SRC CONSENSUS EVALUATION

Transcription

1 SRC CONSENSUS EVALUATION PROPOSAL EVALUATION WORKSHEET PROPOSER: Keolis DATE: 9/2/13 CONSENSUS RATING: NARRATIVE SUMMARY: Keolis' DBE plan proposal generally meets the standards of the DBE requirements as outlined in the RFP and complies with the DBE program as stipulated by 49 CFR Part 26. The good faith efforts presented are reasonable and its commitment to facilitate the growth of DBEs through best practices and innovative approaches are sound. However, Keolis' interpretation of the regulatory requirements under 49 CFR part 26 specifically pertaining to its roles and responsibilities as reflected in its DBE Plan (and identified in 1 Comment/Justification) demonstrates an apparent misunderstanding of certain sections of the regulations. We believe that these errors of statement may constitute a deficiency if not clarified and/or restated. Objective: The following are the objectives for the Disadvantaged Business Enterprise Plan and Program evaluation factor: 1) To identify Proposers that comply with Disadvantaged Business Enterprise (DBE) goals or conduct good faith efforts to do so; 2) To identify Proposers that have submitted a quality DBE Plan that complies with both the federal DBE Program and the 's DBE Program requirements; 3) To identify Proposers with creative strategies and approaches to achieve and maintain compliance over the Contract term, including technical assistance and supportive services strategies designed to increase participation and build capacity in the DBE community; and 4) To identify Proposers that will commit to consistent and open communication with the Office of Diversity and Civil Rights and timely submission of monthly reports and updates regarding full implementation of the DBE Plan. 1 Proposal Evaluation Worksheet

2 PROPOSAL EVALUATION WORKSHEET- SRC CONSENSUS EVALUATION Evaluation Criteria: The Proposer has complied with DBE participation goals or conducted good faith efforts to do so, and the Proposer has committed to consistent and open communication with the Office of Diversity and Civil Rights and timely submission of required reports. The Proposer has submitted a quality DBE Plan and Program that complies with the federal DBE Program and its implementation through the 's DBE Program and that includes creative strategies and approaches to achieve and maintain compliance over the Contract term, including technical assistance and supportive services strategies designed to increase participation and build capacity in the DBE community. Instructions: Evaluators must rate each requirement outlined in the table below as one of the following: (i) Exceptional; (ii) Good; (iii) ; (iv) Potential to Become ; or (v) Unacceptable. Please note the following explanations when rating each requirement: 1) A rating of Exceptional is appropriate when the Proposer has demonstrated an approach that is considered to significantly exceed stated criteria in a way that is beneficial to the. This rating indicates a consistently outstanding level of quality, with very little or no risk that this Proposer would fail to meet the requirements of the solicitation. There are no weaknesses. 2) A rating of Good is appropriate when the Proposer has demonstrated an approach that is considered to exceed stated criteria. This rating indicates a generally better than acceptable quality, with little risk that this Proposer would fail to meet the requirements of the solicitation. Weaknesses, if any, are very minor. Correction of the weaknesses would not be necessary before the Proposal would be considered further. 3) A rating of is appropriate if the Proposer has demonstrated an approach that is considered to meet the stated criteria. This rating indicates an acceptable level of quality. The Proposal demonstrates a reasonable probability of success. Weaknesses exist but can be readily corrected through requests for Clarification or Communications. 4) A rating of Potential to Become is appropriate if the Proposer has demonstrated an approach that fails to meet stated criteria as there are weaknesses, but they are susceptible to correction through Discussions. The response is 2 Proposal Evaluation Worksheet

3 considered marginal in terms of the basic content and/or amount of information provided for evaluation, but overall the Proposer is capable of providing an acceptable or better Proposal. 5) A rating of Unacceptable is appropriate if the Proposer has demonstrated an approach that indicates significant weaknesses and/or unacceptable quality. The Proposal fails to meet the stated criteria and/or lacks essential information and is conflicting and/or unproductive. There is no reasonable likelihood of success; weaknesses are so major and/or extensive that a major revision to the Proposal would be necessary. s for each requirement must be recorded in the associated column, and a detailed explanation of why a particular rating was given to a requirement must be recorded in the associated Comments/Justification for column. The column identifies relevant sections of (Operations and Management Proposal Instructions) to the Instructions to Proposers. Proposal Evaluation Worksheet

4 1. B 11.2(A) A DBE Plan that meets the requirements of, and ensures overall compliance with, 49 CFR Part 26 throughout the term of the Contract. The DBE Plan should describe the following elements: 1. How the Proposer's DBE subcontracting and supplier strategy will be effectively implemented and monitored within the context of the Proposer's overall Subcontracting Plan throughout the life of the Contract (emphasis should be placed on the first three years and updates are to be provided annually for review and approval by the ); 2. Methods for managing, monitoring and reporting on DBE participation on a monthly basis, including record-keeping and prompt payment requirements; 3. How the Proposer's DBE Liaison Officer and Program representatives will interface with the for outreach, pre-solicitation review of subcontracting goals, compliance monitoring and reporting, dispute resolution and any proposed DBE termination, Comments/Justification for In evaluating the Proposer's submission, five main factors were considered: (i) the effectiveness of the DBE plan; (ii) how the Proposer intends to encourage subcontracting, joint venturing, teaming and partnering with DBEs; (iii) the Schedule of DBE Participation; (iv) the Proposer's Good Faith Efforts; and (v) proposed innovative and best practices and supportive evidence of such. DBE Plan Subcontracting and supplier strategy. The Proposer expressed its commitment to complying with the DBE program and to 49 CFR Part 26 aka the DBE regulations. With respect to its subcontracting and supplier strategy, the Proposer provides a summary of how it intends to implement its program by indicating that its DBELO (DBE Liaison Officer) will monitor and report on the DBE program. Generally, when a subcontracting and supplier strategy is being implemented, one expects a more robust plan transcending reporting and monitoring. The Proposer then presents a USDOT DBE Plan template identifying their various sections and their requirements. This plan however includes various deficiencies and misunderstandings of roles and requirements. The following are examples: (a) The Proposer says it will be reporting to MassDOT using Form This is a misunderstanding as there is no requirement of reporting to MassDOT on form Proposal Evaluation Worksheet

5 PROPOSAL EVALUATION WORKSHEET SRC CONSENSUS EVALUATION substitutions and replacements; 4. Good faith efforts procedures, such as the following: a) Arranging solicitations, time for the presentation of quotes, quantities, specifications and delivery schedules to facilitate the participation of DBEs; b) Solicitations within sufficient time to allow the DBEs to respond to the solicitation; c) Appropriate steps to follow up initial solicitations in order to determine with certainty as to whether or not the DBEs are interested; d) Providing assistance to DBEs in overcoming barriers such as the inability to obtain bonding, financing or technical assistance; and e) The good faith efforts provisions contained in 49 CFR Part 26 and its Appendix A to Part 26 entitled Comments/Justification for 4630 (which is a Federal Highway requirement and not a FTA requirement). (b) At 26.1 (26.23), under Objective/Policy Statement, the Proposer claims it will be reporting to MassDOT and USDOT. The Proposer is required to report to the but not to USDOT. (c) The Proposer states it will use a 30 day Prompt Payment policy. This conflicts with the DBE program which calls for a 10 day Prompt Payment policy. (d) At 26.53(f), the Proposer claims it will approve certifications for DBEs. Only the Massachusetts Supplier Diversity Officer (SDO) can certify firms as DBEs. (e) The Proposer has misinterpreted its role in the certification process. For example, it cannot receive or process applications for certification (Page 10-17; page 10-16). (f) The Proposer is obligated to vet DBEs' certification status before bringing them on a contract, but it is not a participant in the certification process, a role that is solely played by SDO. Despite these weaknesses, the Proposer's DBE plan includes the necessary elements of a plan and reaffirms its commitment to comply with the 's program. Some positive features include the following: Creation and maintenance of a Bidders List; Setting contract-specific goals (page 10-10); Proposal Evaluation Worksheet

6 "Guidance Concerning Good Faith Efforts"; and 5. What, if any, technical assistance initiatives will be available for DBEs and Small Business Enterprises (SBE) seeking to do business with the Proposer. Comments/Justification for Conduct commercially useful function (CUF); Employ a compliance officer in addition to the DBELO (page 10-11); Develop a Business Development Plan (though the outdated requirements are referenced instead of the revised regulation under S ). Methods of Managing, Monitoring and Reporting on DBE. The Proposer expressed its commitment to (i) submit reports to the and to collaborate closely with emphasis on accountability; (ii) to hire a Compliance Officer of whom duties have been identified and who will monitor worksites and track DBE commitments and attainment. DBELO interface with. The Proposer appreciates the need to: a) Have open and consistent communication with 's ODCR; b) Submit timely reports; c) Have scheduled meetings between DBELO and the ; d) Encourage close collaboration. The inclusion of detailed job descriptions for the DBELO and especially the Compliance Officer are positive features. Good Faith Efforts. In addition to the statement commitment to comply with S (f) (Good Faith Efforts), commendable features include: Proposal Evaluation Worksheet

7 Comments/Justification for a) creation and publication of a Joint Business Guide which includes the rights and responsibilities of subcontractors; b) Eliminate any bonding requirements for DBEs subcontracting with it (this is traditionally a burden on DBEs); c) Using Diversity Development as a consultant to advise it on DBE program and conducting outreach initiatives. Technical Assistance Initiatives. The Proposer has committed to use Diversity Development, a DBE consultancy firm, to assist with outreach activities. The Proposer will also reach out to and collaborate with trade and related associations. 2. B 11.2(A) encourages and expects the contractor to pursue and encourage subcontracting, mentoring, joint venturing, teaming and partnering opportunities with and for DBE firms in the ordinary course of its business/teaming strategies. The selected contractor is encouraged and expected to create a level playing field to the maximum practical extent consistent with the objectives and requirements of the Federal DBE Encourage subcontracting, joint venturing, teaming and partnering with DBEs. The Proposer expressed its commitment to fully achieve the goals of diversity, community involvement and inclusiveness in its DBE program. To substantiate its commitment, the Proposer provided evidence of its subcontracting efforts by identifying seven (7) firms at a value or $10.1 M amounting to 17% DBE participation Proposal Evaluation Worksheet

8 PROPOSAL EVALUATION WORKSHEET--SRC CONSENSUS EVALUATION Program, DBE Program, and based on federal regulations codified at 49 CFR Part 26 and 's DBE Program Policy, respectively. Therefore, the contractor is requested to document their efforts to include DBEs in this contracting opportunity, and are required to flow down the DBE Program requirements to all lower tier subcontractors and suppliers. Contractors are also requested to explain in their executive summary how they intend to utilize and/or will encourage subcontracting, mentoring. joint venturing and/or partnering opportunities with DBEs for this project. Comments/Justification for which exceeds the required goal of 15%. Other positive features include the following: > A commitment to soliciting the services of DBEs presently doing work with the incumbent; > A commitment to mentoring of DBE firms and promoting partnering opportunities; > A recognition that the scopes will evolve producing new, meaningful areas where DBEs could make an even greater contribution; in other words, it is an "Evolving Program." > Regarding "creative strategies", will provide the training given to its own staff also to employees of DBE firms; > Encouragement of consortia or j oint venturing of firms to better able them to bid as Primes; Despite these strengths, it is believed that, bearing in mind the magnitude and value of the contract and the variety of scopes, that the services of more DBEs could have been solicited attaining more Letters of Intent. It is also believed that more details and examples regarding the trainings identified would have been useful. Additionally, more information of how the Proposer intends to provide technical support and team building in the pre-solicitation process would have enhanced the proposal. Proposal Evaluation Worksheet

9 3. B 11.2(B) A DBE Utilization Certificate that includes the following components: 1. A completed DBE Participation Schedule listing those qualified DBEs with which the Proposer intends to contract for the performance of portions of the work under the Contract during the initial three year period based on the Proposer's estimate of cost projections for years one through three of the Contract (subsequent years will be submitted on an annual basis after year one and thereafter for the life of the Contract); Comments/Justification for DBE Utilization and Schedule of DBE Participation. The requested documentation for the DBE Utilization Certificate and Schedule of DBE Participation complied with. This information includes the name of subcontractor, address, type of service, NAICS Codes, time and duration and agreed price. However, though the 15% DBE goal was achieved, it is believed that there should have been more DBEs listed. Also, it is not clear if the Proposer attempted to engage DBEs presently working on the existing contract. 2. The agreed price to be paid to each DBE for its work; 3. Identifying in detail the contract items or parts to be performed by each DBE, including a proposed timetable for the performance or delivery of the contract item(s); and 4. Other information as required by the DBE Participation Schedule. Proposal Evaluation Worksheet

10 4. 5. B 11.2(C) B 11.2(D) A completed original DBE Letter of Intent signed bv each DBE listed in the DBE Participation Schedule. A copy of the most recent certification letter or document of each DBE listed in the DBE Participation Schedule. Documentation Comments/Justification for The Numbers 4-6 requesting documentation was complied with except that in 5 (Certification Letters), the Certification Letter presented for AJ Cleaning was an "MBE Certification Letter" and not a "DBE Certification Letter" as required. It was confirmed however that the firm is a certified DBE firm. It was also unanimously agreed by the team that the "" for these s (4-6) should not have the same weight as the other factors as this is merely requiring documentation and no analysis. Please see 4 above. 6. B11.2(E) An original DBE Affidavit executed by each DBE listed in the DBE Participation Schedule stating that there has not been any change in its status since the date of its last certification. Please see 4 above. 7. B11.2(F) Documentation of the Proposer's good faith efforts to solicit and contract with DBEs, in accordance with 49 CRF Part 26 and its Appendix A to Part 26 entitled "Guidance Concerning Good Faith Efforts", including factual evidence of the following: 1. A minimum of one outreach session, to Good Faith Efforts. As alluded to Nos. 2 and 3 above, the Proposer has presented a number of intended initiatives and outreach activities that generally fulfill the Good Faith Efforts. For example, the Proposer: Held two outreach events though only one was required; 10 Proposal Evaluation Worksheet

11 be conducted by the Proposer for the benefit of DBEs, including the agenda for the outreach session, the roster of attendees and indication of where the outreach session was noticed; 2. Written notification to DBEs encouraging participation in the Contract; 3. Soliciting through all reasonable and available means (e.g., attendance at preproposal meetings, general circulation media, trade association publications, minority-focused media) the interest of all certified DBEs that have the capability to perform under the Contract; Comments/Justification for Provided web-based information portals for DBEs; Signed Letters of Intent with 7 DBEs amounting to $10.1M; Contracted DBE consultant firm, Diversity Development, to assist with outreach activities; Identified a diversified scope of potential services at outreach events. While these activities demonstrated Good Faith Efforts, the Evaluation Team made a number of observations. For example, the roster with the attendees of the outreach events was not attached though attachment was referenced in the proposal. Also, though an impressive and wide array of potential scopes were identified at the events and elsewhere, seven DBEs signed letters of intent and in somewhat limited areas. 4. Selecting portions of the Contract to be performed by DBEs in order to increase the likelihood that the DBE goal will be achieved. This includes, where appropriate, breaking out work into economically feasible units to facilitate DBE participation, even when the Proposer might otherwise prefer to perform this work with its own forces; 11 Proposal Evaluation Worksheet

12 5. Providing interested DBEs with adequate information about the Contract in a timely manner to assist DBEs in responding to a solicitation; Comments/Justification for 6. Negotiating in good faith with interested DBEs. Proposers are responsible for making a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses and telephone numbers of DBEs that were considered; a description of the information provided regarding the Contract requirements for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work; 7. Making efforts to assist interested DBEs in obtaining bonding, lines of credit or insurance, as required by the Proposer; 8. Making efforts to assist interested DBEs 12 Proposal Evaluation Worksheet

13 in obtaining necessary equipment, supplies, materials or related assistance or services; and Comments/Justification for 9. Effectively using the services of available minority/women community organizations; minority/women contractors' groups; local, state and Federal minority/women business assistance offices; and other organizations as allowed on a case-bycase basis to provide assistance in the recruitment and placement of DBEs. 8. B 11.2(G) The Proposer shall: (i) identify those portions of the information that it provided in response to B11.2(A) through B11.2(F) of Appendix B that it considers to be innovative, best practice, beneficial to Customers and/or cost efficient, and (ii) submit information supporting or otherwise validating its position that said portions are innovative, best practice, beneficial to Customers and/or cost efficient. Innovative and Best Practices and Supportive Evidence. The Proposer has identified a number of initiatives that would be considered innovative or best practices or efficient or would be beneficial to customers. Some of these initiatives worthy of mention are: Making training that is available to its own staff also available to the employees of DBEs; Establishing Web-based procurement portal; Facilitating M/WBEs to become certified DBEs; Creation of Joint Business Guide to inform and education DBEs and contracting community; Assessment of needs of DBEs on an annual basis to target technical assistance to DBEs; 13 Proposal Evaluation Worksheet

14 Comments/Justification for The creation of a Bidders List which will assist the in developing its Overall DBE Goal. Though the list of initiatives are commendable, it is believed that some that have been listed as "innovative" ought to have been identified as "best practices" and should be part of the base contract in any case. # vl C2^ PfnT \- A <jjsgt 14 Proposal Evaluation Worksheet