivery, and certify invoices for payment on behalf of the subrecipient.
5. Option years and the method used to calculate prices for option years, if
applicable.
6. When procuring services on a long-term basis (2 or more years) or througha contract with option periods, consider developing a comprehensive
contract administration plan which accurately and completely identifies
and describes the role and responsibilities of individuals assigned tooversee the contract for handling issues related to coordinating issues with
WisDOT, approving invoices for payment, making invoice payments,
tracking and recording contactor performance, contract closeout (final
payment), etc. The plan’s comprehensiveness depends upon thecomplexity of the procurement but in any event, in its simplest form, must
mirror any solicitation provisions that address these issues.
c. Appendix D provides a sample solicitation Cover Sheet that must accompany
the solicitation and Appendix E provides a sample RFP solicitation).
d. Section 1.3 of the sample RFP solicitation may be used to address any special
contract requirements applicable to contracts that are partially or wholly
funded with Federal grant monies.
1.

For example, this may include any special contract clauses and contractor
reporting requirements pertinent to the product, system, or services being
procured. Clearly identify the nature and frequency of the reporting
requirement (e.g., periodic progress or final performance reports,
subcontractor utilization reports, minority business utilization reports,etc.). Include the form as an attachment to the solicitation and identify
the requirement in the RFP, Section 8, also.

2.

In addition, while it is the contractor’s responsibility to be aware of thepertinent solicitation certifications and contract clauses, it is thesubrecipient’s responsibility to identify and include the proper Federal
clauses applicable for the procurement and to ensure compliance withsuch requirements prior to award and throughout the term of any resultant
contract. A list of the Federal clauses and certifications applicable to the
procurement must be included in Section 8, and reference made to thefull text of these clauses available at the National Rural Transit
Assistance Program (RTAP) website under “ProcurementPro.” Thewebsite address is:
http://www.nationalrtap.org/
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Identify an adequate number of sources to facilitate “full and open” competition.
a. Requests for Proposals must be publicized through distribution to prospective
offerors, posting in public places, and other means as may be appropriate. As
a minimum, the Wisconsin statewide electronic purchasing information
system (VendorNet) must be used to advertise the solicitation.
b. Provide a reasonable amount of time before the solicitation closing date toenable prospective offerors sufficient time to prepare and submit offers,
recognizing that setting unreasonable time limitations may impact the level ofcompetition and/or result in higher offer prices than anticipated. In someinstances, subrecipients may have already established minimum acceptabletimes for advertising procurements.
c. FTA recommends soliciting at least three firms to ensure that an adequatelevel of competition is attainable.

6.8

Obtain WisDOT solicitation-release approval. Allow a minimum of 10 calendar
days for the WisDOT Procurement Manager to review and approve the total
procurement package. This review, along with the recipient’s own review, will
help detect and correct discrepancies or ambiguities in the RFP that could limit
competition or otherwise delay contract award. The package must, as aminimum, include:a. The complete solicitation document;b. Any special provisions, including exercising options for multiple-year
contracts;
c. Bidders Mailing List (source list);
d. Source Selection Plan, including individual evaluator certifications;e. Any plans for a pre-proposal conference.

6.9

Conduct and document pre-proposal conference, if approved for use. In most
instances, a pre-proposal conference is not necessary. For more complex
procurements, the pre-proposal conference may provide an opportunity to discuss
the solicitation requirements, including explaining complicated specifications, andto address any questions from potential offerors. Such conference is held as earlyas possible after the RFP has been issued and before the solicitation closing date.
It must never be used as a substitute for amending a defective or ambiguous
specification or RFP.
a. Plans to hold a pre-proposal conference must be approved by WisDOT as partof the pre-solicitation approval process (see 6.8, above).

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b. Representatives hosting the pre-proposal conference must include individuals
who can address the specifics of the procurement including any historical datathat would help offerors consider whether to participate in the procurement.
c. Requiring potential offerors to attend pre-proposal conferences is prohibited.
However, offerors should be highly encouraged to attend.
d. Proceedings must be recorded and documented. All questions raised andanswers provided shall be addressed in a subsequent solicitation amendment
issued to the complete list of potential sources, whether or not such potential
offerors attended the pre-proposal conference.
6.10

Issue appropriate solicitation amendments.
a.

Any changes in solicitation requirements (e.g., special provisions,specifications, changes in quantity, delivery schedules, closing dates, or tocorrect a defective or ambiguous solicitation, etc.) that will impact all
potential offerors must be made by formal written amendment to thesolicitation. Obtain WisDOT approval before issuing the appropriate
solicitation amendment to firms on the source list.

b. All questions raised and answers provided during or as the result of a preproposal conference must be addressed promptly in a subsequent solicitation
amendment issued to the complete list of potential sources, whether or not
such potential offerors attended the pre-proposal conference. WisDOT must
approve all such amendments.
c. Any questions raised by potential offerors prior to the solicitation closing datethat have a potential impact on all offerors (e.g., questions that resulted in achange in the specification) must be addressed promptly in a solicitation
amendment issued to all offerors before the RFP closing date. WisDOT
approval is required for such an amendment and for any resultant extension of
the closing date.
d. If negotiations are held, any questions raised during negotiations withindividual offerors in the competitive range, which have a potential impact on
all offerors in the competitive range (e.g., questions that resulted in a change
in the specification, etc.), must be addressed in a solicitation amendment
issued to all offerors in the competitive range before a call for Best and Final
Offers (BAFO). WisDOT approval is required for such an amendment andfor the call for BAFO.
e. Before amending the RFP, consider the time remaining until the closing date
and the need to extend this period to permit prospective offerors to consider
the additional information in submitting or modifying their proposals. When
only a short time remains before the time set for closing, first notify offerors
on the source list of the time extension by e-mail or telephone. Confirm suchextension in the solicitation amendment.
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Wisconsin Department of Transportationf. Amendments shall be sent, before the time for closing, to everyone to whom
the RFP has been provided. If the RFP was posted electronically or in a
public place, such amendments must be similarly posted.
6.11

Receive, evaluate, score, and safeguard offeror proposals.
a. General.
1. Offers must be received at a set place, date, and time. Offers must berecorded as they are received but they must not be opened publicly (theprocurement is a negotiated procurement--not a sealed bid procurement).
2. Offers must be evaluated and scored in strict accordance with the Source
Selection Plan (see also Appendix H) to minimize the risk of a protest.
All source selection documentation must be retained with the Procurement
History File.
3. To protect the competitive process, all offers must be safeguarded frominadvertent or unintentional/intentional release to unauthorized personnel.
This means securing offers and source selection information anddocuments in a locked drawer, file cabinet, or room with controlled accessat all times until the award decision is announced.
b. Competitive Circumstances (More Than One Offer). Once the evaluationcommittee has completed its initial technical evaluation of offers and ranked
the offerors on all factors except price, the committee may recommend that
the Source Selection Chair:
1. Open and score the attendant pricing proposals to determine the apparent
successful offeror based upon the final evaluation scoring which includes
price; OR
2. With WisDOT approval to proceed, provide offerors with a list ofquestions or issues concerning their proposals which require explanation
or clarification and schedule the offerors for oral presentations to address
such issues concerning their proposals (but not to modify their proposals);
after such presentations, the Administrator would open and evaluate theattendant pricing proposals to determine the apparent successful offeror;OR
3. With WisDOT approval to proceed, negotiate any outstanding conditions,
exceptions, reservations, or understanding to any of the contractual
requirements, including any pricing issues, with a “short” list of the topranked (usually no more than three offerors). This “short” list would
necessarily be determined after the Source Selection Chair has opened
pricing proposals and made a clear point demarcation between offerors
who have made the “short” list and those who have not. Following
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negotiations, offerors would be required to submit a sealed “Best and Final
Offer (BAFO)” which would reflect any modifications made to their
proposals as a result of the negotiations. The evaluation committee would
conduct a final technical evaluation and the Source Selection Chair would
evaluate any revised pricing proposals, including option year pricing if
applicable, before making a determination of the apparent successful
offeror.
c. Non-Competitive (Single Offer) Circumstances. When only a single offer isreceived in response to a solicitation, the subrecipient is essentially in a solesource situation that requires certain procedures for determining “pricereasonableness,” including providing immediate notice to WisDOT that only
one offer was received. The offer still must be evaluated according toevaluation criteria noted in the solicitation. Procedures for handling of a single
offer are described in Section 6.12 c. If, after contacting vendors on theoriginal source list, the subrecipient discovers a fatal flaw in the solicitationthat restricted “full and open” competition, the subrecipient is required to
notify WisDOT, modify the solicitation, and re-solicit the procurement.
6.12

Conduct oral presentations and/or negotiations, if needed and approved by
WisDOTa. Oral presentations are an efficient way to obtain essential information from
Offerors regarding their proposals. Oral presentations are different fromnegotiations in that offerors are not permitted to modify their proposals as aresult of such presentations. Oral presentations must be pre-approved by
WisDOT.
b. Negotiations provide an opportunity for the subrecipient and offerors toaddress pricing and other issues that may require a modification of an
offeror’s proposal or a contract term or condition. Negotiations undercompetitive or non-competitive (single offer) circumstances must be preapproved by WisDOT with the subrecipient providing sufficient information
to WisDOT as to why negotiations must be held.
c. In a non-competitive (single offer) procurement, the subrecipient may proceed
directly into negotiations only after it has notified WisDOT of thecircumstances and taken the following steps:
1. Contacted firms on the original source list to determine why such firms
did not submit a proposal and documented such reasons. Complete
Appendix I;
2. Revised its original independent cost estimate to provide for an elementby-element break-down of all cost elements including profit or fee; and19

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3. Failing to determine a basis for “price reasonableness” based on using
price analysis techniques, requested and conducted a cost analysis of cost
data submitted by the single offeror.
d. The proceedings for both oral presentations and negotiations shall be formal
and structured, as well as documented (recorded) with each offeror provided
with a date and time for their scheduled presentation or negotiation session.
Oral presentations are time limited for each of the offerors and followed by a
Question and Answer session. Negotiations sessions are not time-limited.
e. The evaluation committee may limit the number of offeror representatives
present at either oral presentations or negotiations but attendees should
generally include the proposed project manager, other key personnel, andrepresentatives from any major subcontractor.
6.13 Call for Best and Final Offers and re-evaluate offers
a. Following negotiations, offerors shall be required to submit a sealed “Best and
Final Offer (BAFO)” which would reflect any modifications made to their
proposals as a result of the negotiations.
b. In considering any modifications to offeror proposals as a result of
negotiations, the evaluation committee shall conduct a final technicalevaluation using the same evaluation criteria, structure, and format as used forthe initial technical evaluation of offers prior to providing the result of their
final evaluation to the Source Selection Chair.
c. In conjunction with the final technical rankings provided by the evaluationcommittee, the Source Selection Chair shall evaluate and rank any revised
pricing proposals before making a determination of the apparent successful
offeror.
6.14

Conduct and document preliminary and final cost or price analysis. Cost or priceanalysis must be conducted as part of the initial evaluation of offers and again,
after Best and Final Offers have been received.
a. Federal policy is to contract for supplies and services at fair and reasonable
prices. FTA Circular 4220.1 (as amended) clearly establishes the requirement
for a recipient (or subrecipient) to determine a price to be “fair andreasonable” before purchase orders are placed or contracts awarded.
b. After determining the apparent successful offeror and before requesting
WisDOT approval for award, the subrecipient must determine “pricereasonableness” of the final offered price. When conducting price analysis todetermine price reasonableness, the end result of the price analysis should
always be a determination that the price is “fair and reasonable” (Appendix J
provides a sample format for documenting the price analysis and thedetermination of price reasonableness).
20

Request for Proposals Procurement Toolkit

Wisconsin Department of Transportationc. When conducting cost or price analysis, it is important to:
1. Develop and examine data from multiple sources which will help prove orsuggest that the proposed price is fair;
2. Determine when multiple data consistently indicate that a given pricerepresents a good value for the money.
3. Document the data sufficiently to convince a third-party reviewer that theconclusions are valid.
d. The Federal Acquisition Regulation (FAR) discusses several price analysis
techniques by which a proposed price for a particular procurement can be
determined to be “fair and reasonable.”6 These techniques can be used singlyor, if quoted prices vary significantly between offerors, used in combination
with each other to help explain any significant price variances. The
techniques are briefly described below:
1. Comparison of proposed prices received. Normally, adequate pricecompetition establishes price reasonableness. This is the most commonlyused technique, as the majority of procurement actions attract two or moreoffers that are competing independently for the award.
2. Comparison with previously proposed or awarded prices. This
comparison must be for recent awards for the same or similar items. In
addition, both the validity of the comparison and the reasonableness of theprevious price(s) must be established and documented in thedetermination.
(Note:(a) For comparative pricing purposes, there is no requirement to limit
comparisons to FTA-compliant contracts. For example, if the same orsimilar item has been purchased by a municipal police or public works
department, it is acceptable to use those prices as long as the sources
are properly identified and adjusted to reflect inflation, etc.)(b) “Recent,” as used in this context, means within the last year or two.
Prices older than 1-2 years may be stale and will need to be adjusted
by the appropriate Producer or Consumer Price Index to reflectcurrent market conditions.)

6

FAR 15.404-1(b)(2).

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3. Using parametric estimating methods or application of rough yardsticks.
For example, comparing the proposed price per square foot for a certain
type of building construction against an established commercial cost per
square foot.
4. Comparison with competitive published catalogs or price lists. These may
be hard-copy or Internet-based and include published market prices ofcommodities, similar indexes, and discount or rebate arrangements.
5. Comparison with independent cost estimates. See Section 6.3, above.
6. Comparison with prices obtained through market research for the same orsimilar items. This includes prices for standard commercial items sold in
substantial quantities on the open market to the general public. For
example, trade journals, newspapers, and economic indexes can provide
useful comparative information.
7. Analysis of pricing information provided by the offeror. This “catch-all”
category includes information that does not fall into the other categories
and may include verifiable sales information for like or similar items soldto the supplier’s other customers.
e. A cost analysis must be performed on all change orders. Documentation must
include the review and justification of the contractor’s proposed change and any
associated profit negotiations. Appendix J provides a template for the cost analysis.

6.15

Determine offeror “responsibility” and “responsiveness” of apparent successful
offeror. The subrecipient must make a written determination that the apparent
successful offeror is “responsible” before requesting WisDOT approval to makethe award.
a. Typical supplier “responsibility” and “responsive” characteristics include:
1. Having a satisfactory record of integrity and business ethics;
2. Not being debarred or suspended from doing business with theGovernment;
3. Being in compliance with affirmative action rules and Disadvantaged
Business Enterprise requirements;
4. Having, or having the ability to, obtain the necessary organization,
experience, accounting, and operational controls, and technical skills toperform the work;
5. Being in compliance with applicable licensing and tax laws andregulations;22Request for Proposals Procurement Toolkit

Wisconsin Department of Transportation

6. Having, or having the ability to obtain, sufficient financial resources toperform;
7. Having, or having the ability to obtain, the necessary production,
construction, and technical equipment and facilities to perform;
8. Being able to meet the required delivery or performance schedule; and9. Having a satisfactory record of past or current performance.
b. Data to help determine whether a potential supplier is responsible is available
from multiple sources including in-house experts familiar with the supplier,external agencies or customers, financial records, and the System for AwardManagement (SAM) which has information on federally debarred orsuspended firms. The SAM can be accessed at:https://www.sam.gov/SAM/
In addition, the State of Wisconsin, Department of Workforce Development,
maintains a “Consolidated List of Debarred Contractors” at:http://wisconsindot.gov/hcciDocs/debar.pdf
c. A responsive supplier is one that conforms to all requirements andspecifications of the solicitation.
6.16

Request WisDOT and local approvals to award. WisDOT must approve all
federally-funded procurements before the subrecipient awards the contract. As
such, WisDOT encourages subrecipients to work collaboratively with WisDOT toensure that subrecipients are in full compliance with this toolkit and are able toshow documented evidence to support the recommendation and decision to makethe contract award.

6.17

Notify unsuccessful offerors. Subrecipients shall notify unsuccessful offerors inwriting within one working day of receiving approval to proceed with the contract
award and shall provide unsuccessful offerors the opportunity to request adebriefing. The Source Selection Chair shall be responsible for scheduling andconducting the debrief. Any debriefing should be structured and recorded in theevent that a protest is subsequently filed. If a protest is filed, the subrecipient shallcomply with any local or WisDOT procedures to “stay” the award, address the
merits of the protest, and make a determination concerning the protest.

6.18

Protests before or after award. Subrecipients must consider all protests andconsult in a timely manner with WisDOT, irrespective of whether protests are
submitted before or after contract award. A protester must exhaust alladministrative remedies with the subrecipient before pursuing a protest with
WisDOT or FTA.
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Request for Proposals Procurement Toolkit

Wisconsin Department of Transportationa. Protests based on alleged apparent improprieties in a solicitation or violationof administrative code must be filed with the subrecipient before bid opening or
the closing date for receipt of proposals. In all other cases, protests must be filed
no later than 10 days after the intent to award a contract notification.
b. In order to facilitate review by the subrecipient and by WisDOT, protests must
be concise and logically presented. Failure to substantially comply with anyof the requirements of paragraph (c) of this section may be grounds for
dismissal of the protest.
c. Protests must include the following information:
1. The protestor’s name, address, and email and telephone numbers.
2. Solicitation or contract number.
3. Detailed statement of the legal and factual grounds for the protest,
identifying the specific Wisconsin Administrative Code Provisions that are
alleged to have been violated.
4. Copies of relevant documents.
5. Request for a ruling by the subrecipient.
6. Statement as to the form of relief requested.
7. All information establishing that the protester is an interested party for the
purpose of filing a protest.
8. All information establishing the timeliness of the protest.
d. After receiving a protest, the subrecipient must:
1. If, before contract award, not make contract award, pending resolution of
the protest. However, award may be made if such action is justified, in writing,for urgent and compelling reasons or it is determined, in writing, to be in thesubrecipient’s best interest to do so. In these instances, in addition to any local
approval requirements, WisDOT must approve the justification or determination
prior to any action to award the contract.
2. If, withholding contract award pending agency resolution of the protest,
inform the bidders or offerors whose bids/offers might become eligible foraward of the contract. If appropriate, the bidders/offerors should be requested,
before expiration of the time for acceptance of their bids/offers, to extend the time
for acceptance to avoid the need for re-soliciting the procurement. If
bidders/offerors fail to grant such time extensions, the subrecipient may consider
proceeding with award pursuant to paragraph (d)(1) of this section but only withthe appropriate local and WisDOT approvals to do so.
3. If, the protest is received within 10 days after contract award, immediately
suspend contract performance. However, contract performance may continue,
pending resolution of the protest, if continued performance is justified, in writing,for urgent and compelling reasons or it is determined, in writing, to be in the best24Request for Proposals Procurement Toolkit

Wisconsin Department of Transportationinterest of the subrecipient. In addition to any local approval requirements,
WisDOT must approve such justification or determination.
e. Subrecipient’s must make their best efforts to resolve protests filed with thesubrecipient within 30 days after the protest is filed. Unless otherwise prohibited bylaw, the parties may exchange relevant information. To help facilitate timely
WisDOT action, subrecipient protest decisions must be well reasoned, factually
accurate and complete, and fully explain the subrecipient’s position. The final protest
decision must be provided to the protester using a method that provides evidence ofreceipt.
6.19

Document the file. At a minimum, the Procurement History file must contain oraddress the items or elements listed below (see also Appendix O). All elements a.
through k. must be evidenced in the file before seeking appropriate approvals toaward the contract.
a. As applicable, a funded Purchase Request with an appropriate description orStatement of Work;b. An independent cost estimate and any supporting documents such as historicalcontract or operating data;c. The Procurement Plan and timeline;
d. A sole source justification explaining the single-offer circumstances, if
necessary;e. A copy of the final solicitation (as amended) and any supporting documents
such as pre-proposal conference notes and Questions and Answers;
f. The solicitation mailing or source list, annotated with the date the RFP and
any amendments were distributed and the solicitation closing date;g. All source selection-related documents (see Section 3.0, Definitions)
including but not limited to: the Source Selection Plan, individual evaluators’certifications, individual evaluators’ initial and final scoring sheets, initial andfinal evaluation summary sheets (including price), oral presentation
documentation, negotiation memoranda (if applicable), basis for the award,etc.
h. A copy of all proposals received including offeror acknowledgment of any
solicitation amendments and “Best and Final Offers,” if applicable;i.

Price or cost analysis (as appropriate) including any supporting documents
and a written determination that the price offered by the apparent successful
offeror is “fair and reasonable;”25

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A written determination that the proposed contractor is “responsible” and“responsive;”k. A copy of the proposed contract that is consistent with the solicitation,
including the applicable federal clauses;l.

Any additional supporting documents;

m. Evidence of any required approvals (e.g., local and WisDOT); andn. After approval, the Original and signed Contract/Agreement.
o. After award, any subsequent contract amendments/modifications including
but not limited to those exercising available option periods.

26