request for proposals - california institute for ... for proposals performance audit services cirm...

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

[email protected]

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


ProjectDescription

ProjectBudget

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REFERENCECLIENT#3

ClientName

ClientAddress

ContactName

ContactTitle

ContactPhone#

ContactEmail

ProjectName


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


(b)TotalHours


TotalCostforDeliverable1: Deliverable2–DraftReport


(b)TotalHours


TotalCostforDeliverable2: Deliverable3–DraftFinalReport


(b)TotalHours


TotalCostforDeliverable3: Deliverable4–FinalReport


(b)TotalHours


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

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