REQUEST for LETTERS of INTEREST (RFLOI)

Transcription

1 Advertised: April 2, 2018 Office of Civil Rights REQUEST for LETTERS of INTEREST (RFLOI) North Carolina Department of Transportation Disparity Study, 2019 TITLE: NCDOT Disparity Study, 2019 USING AGENCY: North Carolina Department of Transportation Office of Civil Rights ISSUE DATE: April 2, 2018 SUBMITTAL DEADLINE: April 30, 2018 ISSUING AGENCY: North Carolina Department of Transportation Office of Civil Rights PURPOSE OF THE RFLOI The North Carolina Department of Transportation (NCDOT) is soliciting Letters of Interest (LOI) for a consultant to conduct an appropriate disparity study, within the legal framework as established by 49 CFR Part 26 and court rulings, to determine the absence or presence of discrimination in state and federal highway-aid transportation contracting in North Carolina. The study will focus on the availability and utilization of minority-owned (MBE) and women-owned business (WBE) enterprises in the State program, as well as disadvantaged business enterprises (DBE) in the Federal program and examine relevant evidence of the effects of race-based or gender-based discrimination upon the utilization of such business enterprises in contracts for planning, design, preconstruction, construction, alteration, or maintenance of State transportation systems, such as, highways and bridges, rail, ferry, airports, facilities and public transit, and in the procurement of materials for these projects. A further objective is to recommend programmatic remedies to address factors of any identified underutilization, including both ethnic groups and work areas. Areas of over-utilization should be addressed as well. Since the results of the study could be significant to the triennial goal-setting process, the reporting document will be reviewed thoroughly with the intent of looking for quantifiable adjustment factors, AS DEFINED BY FEDERAL AND STATE STATUTES AND/OR REGULATIONS. 1

2 The study will examine several NCDOT DBE, MBE and WBE participation and race-and gender-neutral support services programs, which will require statistical analysis, empirical evidence and an assessment of any anecdotal and qualitative evidence of discrimination. The study will be based on historical data with a specific range of appropriate years to be included in this study determined by the selected consultant and the Department. The preceding study entitled the North Carolina Department of Transportation Disparity Study, 2014 covered the procurement of transportation preconstruction and construction services for the period of July 1, 2008 through June 30, The study will form the basis for legally defensible actions to be taken by NCDOT in administering 49 Code of Federal Regulations Part 26, NC General Statute and NC General Statute BACKGROUND In accordance with G.S , at least every five (5) years, the NCDOT is required to conduct a study on the availability and utilization of disadvantaged minority-owned and women-owned business enterprises and examine relevant evidence of the effects of race-based or gender-based discrimination upon the utilization of such business enterprises in contracts for planning, design, preconstruction, construction, alteration, or maintenance of State transportation infrastructure and in the procurement of materials for these projects. The most recent study, which was completed in 2014 ( North Carolina Department of Transportation Disparity Study, 2014 ), concluded that American Indian and Asian American minorities did not suffer from past discrimination over the study period and these businesses were removed from the state MBE/WBE program. The study identified areas of disparity in NCDOT s contractual awards, as well as recommendations to help increase the minority awareness in bidding opportunities. GENERAL Except as provided below, any firm wishing to be considered must be properly registered with the Office of the Secretary of State. Any firm proposing to use corporate subsidiaries or subcontractors must include a statement that these companies are properly registered. If Engineers are performing the work and are in responsible charge of the work, they must be registered Professional Engineers in the State of North Carolina and must have a good ethical and professional standing. It will be the responsibility of the selected private firm to verify the registration of any corporate subsidiary or subcontractor prior to submitting a Letter of Interest. Firms which are not providing engineering services need not be registered with the North Carolina Board of Examiners for Engineers and Surveyors. Some of the services being solicited may not require a license. It is the responsibility of each firm to adhere to all laws of the State of North Carolina. Professional Liability Insurance The firm must have the financial ability to undertake the work and assume the liability. The selected firm(s) will be required to furnish proof of Professional Liability insurance coverage in the minimum amount of $1,000, The firm(s) must have an adequate accounting system to identify costs chargeable to the project. Evidence of an acceptable accounting system may be audited prior to official award. 2

3 Assurance of Nondiscrimination The North Carolina Department of Transportation, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 US.C. 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award. In accordance with other related nondiscrimination authorities, bidders and contractors will also not be discriminated against on the grounds of sex, age, disability, low-income level, or limited English proficiency in consideration for an award. DEFINITIONS Bidder: A person, partnership, firm, corporation, or joint venture submitting a bid proposal for the purpose of obtaining a State or NCDOT contract. Contract: Comprises the RFP, any addenda thereto, the bid proposal, and the purchase order. The contract constitutes the entire agreement between the state and the consultant. Minority Business Enterprise (MBE): Any legal entity, other than a joint venture, organized to engage in commercial transactions, that is at least fifty-one percent (51%) owned and controlled by one or more minority persons. Minority person means a member of one of the following groups: African-Americans and Hispanic Americans. Women Business Enterprise (WBE): Any legal entity, other than a joint venture, organized to engage in commercial transactions, that is at least fifty-one percent (51%) owned and controlled by one or more non-minority woman. Disadvantaged Business Enterprise (DBE): A for-profit small business that is at least fifty-one percent (51%) owned by one or more individuals who are both socially and economically disadvantaged, or, in the case of a corporation, in which fifty-one percent (51%) of the stock is owned by one or more such individuals. The DBE business must have management and daily business operations that are controlled by one or more of the socially and economically disadvantaged individuals who own it. Historically Underutilized Business (HUB): A for-profit small business that is at least fifty-one percent (51%) owned by one or more persons who are members of at least one of the groups set forth in G.S or in the case of a corporation, at least fifty-one percent (51%) of the stock is owned by one or more persons who are members of at least one of the groups set forth G.S Triennial Overall Goal: In accordance with 49 CFR Party 26 and NC G.S , NCDOT shall establish overall goals based on demonstrable evidence of the availability of ready, willing and able DBEs, MBEs and WBEs relative to all businesses ready, willing and able to participate on NCDOT-assisted contracts. NCDOT currently has goals for the divisions of Aviation, Transit and Highways broken down into race and gender-neutral goals for each. Race-Conscious: Race conscience DBE, MBE, WBE and HUB participation includes a contract award to or contract participation by a DBE, MBE or WBE through non-customary competitive procurement procedures (i.e., setting DBE, MBE, WBE, and HUB goals on a contract). 3

4 Race and Gender-Neutral: Race and gender-neutral DBE, MBE and WBE participation includes a contract or subcontract awarded to a DBE, MBE or WBE through customary competitive procurement procedures where there was no DBE, MBE or WBE goal, or even if there is a DBE, MBE or WBE goal, a subcontract award from a prime contractor that did not consider the certification of the subcontractor. DBE, MBE AND WBE PROGRAMS The NCDOT is responsible for overseeing the project development, letting, bidding, and award of transportation contracts utilizing state and federal funds administered through the NCDOT. Contracts are reviewed for DBE or MBE and WBE subcontracting potential, and advertised goals for each project are determined. The review to determine the goals includes the number of ready, willing and able DBE, MBE and WBE contractors; the location of the project; and the subcontracting opportunities. Goals are set for all modes of transportation including, G.S. 136 facility projects, rail, ferry, aviation and transit, in addition to G.S. 143 facilities, goods and services projects. The NCDOT also has approved state and federal Small Business Enterprise (SBE) and Small Professional Services Firm (SPSF) programs to foster DBE, MBE and WBE race and gender-neutral participation. DIRECTORY OF FIRMS Federal law requires that the Department create and maintain a database of all firms that are participating or attempting to participate in NCDOT-assisted contracts. To meet this requirement, the NCDOT has a Directory of Transportation Firms that lists those firms that meet NCDOT qualifications as well as those firms that are DBE/MBE/WBE/SBE/SPSF certified through North Carolina s Unified Certification Program. The Directory can be accessed by a link on the Department s homepage or by entering in the address bar of your web browser. The Directory of HUB Firms can be accessed by the link below on the Department of Administration HUB homepage: in the address bar or your web browser. Note: The listing of an individual firm in the Directories shall not be construed as an endorsement of the firm. CONSULTANT CREDENTIALS In order for submissions to be considered responsive, respondents must provide evidence in writing that they meet the following minimum prior experience requirements: 1. Experience and ability to conduct disparity studies and provide expert testimony regarding its findings and conclusions before any administrative body and/or United States court of law, including evidence of having successfully conducted at least three (3) disparity studies for state or major metropolitan transportation agencies in the last ten (10) years and proof of providing expert testimony in support of such studies; and 2. Experience in conducting all necessary investigations and interviews, surveys, and collections of quantitative data, as well as performing required analyses, collecting all pertinent anecdotal information, and any other activity necessary to carry out this study. Evidence must include proof of successful completion conducting such work for a disparity Study. 4

5 SCOPE OF WORK The NCDOT is soliciting letters of interest for the services of a firm/team for the following contract scope of work: Scope of Work and Deliverables The NCDOT seeks a legally defensible disparity study that will support the Department's diversity programs. Explanation of your approach or general methods used to conduct this disparity study should include, but are not limited to, the items outlined below: 1. Legal Review: A legal review section that outlines and discusses the legal framework for both race and gender-conscious programs that includes City of Richmond v. J.A. Croson Co., 488 U.S. 469 (1989) and any other relevant State and Federal court decisions, specifically Fourth Circuit Court of Appeals, that bear on the abilities, legal rights and obligations of state governments to implement race and gender conscious preference programs in the context of the study. Explanation of methodologies and practices to be employed by the NCDOT to comply with such legal requirements shall be provided in the study. Identify any revisions necessary to the current NCDOT program that address relevant legal requirements and recent court decisions. 2. Development: Review of the NCDOT contracting policies, procedures, and programs to determine how these programs can better promote equal access and participation in opportunities to DBE, MBE and WBE firms seeking to perform in the various areas of construction, professional services, and goods and services for NCDOT. Critical components of this analysis must include, but are not limited to, drafting program requirements which: Determine the history of the utilization of DBEs, MBEs, WBEs AND HUBs by the NCDOT in contracting and procurement opportunities that were typically awarded, and the number of contracts and dollar amounts spent in each category for the past five (5) years; Ensure nondiscrimination in the award and administration of NCDOT-assisted contracts; Ensure that the diversity programs are narrowly tailored and identify race/gender based and race/gender neutral remedies; and Review current contracting provisions and policies to ensure the NCDOT is not placing barriers to DBE, MBEs, WBEs and HUBs participation in contracting. 3. Analysis of Relevant Geographic Market Area and Relevant Product Market Area: Determine geographic and product markets for construction contracts, professional agreements and grantees for the contracts/projects for the following transportation areas: highways (including bike and pedestrian facilities), public transit, rail, ferry, airports and G.S. 136 and 143 facilities construction, good, services, architectural and engineering services. 4. Estimation of DBE/ MBE/ WBE/ HUB Availability: Determine the DBE/MBE/WBE/ HUB availability to make comparison to utilization. Determine the availability of ready, willing and able MBE, WBE, 5

6 and DBE businesses to participate in the NCDOT contracts. Identify each discrete group or category of minorities to be evaluated that may be individually affected by the NCDOT Programs, regardless if such group or category is currently identified by the NCDOT Programs. This estimation shall consider capacity as a component of being able. While analyzing availability, the consultant shall precisely define its measure of availability and explain how such availability was calculated. 5. Measurement of DBE/ MBE /WBE/ HUB Utilization: Determine the utilization of DBE/MBE/WBE/HUBs as prime contractors, subcontractors and consultants on the NCDOT projects. The NCDOT considers ready, willing and able to perform businesses as those which are capable of providing the required work or services, and available to perform when solicited. The consultant shall ascertain whether a statistically significant disparity exists between the availability of ready, willing, and able disadvantaged, minority and women owned businesses, and the utilization of such firms in NCDOT respective contracts (whether as prime contractors, subcontractors, or professional services). 6. Disparity Analysis: Working with the availability and utilization data outlined above, the consultant will be expected to perform a disparity analysis to determine whether statistically significant disparities exist between the availability of disadvantaged, women and minority owned businesses and the utilization of such firms by the NCDOT. The response should outline the way this disparity ratio will be determined. The disparity analysis must examine subcontractors and prime contractors (bidders). It must also separately examine various industries as narrow a classification level as possible. At a minimum, the analysis must examine construction, goods, and professional services. Finally, the disparity analysis must provide disparity statistics that are disaggregated by gender and race where the data permits. Critical components of this analysis include, but are not limited to: Analysis of discrimination and its effect separately for each (DBE, MBE and WBE) group; Analysis of factors other than discrimination that may account for statistical disparities between DBE, MBE WBE and HUB availability and participation; and Analysis of barriers in obtaining bonding, financing, etc. 7. Anecdotal Data Collection and Analysis: The LOI should provide a detailed description of how the consultant proposes to conduct an investigation into what, if any, anecdotal evidence of discrimination exists in the NCDOT s market area(s). Critical components of this analysis include, but are not limited to: Type of outreach efforts (e.g., phone, mail, public hearings, etc.) used and methodology in evaluation of the anecdotal evidence; and Consideration of allegations of discrimination, both active and passive, by the NCDOT, as well as discrimination by private customers, suppliers, and prime contractors of NCDOT. 6

7 8. Private Sector Utilization and Disparity Analysis: The LOI should also include a comprehensive description of how the consultant proposes to analyze the existence, if any, of discrimination in the private commercial (non-residential) contracting industry in the NCDOT s market area. Critical components of this analysis include, but are not limited to: Comparison of NCDOT and Private Sector Utilization of DBE, MBE WBE, HUB contractors; and Statistical assessments of (a) disparities in business formation, (b) disparities in business owner earnings, (c) disparities in access to commercial credit and capital. 9. Final Report of Findings, Remedies and Recommendations: the final report must be a searchable electronic format (.pdf file) acceptable to the Agency, of all data and records developed that will permit future use by Agency. If evidence of discrimination exists, the final report should include specific remedies and recommendations for NCDOT s overall DBE, MBE WBE and HUB goals, including race-conscious and race-neutral breakouts. Specific recommendations should include, but are not limited to: Assessment of the extent to which the effects of discrimination can be addressed through race and gender neutral means and whether narrowly tailored, race and gender specific remedies would be effective; Alternative policy and program directions based on legally defensible best practices. The results and recommendations will serve as a reference document in the creation of directives, standards and practices; and Programmatic changes, including enhancements, if necessary, to include staffing. The consultant must ensure that adequate and accurate responses are provided. It is the responsibility of the responding consultant to provide complete answers to each requirement even if that results in redundant or duplicated material within the proposal. PROPOSED CONTRACT TIME: ONE YEAR PROPOSED CONTRACT PAYMENT TYPE: The contract payment type shall be LUMP SUM OR COST - PLUS AGAINST A CONTRACT MAXIMUM, varying per Task Order and based on the scope of work and other factors as appropriate, and as agreed between the consultant and the NCDOT. Firms selected for an interview will be required to bring a detailed budget for the project in a separate sealed envelope marked Price Proposal. The Price Proposal must include a schedule of hourly billing rates for any additional services outside the scope of work and deliverables, and any reimbursable services, including copies, mail, and mileage. Billing should occur on the basis of milestones, as supported by monthly status reports corresponding to the required scope of work and deliverables. SUBMITTAL REQUIREMENTS 7

8 Format ALL LOIs ARE LIMITED TO TWENTY-FIVE (25) PAGES, EXCLUDING RS-2 FORMS, COVER SHEET AND TABLE OF CONTENTS, AND SHALL BE TYPED 8 ½ X 11 SHEETS, SINGLE SPACED, ONE SIDED. LOIs CONTAINING MORE THAN TWENTY-FIVE (25) PAGES WILL NOT BE CONSIDERED. ALL LOIs MUST BE SUBMITTED ELECTRONICALLY IN.PDF FORMAT USING SOFTWARE SUCH AS ADOBE, CUTEPDF PDF WRITER, DOCUDESK DESKPDF, ETC. TIME FOR SUBMISSION LOIs SHALL BE RECEIVED ELECTRONICALLY NO LATER THAN 12:00 P.M., APRIL 30, NO EXCEPTIONS. LOIs RECEIVED AFTER THIS DEADLINE WILL NOT BE CONSIDERED. INSTRUCTIONS FOR SUBMISSION The LOI should be sent as a.pdf file, through NCDOT s File Transfer System (FTS), to mtmclean@ncdot.gov. The FTS will send you an electronic receipt when your LOI is uploaded to NCDOT s FTS. Paper copies are not required. The subject line should contain the Firm s Name, and LOI for NCDOT Disparity Study, If an interested firm does not have an FTS account, they should send a request through regular to mtmclean@ncdot.gov. A response will be sent via the FTS system that will provide a login username, password, and login procedures. COMPLETE SUBMISSION Firms submitting LOIs are encouraged to carefully check them for conformance to the requirements stated above (and any other requirements in this Advertisement). If LOIs are submitted late, exceed the maximum number of pages, are sent by any means other than NCDOT s FTS system, or are sent to any address other than mtmclean@ncdot.gov, they will be disqualified. The NCDOT reserves the right to reject all LOIs and not proceed with procurement. The NCDOT reserves the right to waive any technicality in LOIs, or notify the Firm(s) of such technicality and allow the Firm(s) up to two (2) business days to rectify the technicality. All correspondence and questions concerning this RFLOI should be directed to Marolyn McLean, Program Assistant for Office of Civil Rights at mtmclean@ncdot.gov. IF APPLICABLE, questions may be submitted electronically only, to the contact above. Responses will be issued in the form of an addendum available to all interested parties. Interested parties should also send a request, by only, to the person listed above to be placed on a public correspondence list to ensure future updates regarding the RFLOI or other project information can be conveyed. Questions must be submitted to the person listed above no later than April 16, 2018 The last addendum will be issued no later than April 23,

9 NOTE: To adhere to the Timeframe, a Notice to Proceed is expected to be issued shortly after (a) firm(s)/team(s) is/are selected. All firm(s)/team(s) submitting a LETTER OF INTEREST should make sure that their rates and overheads are current and have been audited by NCDOT. SELECTION PROCESS The following is a general description of the selection process: A Selection Team will be convened to evaluate proposals received in accordance with the schedule and evaluation criteria stated in this RFLOI. The Selection Team will rank the consulting candidates (firms, teams and/or individuals), and will short list a group of finalists for a personal interview which will provide most qualified consultant(s) for each Task or group of tasks. The Selection Team will then negotiate with the most qualified consultant(s) firm, based on a thorough and detailed scope of services, and will reach agreement on terms and fees for professional services valid for the period of engagement. In the event that an agreement cannot be reached, the Selection Team reserves the right to terminate negotiations with that consultant and will commence negotiations with the next most qualified consultant. The Selection Team may, at the NCDOT s discretion, choose any number of firms to provide the services being solicited. Selection of any firm and/or team is subject to the approval of the NCDOT. SELECTION CRITERIA All firms who submit responsive letters of interest will be considered. Responses to this RFLOI will be evaluated in accordance with the following criteria: 1. 20% = Qualifications and experience of the consultant, and any sub consultants, regarding their ability to collect and analyze data, research trends, evaluate economic issues, and develop solutions that specifically impact employment and labor in the transportation industry % = Qualifications and experience of the consultant, and any sub consultants, regarding developing and implementing programs in support of or associated with the construction industry for this size contract % = Demonstrated ability to meet commitments requested in the RFLOI within the projected schedule % = Knowledge of Federal (FHWA), State (NCDOT) regulations, programs, associated with highway construction, highway contracts, contract administration % = References from at least three (3) similar projects. 9

10 6. 10% = Demonstrated experience, proven record of success on similar projects, proven financial stability, proof of ethical performance and professional integrity % = The Firm s Disadvantaged Business Enterprise Participation and Historically Underutilized Business Participation. SUBMISSION ORGANIZATION AND INFORMATION REQUIREMENTS The LOI should be addressed to Marolyn McLean, Program Assistant for Office of Civil Rights and must include the name, address, telephone number, and address of the prime consultant s contact person for this RFLOI. In addition to the requirements above, under Consultant Credentials and Scope of Work and Deliverables, the LOIs must also include the information outlined below: Chapter 1 - Introduction The Introduction should demonstrate the consultant's overall qualifications to fulfill the requirements of the scope of work and should contain the following elements of information: Expression of firm s interest in the work; Statement of whether the firm is registered with the Office of Secretary of State; Statement regarding firm s( ) possible conflict of interest for the work; Statement Acknowledging receipt of Addendum; and Summation of information contained in the letter of interest. Chapter 2 - Team Qualifications This chapter should elaborate on the general information presented in the introduction, to establish the credentials and experience of the consultant to undertake this type of effort. The following must be included: 1. Identify, at a minimum, three (3) recent similar projects the firm, acting as the prime contractor, has conducted which demonstrates its ability to conduct and manage the project. Provide a synopsis of each project and include the date completed, contact name and title, phone number, and address. 2. If subconsultants are involved, provide corresponding information describing their qualifications as requested in bullet number 1 above. Chapter 3 - Team Experience This chapter must provide the names, classifications, and location of the firm s employees and resources to be assigned to the advertised work; and the professional credentials and experience of the persons assigned to the project, along with any unique qualifications of 10

11 key personnel. Although standard personnel resumes may be included, identify pertinent team experience to be applied to this project. Specifically, the Department is interested in the experience, expertise, and total quality of the consultant's proposed team. If principals of the firm will not be actively involved in the study/contract/project, do not list them. The submittal shall clearly indicate the Consultant s Project Manager, other key Team Members and his/her qualifications for the proposed work. Also, include the team s organization chart for the Project / Plan. A Capacity Chart / Graph (available work force) should also be included. Any other pertinent information should also be listed in this section. Note: If a project team or subconsultant encounters personnel changes, or any other changes of significance dealing with the company, NCDOT should be notified immediately. Chapter 4 - Technical Approach The consultant shall provide information on its understanding of, and approach to accomplish, this project, including their envisioned scope for the work and any innovative ideas/approaches, and a schedule to achieve the dates outlined in this RFLOI (if any projectspecific dates are outlined below). SUBMISSION SCHEDULE AND KEY DATES Provided below is the schedule for milestones in this RFLOI process, listed in order of occurrence. NCDOT reserves the right to change any or all of these dates as it deems necessary or convenient in its discretion. RFLOI RELEASE APRIL 2, 2018 DEADLINE FOR QUESTIONS APRIL 16, 2018 ISSUE FINAL ADDENDUM APRIL 23, 2018 DEADLINE FOR LOI SUBMISSION APRIL 30, 2018 SHORTLIST ANNOUNCED * - MAY 15, 2018 INTERVIEWS - THE WEEK OF JUNE 1, 2018 FIRM SELECTION AND NOTIFICATION ** - JUNE 15, 2018 ANTICIPATED NOTICE TO PROCEED JUNE 30, 2018 * Notification will ONLY be sent to shortlisted firms. ** Notification will ONLY be sent to selected firms. STUDY PROJECT SCHEDULE AND WORK PLAN Detailed timetables and milestones for projecting and tracking progress of deliverables will be developed by the consultant and agreed upon by the Department. 11

12 At a minimum, detailed monthly progress reports shall be submitted, with the first one delivered not later than the end of the second week after the disparity study contract is executed, so that progress on the project can be monitored. Regular face-to-face meetings may be held with consultant to discuss progress and problems, and to help facilitate and expedite the study project schedule. This study will require a major milestone that an Executive Summary of findings be complete by June 30, The purpose of the summary is to present the information to the North Carolina General Assembly. The summary shall contain information, data and analysis sufficient to inform legislators as to the absence or presence of disparity in transportation contracting and whether a program complying with equal protection standards is supported by the analysis. An initial draft of the Final Report shall be completed and delivered not later than one (1) year from commencement and the Final Report not later than sixty (60) days from the receipt of the NCDOT s review and feedback of the draft. Responses shall detail a post-study feedback strategy to include, at a minimum, one (1) follow up meeting and recommendations on document and record retention and transfer. CONTRACT MANAGEMENT The NCDOT Utilization Manager will serve as the agreement administrator for the contract, and will be the primary point of contact for the consultant after award. 12