@Project
April 28, 2006
Page 1
Project Title: Inventory and Assessment of Performance-related Work at the AOC and the California Trial Courts
RFP Number: OCR-01-05
FROM: / Administrative Office of the Courts
Office of Court Research, Executive Office Programs Division
DATE: / May 1, 2006
SUBJECT/PURPOSE OF MEMO: / Request for proposals
The Office of Court Research in the Administrative Office of the Courts seeks the services of a consultant to create an inventory and conduct an assessment of performance-related work at the AOC and the Californiatrial courts
ACTION REQUIRED: / You are invited to review and respond to the attached Request for Proposals (“RFP”) , as posted at
Project Title: Inventory and Assessment of Performance-related Work at the AOC and the California Trial Courts
RFP Number:OCR-01-05
SOLICITATIONS MAILBOX: /
DUE DATE & TIME FOR SUBMITTAL OF QUESTIONS: / Deadline for submittal of questions pertaining to solicitation document is:
1:00 p.m. on May 10, 2006.
SUBMISSION OF PROPOSAL: / Proposals should be sent to:
Judicial Council of California
Administrative Office of the Courts
Attn: Nadine McFadden, RFP No. OCR-01-05
455 Golden Gate Avenue
San Francisco, CA 94102
DUE DATE & TIME FOR SUBMITTAL OF PROPOSALS: / Proposals must be received by: 1:00 p.m. on May 17, 2006.
1.0GENERAL INFORMATION
1.1Background
The Judicial Council of California, chaired by the Chief Justice of California, is the chief policy making agency of the California judicial system. The California Constitution directs the Council to improve the administration of justice by surveying judicial business, recommending improvements to the courts, and making recommendations annually to the Governor and the Legislature. The Council also adopts rules for court administration, practice, and procedure, and performs other functions prescribed by law. The Administrative Office of the Courts (AOC) is the staff agency for the Council and assists both the Council and its chair in performing their duties.
1.2Performance-related work at the AOC and the Californiatrial courts
The Office of Court Research (OCR), a unit in the Executive Office Programs division of the AOC, is currently working on several projects involving the development of performance standards and improving the performance/operations of the trial courts. These projects touch on many functional areas such as trial court budgeting, staffing standards, resource management, court operations, and data quality control. Other divisions within the AOC as well as the trial courts are also looking at issues of performance and there is a need for greater coordination among these efforts. This project will serve this need by providing an inventory and assessment of performance-related work at the AOC and the Californiatrial courts. The work defined in this RFP is part of a larger effort by OCR to contrast the court system with other public and private organizations in their usage of performance measurements as a tool for accountability, quality assurance, and organizational improvement.
2.0PURPOSE OF THIS RFP
2.1The AOC seeks the services of a consultant to create an inventory and conduct an assessment of performance-related work at the AOC and the trial courts. Theconsultant should have a general understanding of the legal system and trial court operationsas well as experience working with public sector agencies. The consultantshould also have a background or expertise in areas such as strategic planning, organizational development, process reengineering, performance-based budgeting, and performance measurement.
2.2The two critical components of this project are the inventory of performance-related projects and the comparative assessment of these projects conductedby the AOC and by the trial courts. The proposal needs to contain sufficient detail about the inventory system and assessment methodology to enable OCR staff to evaluate the approaches recommended in each proposal. However, the project planning phase is intended to allow for some reworking and flexibility in the proposed inventory system and assessment methodology.
3.0SCOPE OF SERVICES
3.1.Services are expected to be performed by the consultant between June 15, 2006 and September 30, 2007.
3.2.The consultant will be asked to conduct the following four phases of this project with each phase resulting in a project deliverable:
3.2.1Phase I: Project Planning Phase.
3.2.1.1Convene a kick-off meeting with OCR staff to discuss the project plan contained in the proposal and identify areas of the plan that need to be revised.
3.2.1.2Develop a systematic approach for organizing and cataloguing performance-related projects at the AOC and the Californiatrial courts. This would involve the methodology used to define and operationalize the types of performance-related projects in such a way as to facilitate coordination among these efforts and provide a reference for future work in this area.
3.2.1.3Create a system (e.g., database, report, manual) for the inventory of performance-related projects.
3.2.1.4Finalize the assessment methodology for performance-related projects at the AOC and the California trial courts. This assessment would involve comparing approaches, methodologies, and outcomes between AOC and trial court projects, and a strategic plan for coordinating performance-related work.
3.2.1.5DELIVERABLE: Submit the Inventory System and Assessment Approach for performance-related projects.
3.2.2Phase II: Inventory of AOC Work on Performance.
3.2.2.1Collect project reports and other documentation on performance-related work at the AOC. OCR staff will assist in coordinating with other units and divisions within the AOC to collect this information.
3.2.2.2Conduct a series of informal interviews with AOC staff involved with performance-related projects. This will allow for a greater understanding of these projects, which will inform the inventory and assessment process. Some of the AOC groups to target are
OCR, Center for Families, Children, and the Courts (CFCC), Finance Division, AOC Court Consulting Services unit, Grants Management unit, and the Executive Office.
3.2.2.3Conduct an exit interview with OCR staff that provides a summary of the information collected in 3.2.2.2, above. This discussion would also address any areas needed for follow-up work before completing the inventory of performance-related work at the AOC.
3.2.2.4DELIVERABLE: Develop and submit a draft inventory of AOC work on performance to OCR.
3.2.3Phase III: Inventory of Trial Court Work on Performance.
3.2.3.1Conduct a series of informal interviews with AOC staff involved with or knowledgeable of performance-related work in the trial courts. OCR staff will assist in identifying AOC staff but some of these groups to target will be AOC staff responsible for the Ralph N. Kleps Award, Grants Administration Program, Court Consulting Services, and the AOC Regional Administrative Directors (RAD). These interviews will enable the consultants to identify analysts, researchers, and managers in the trial courts to conduct follow-up interviews.
3.2.3.2Conduct interviews with analysts, researchers, and managers in the trial courts. This will allow for a greater understanding of these projects and any similarities or differences with the AOC projects, which will inform the inventory and assessment process.
3.2.3.3Conduct site visit to trial courts, as needed, to collect specific information on some of the approaches, methodologies, and outcomes of performance-related projects by the trial courts.
3.2.3.4Conduct an exit interview with OCR staff and the AOC Regional Administrative Directors that provides a summary of the information collected in the interviews and site visits, above. This discussion would also address any areas needed for follow-up work before completing the inventory of performance-related work by the trial courts.
3.2.3.5DELIVERABLE: Develop and submit a draft inventory of trial court work on performance to OCR.
3.2.4Phase IV: Final Inventory and Assessment of AOC and Trial Court work on performance.
3.2.4.1Complete the final, combined inventory of performance-related projects at the AOC and the California trial courts.
3.2.4.2Conduct a comparative assessment of these performance-related projects conducted by the AOC and by the trial courts. This assessment would include the following:
3.2.4.3Identify areas of overlap/commonality.
3.2.4.4Identify differences in approaches, methodologies, and outcomes between AOC and trial court performance-related projects.
3.2.4.5Conduct a gap analysis of any areas that are not being addressed by either the AOC or trial courts.
3.2.4.6Develop a strategic plan for coordinating performance-related work between the AOCand the trial courts as well as recommendations for addressing any gaps
3.2.4.7Present the combined inventory and preliminary assessmentresults at a meeting with OCR staff, the Executive Office, and the AOC Regional Administrative Directors (RAD).
3.2.4.8DELIVERABLE: Submit inventory and final assessment of AOC and Trial Court work on performance.
4.0RFP ATTACHMENTS
4.1Included as part of this RFP are the following attachments:
4.1.1 Attachment A, Administrative Rules Governing Request for Proposals.Proposersshall follow the rules, set forth in Attachment A, in preparation of their proposals.
4.1.2 Attachment B, Contract Terms. Contracts with successful firms will be signed by the parties on a State of California Standard Agreementform and will include terms appropriate for this project. Terms and conditions typical for the requested services are attached as Attachment B.
4.1.3 Attachment C, Vendor’s Acceptance of the RFP’s Contract Terms. Proposers must either indicate acceptance of Contract Terms, as set forth in Attachment B, or clearly identify exceptions to the Contract Terms, as set forth in Attachment B. If exceptions are identified, then proposers must also submit (i) a red-lined version of Attachment B, that clearly tracks proposed changes to this attachment, and (ii) written documentation to substantiate each such proposed change.
4.1.4Attachment D, Payee Data Record Form.The AOC is required to obtain and keep on file, a completed Payee Data Recordfor each vendor prior to entering into a contract with that vendor. Therefore, vendor’s proposal must include a completed and signed Payee Data Record Form, set forth as Attachment D.
4.1.5Attachment E, DVBE Participation Form.Proposers must demonstrate either (i) DVBE compliance with minimum participation goals, or (ii) written evidence of a "good faith effort” explaining why compliance with DVBE goals cannot be achieved. DVBE Participation goals are further explained under item 12.0 of this RFP.
5.0EVALUATION OF PROPOSALS
Proposals will be evaluated by the AOC using the following criteria, in order of descending priority:
5.1Quality of work plan submitted.
5.2Experience on similar assignments, particularly those involving public sector agencies,and expertise in areas such as strategic planning, organizational development, process reengineering, performance-based budgeting, and performance measurement.
5.3Reasonableness of cost projections.
5.4Credentials of staff to be assigned to the project.
5.5Ability to meet timing requirements to complete the project.
6.0SPECIFICS OF A RESPONSIVE TECHNICAL PROPOSAL
The following information shall be included as the technical portion of the proposal:
6.1Quality of overall work plan submitted.
6.1.1Approach.
6.1.1.1Proposed process necessary to address the project objectives.
6.1.1.2Proposed data collection methods.
6.1.1.3Proposed methodology.
6.1.1.4Proposed project and team organization.
6.1.2Contact information. Provide proposer’s point of contact, including name, address, telephone and fax numbers.
6.1.3Tax recording information. Complete and submit Attachment D, Payee Data Record Form. Note that if an individual or sole proprietorship, using a social security number for tax recording purposes, is awarded a contract, the social security number will be required prior to finalizing a contract.
6.1.4Compliance with Contract Terms. Complete and submit Attachment C, Vendor’s Acceptance of the RFP’s Contract Terms. If changes to Attachment B, Contract Terms, are proposed, then also submit red-lined version of Attachment B, as well as written justification supporting any such proposed changes.
6.2Experience on similar assignments. Provide the names, addresses, and telephone numbers of a minimum of five (5) clients for whom the proposer has conducted similar services. The AOC may check references listed by the proposer.
6.3Credentials of staff to be assigned to the project. Describe key staff’s knowledge of the requirements necessary to complete this project. Provide resumes describing the background and experience of key staff, as well as each individual’s ability and experience in conducting the proposed activities.Submit hardcopy of resume(s) in proposal as well as electronically on a CD Rom in MS Word format.
6.4Ability to meet timing requirements to complete the project. Overall plan with time estimates for completion of all work required.
7.0SPECIFICS OF A RESPONSIVE COST PROPOSAL
The following information shall be included as the cost portion of the proposal:
7.1Reasonableness of cost projections.
7.1.1As a separate document, submit a detailed line item budget showing total cost of the servicesfor each of the four deliverables specified in 3.0. This budget should identify unique hourly rates, titles, and responsibilities for each “Key Personnel”, but can group this information for other personnel in a more general manner. The firm awarded this contract should expect travel, but we do not expect the proposal to address travel expenses in the cost projections. Fully explain and justify all budget line items in a narrative entitled “Budget Justification.”
7.1.2The total cost for consultant services are expected to be between $75,000 and $90,000 inclusive of personnel, materials, overhead rates, and profit. The method of payment to the consultant will be by cost reimbursement for each of the four deliverables specified in 3.0.
7.1.3Complete and submit Attachment E, DVBE Participation Form.
8.0SUBMISSION OF PROPOSALS
8.1Responsive proposals should provide straightforward, concise information that satisfies the requirements noted in items 6.0 and 7.0, above. Expensive bindings, color displays, and the like are not necessary or desired. Emphasis should be placed on conformity to the state’s instructions, requirements of this RFP, and completeness and clarity of content.
8.2Proposers will submit one (1) original and five(5) copies of the technical proposal signed by an authorized representative of the company, including name, title, address, and telephone number of one individual who is the responder’s designated representative.
8.3Proposers will submit one (1) original and five(5) copies of the cost proposal signed by an authorized representative of the company, including name, title, address, and telephone number of one individual who is the responder’s designated representative.
8.4Proposals must be delivered to the individual listed under Submission of Proposals, as set forth on the cover memo of this RFP.
8.5Only written responses will be accepted. Responses should be sent by registered or certified mail or by hand delivery.
8.6In addition to submittal of the originals and copies of the proposals, as set forth in items 8.2 and 8.3, above, proposers are also required to submit an electronic version of the entire proposal on CD-ROM.
9.0RIGHTS
The AOC reserves the right to reject any and all proposals, in whole or in part, as well as the right to issue similar RFPs in the future. This RFP is in no way an agreement, obligation, or contract and in no way is the AOC or the State of California responsible for the cost of preparing the proposal. One copy of a submitted proposal will be retained for official files and becomes a public record.
10.0ADDITIONAL REQUIREMENTS
It may be necessary to interview prospective service providers to clarify aspects of their submittal. If conducted, interviews will likely be conducted by telephone conference call. The AOC will notify prospective service providers regarding the interview arrangements.
11.0CONFIDENTIAL OR PROPRIETARY INFORMATION
The Administrative Office of the Courts policy is to follow the intent of the California Public Records Act (PRA). If a vendor’s proposal contains material noted or marked as confidential and/or proprietary that, in the AOC’s sole opinion, meets the disclosure exemption requirements of the PRA, then that information will not be disclosed pursuant to a request for public documents. If the AOC does not consider such material to be exempt from disclosure under the PRA, the material will be made available to the public, regardless of the notation or markings. If a vendor is unsure if its confidential and/or proprietary material meets the disclosure exemption requirements of the PRA, then it should not include such information in its proposal.
12.0DISABLED VETERAN BUSINESS ENTERPRISE PARTICIPATION GOALS
The State of California Executive Branch requires contract participation goals of a minimum of three percent (3%) for disabled veteran business enterprises (DVBEs). The AOC, as a policy, follows the intent of the Executive Branch program. Therefore, your response should demonstrate DVBE compliance; otherwise, if it is impossible for your company to comply, please explain why, and demonstrate written evidence of a "good faith effort" to achieve participation. Your company must complete the DVBE Compliance form and include the form with your Cost Proposal. If your company has any questions regarding the form, you should contact the individual listed in the Submission of Proposal section on the coversheet of this RFP. For further information regarding DVBE resources, please contact the Office of Small Business and DVBE Certification, at 916-375-4940 or access DVBE information on the Executive Branch’s Internet web site at:
Page 1 of 9
Attachment A
Administrative Rules Government Requests for Proposals
A.General
1.This solicitation document, the evaluation of proposals, and the award of any contract shall conform with current competitive proposing procedures as they relate to the procurement of goods and services. A vendor's proposal is an irrevocable offer for 30 days following the deadline for its submission.
2. In addition to explaining the Administrative Office of the Courts’ (AOC’s) requirements, the solicitation document includes instructions which prescribe the format and content of proposals.
B.Communications with AOC Regarding the RFP
1.Except as specifically addressed elsewhere in this RFP, including directions pertaining to the submittal of Proposals, vendors shall use the “Solicitations Mailbox,” identified on the cover memo of this RFP, for any communications with the AOC regarding the RFP and award. Vendors must include the RFP Number in subject line of any communication.
C.Questions Regarding the RFP
1.If a vendor’s question relates to a proprietary aspect of its proposal and the question would expose proprietary information if disclosed to competitors, the vendor may submit the question via email to the Solicitation Mailbox, identified on the cover memo of this RFP, conspicuously marking it as "CONFIDENTIAL." With the question, the vendor must submit a statement explaining why the question is sensitive. If the AOC concurs that the disclosure of the question or answer would expose proprietary information, the question will be answered, and both the question and answer will be kept in confidence. If the AOC does not concur regarding the proprietary nature of the question, the question will not be answered in this manner and the vendor will be notified.