JSCB. Joint Schools Construction Board

Transcription

1 JSCB Joint Schools Construction Board REQUEST FOR PROPOSAL TO PROVIDE INDEPENDENT COMPLIANCE SERVICES FOR PHASE 2 OF THE SYRACUSE SCHOOLS CONSTRUCTION PROGRAM Prospective Consultants: The City of Syracuse and the Syracuse City School District, acting through the Joint Schools Construction Board, invite you to submit your proposal to provide Independent Compliance Services for Phase 2 of the Joint Schools Construction Program. Yours truly, Mary E. Vossler, CPA Director Office of Management & Budget Stephanie A. Miner Mayor 203 City Hall Syracuse, New York (315) Fax (315) Sharon L. Contreras Superintendent 725 Harrison Street Syracuse, New York (315) Fax (315)

2 REQUEST FOR PROPOSALS FOR INDEPENDENT COMPLIANCE SERVICES ON BEHALF OF THE JOINT SCHOOLS CONSTRUCTION BOARD RFP REFERENCE # ONE (1) ORIGINAL PROPOSAL AND SEVEN (7) COPIES OF THE PROPOSALS MUST BE RECEIVED PRIOR TO 2:30 P.M THURSDAY, APRIL 30th, 2015 AT THE FOLLOWING ADDRESS: OFFICE OF MANAGEMENT AND BUDGET DIVISION OF PURCHASE ROOM 221 CITY HALL 233 EAST WASHINGTON STREET SYRACUSE, NEW YORK ATTN: MARY E. VOSSLER, DIRECTOR NO EXCEPTIONS BE SURE THAT YOU HAVE COMPLETED AND ATTACHED ALL OF THE INFORMATION REQUIRED IN THESE SPECIFICATIONS. SPECIAL NOTE: PROPOSAL PACKAGES MUST BE SEALED AND CLEARLY MARKED ON THE LOWER LEFT FRONT WITH THE RFP TITLE & REFERENCE NUMBER AS LISTED ABOVE! PLEASE PRINT THE WORDS ORIGINAL ON YOUR ORIGINAL COPY PROPOSALS RECEIVED AFTER THE DUE DATE AND TIME WILL NOT BE ACCEPTED.

3 Table of Contents Introduction...Pg.1 General Information and Instructions...Pg.1 Insurance....Pg.2 Indemnification...Pg.3 Consultant Employee Identification...Pg.3 Supervision and Support Personnel..Pg.3 Minimum Qualifications.. Pg.3 Term of Contract...Pg.3 Information Request...Pg.4 Project Approach...Pg.5 Billing Rates..Pg.5 Miscellaneous...Pg.6 Project Background & Scope of Services Requested.....Pg.6 Joint School Construction Board Project Specific Compliance Services...Pg.6 Proposal and Qualifications Review.. Pg.7 Qualifications & Criteria.Pg.8 Examination of Solicitation Documents & Addenda... Pg.9 Standard Professional Service s Consultant s Agreement Pg.9 Proposal Costs...Pg.9 Termination..Pg.9 Unbalanced Proposals...Pg.9 Budgetary Funding...Pg.10 Award Pg.10 Submission Requirements.Pg.10 Professional References Pg.10 RFP - Cancellation/Postponement..Pg.11 Additional information.pg.11 Proposal Due Date.Pg.11 Professional References...Pg.12

4 INTRODUCTION Prospective Consultants: The Joint Schools Construction Board, through the Office of Management & Budget, invites you to submit a Proposal to provide Independent Compliance Services for the Joint Schools Construction Project. Although consultant selection will be qualifications based, a Billing Rate Schedule must be submitted as indicated in the Scope of Services. The Request for Proposals is to be organized as follows: A. Proposal - General Information and Instructions B. Proposal Instructions to Proposers C. Proposal Project Background and Scope of Services Requested D. Proposal Proposal and Qualifications Review The following support documents (attachments) are included in this RFP package: E. Standard Professional Services Consultant's Agreement (7 pages; blank sample) F. JSCB Phase 2 Development and Diversification Plan For Workforce & Business G. Relevant Portions of the Comprehensive Plan GENERAL INFORMATION AND INSTRUCTIONS The City of Syracuse Office of Management & Budget, Division of Purchase on behalf of the Joint Schools Construction Board is seeking proposals from vendors to provide Independent Compliance Services for the Joint Schools Construction Project. The purpose of the role is to provide a single point of contact for all Minority/Women-Owned Business Enterprise (MWBE) issues to ensure seamless MWBE compliance among all projects while adhering to the Phase 2 Development and Diversification Plan Workforce & Business as set forth by the JSCB. The services to be provided will include compliance with approved budgets, compliance with all due dates and deadlines, coordination with JSCB outside consultants, monitoring of all required policies and procedures for the proper and successful administration under the direction of the City s MWBE Compliance Officer of Neighborhood and Business Development, City Engineer and Joint Schools Construction Board (JSCB). This successful Proposer will be required to sign a Professional Services Contract with the JSCB as approved by the Corporation Counsel who acts as counsel to the JSCB. It is the intent of the Joint Schools Construction Board to hire one consultant to provide the requested services. Although consultant selection will be qualification based, a Billing Rate Schedule must be submitted as indicated in the Scope of Services. Page 1

5 INSURANCE Notwithstanding any terms, conditions or provisions, in any other writing between the Parties, the proposer hereby agrees to effectuate the naming of the City of Syracuse, the JSCB and the Syracuse School District as unrestricted additional insured on the proposer s insurance policies, with the exception of Workers compensation. Consultants shall purchase and maintain during the life of the contract the following insurance. This insurance must be purchased from a New York State licensed; A.M. Best Rated A or A+ carrier. The City of Syracuse, the JSCB, and the Syracuse School District, with the exception of Workmen s Compensation and Employer s Liability Insurance, shall be named as additional named insured. A copy of all required certificates of insurance shall be mailed to the Department of Neighborhood and Business Development, Office of Minority Affairs, Room 600 City of Syracuse prior to the execution of the contract with the JSCB. Upon request the successful Proposer (Consultant) shall provide to the JSCB any of the underlying insurance policies for review and approval. The certificates shall be issued to the City of Syracuse, the JSCB and the School District of the City of Syracuse with a provision that in the event the policies are either cancelled or diminished, at least 30 days prior notice thereof shall be given to the City, the JSCB and the School District. The successful bidder or any subcontractor shall not commence work under this contract until the counsel for the JSCB has approved such insurance. The successful proposer shall require any subcontractor(s) to provide all of the requirements of this section before any work are to commence. A. Comprehensive General Liability Insurance with contractual liability coverage in the minimum amount of $2,000,000 per occurrence and $2,000,000 as the aggregate limit of liability. Also required, the declarations page from the General Liability Insurance policy showing the endorsement that the City of Syracuse, the Joint School Construction Board and the Syracuse City School District are indeed an additional insured. B. Automotive Liability Insurance: on owned, hired, leased, or non-owned autos in the amount of $2,000,000 occurrence combined Single Limit. C. Worker s Comprehensive & Employer s Liability Insurance: statutory Worker s compensation and Employer s Liability insurance for all of his employees to be engaged in work under the contract and if such work is sublet, the contract shall require the subcontractor to provide Workmen Compensation and Employer s Liability Insurance for all of the latter employees to be engaged in such work. The City of Syracuse, the Joint Schools Construction Board and the Syracuse City School District must be named as additionally insured. The Consultant shall secure, at its expense, a professional liability insurance policy with contractual liability coverage. The insurance shall be in the minimum amount of $2,000, per claim and $2,000, as the aggregate limit of liability. Page 2

6 INDEMNIFICATION The successful Proposer shall defend, indemnify and save harmless the City of Syracuse, its officers and employees, the JSCB, and the Syracuse City School District, its employees and agents from and against all claims, damages, losses and expenses (including without limitations, reasonable attorneys fees) arising out of, or in consequence of, any negligent or intentional act or omission of the successful Proposer, its employees or agents, to the extent of its or their responsibility for such claims, damages, losses and expenses. CONSULTANT EMPLOYEE IDENTIFICATION All employees servicing this account are to carry company issued photo identification that will easily and clearly identify the employee(s) while on property or facilities. All employees will be required to comply with single point of entry and other security measures that may be in place during the contract period which may include, but is not limited to, sign in and verification of photo ID s. Proposers are required to submit with their proposal a copy of their corporate policy employee photo identification cards. SUPERVISION AND SUPPORT PERSONNEL Proposers are required to furnish their recommended in-depth schedule for supervision of all employees engaged in servicing this account. Proposers are required to furnish a list of all vehicles to be used during this contract and be able to maintain and update this list throughout the contract period or any and all extensions. MINIMUM QUALIFICATIONS The vendor will be regularly engaged in the provision of services as described in the RFP and will comply with and meet or exceed all requirements of the New York State and the Federal Laws as it pertains to MWBE Compliance monitoring. The vendor selected shall comply with the terms and conditions of any contract resulting from this Request for Proposal and continue to maintain the quality of services for the duration of this contract. TERM OF CONTRACT The Contract shall be awarded for a three (3) year term with the right of the JSCB to renew for one (1) additional two (2) year term upon approval of the Joint School Construction Board. The JSCB does not guarantee any minimum level of work as all work done under this contract will be subject to the availability of sufficient funds for the implementation of Phase 2. Page 3

7 INFORMATION REQUEST Provide the specific Proposal exhibit materials outlined in this section. Present all materials, in order, using the subsequent designations used herein. Number all sheets in sequence. Materials provided should be relevant and brief. Although consultant selection will be qualifications based, a Billing Rate Schedule must be submitted. 1. PRELIMINARY PAGES: a. Cover Letter b. Title Page i. Submittal Title ii. Submitting firm s name, address, phone number and address. iii. Submittal due date c. Table of Contents d. Executive Summary 2. FIRM QUALIFICATIONS AND PROJECT STAFFING: a. Background of Firm: Provide a brief description of the firm, the history, a list of personnel and a list of specific areas/services of expertise, professional licenses and/or certifications in the subject scope of work. b. Project Team: Provide the names and resumes of all anticipated key professionals within the lead firm, and in sub-consultant firms assigned to the project and briefly state their anticipated responsibilities. Identify the project manager or lead person who will serve as the JSCB point of contact. c. Client References: Provide at least three (3) references for similar services rendered to other municipalities. Include scope, client longevity and specific service descriptions. Provide the name and phone number of the responsible owner s representative you worked with. d. Work for the City of Syracuse or Syracuse City School District (SCSD): Provide information, such as a project name, date, size, etc., on all projects started (not only completed) for either the City of Syracuse or the SCSD in the last (10) years. e. Professional Capability: Provide briefly, evidence of the firm s demonstrated ability and capacity to perform and complete this type of work in a professional, competent, and timely manner. Address issues including the following: i. Financial stability; Page 4

8 ii. Knowledge and depth of experience conducting minority and women owned business enterprise (MWBE) utilization compliance monitoring for public contracts; iii. Demonstrated familiarity with all rules, laws and regulations pertaining to affirmative action and equal opportunity hiring; iv. Ability to adequately provide staff to meet consultant responsibilities identified in the scope of services within the duration of the project term; v. Ability to provide services that meets the users end needs; and vi. Ability to meet or exceed MWBE, EEO Goals vii. Ability to implement an efficient process of MWBE and EEO related data collection, retention and reporting. viii. Ability to meet appropriate public-relations needs including provisions of informational presentations for, and elicitation feedback from, the following: school and facilities staff, students, community residents, SCSD and City of Syracuse governing groups, and JSCB. Provide examples from recent projects using staff that will be available to the firm for these services. f. Scope of Project: Provide complete detail of activities to support scope of project. 3. PROJECT APPROACH: a. Work Coordination: Briefly describe the firm s approach to planning, organizing, scheduling and managing daily work activities. Include strategies for maximizing the effectiveness and efficiency of the following: 4. BILLING RATES: i. Communications ii. Problem-identification and problem-solving iii. Compliance and EEO monitoring iv. Reporting v. Schedule control vi. Data quality control a. The consultant (including all sub consultants) shall include in their proposal a Billing Rate Schedule to be used for work scope. Prime consultants shall include any markup (if any) to be billed for work performed by sub consultants. The detailed hourly billing rate schedule should include the following: i. The rate per hour by job category (such as compliance management, site review, data collection, reporting, etc.); ii. Breakdown of job task assigned to each category; iii. Overhead and profit should not be pre calculated into hourly cost; overhead cost and profit should be shown as a multiplier; Page 5

9 iv. A list of direct expenses (such as mileage, photocopying, other direct costs, etc.) 5. MISCELLANEOUS: a. Submittal Materials: Provide additional materials, if any, that you feel may be pertinent to the review of your Submittal. Materials should be specifically relevant and kept to a minimum. b. Comments: Provide comments or position statements, if any, on any of the RFP requirements outlined herein. PROJECT BACKGROUND & SCOPE OF SERVICES REQUESTED It is the intention of the Joint School Construction Board to retain an Independent Compliance Officer (ICO) to provide professional services to fulfill daily compliance requirements as needed and when requested by the Joint Schools Construction Board (JSCB). The Independent Compliance Officer (ICO) will be a firm with an in-depth knowledge base and breadth of experience conducting Minority and Women-owned Business Enterprise (MWBE) and Equal Employment Opportunity (EEO) utilization compliance monitoring for public contracts within New York State, including school districts. The ICO shall be familiar with all rules, laws and regulations pertaining to affirmative action and equal opportunity hiring. The ICO shall assist the JSCB with the responsibilities of specific compliance services required for the Joint Schools Construction Project which include: 1. Joint School Construction Board Project Specific Compliance Services: A. Adhere to all Goals and requirements of the Syracuse Joint School Construction Board Program as established in the JSCB Phase 2 Development and Diversification Plan for Workforce and Business (Attachment); B. Monitor all contracts entered into by the JSCB; C. Obtain and maintain records/documentation to confirm prime and/or subcontractor compliance with all requirements contained in the approved utilization plan, for any project; D. Review and approve all MWBE utilization plans, progress reports, final submittals, pay applications and supporting documents to assess compliance requirements; E. Implement an efficient process of MWBE and EEO related data collection, retention and reporting. F. On-site monitoring to confirm compliance of Workforce (EEO) goals and verify reporting. G. Monitor progress towards the achievement of business utilization (MWBE), residency and workforce development (EEO) Project Goals; H. Provide compliance reports to the JSCB on a monthly basis and when requested for each approved project including reports regarding all contractors in non-compliance with any such requirements or goals contained in the approved diversity plan or in violation of any federal, state and local laws, rules or regulations; Page 6

10 I. Work with the JSCB to develop, implement and enforce penalties and/or other action against any contractors for non-compliance with the MWBE/Diversity utilization plan; J. Work jointly with Project and Construction Managers to manage any such project to ensure that any requirements or goals contained in the approved utilization plan are met; K. Prepare annual and other reports as may be specified and required by the JSCB; L. Develop and recommend strategies to create and coordinate efforts to ensure a more diverse workforce for projects approved by the JSCB; and M. Attend all monthly JSCB meetings, on-site project meetings and other meetings as requested to ensure MWBE/Diversity utilization and EEO project compliance requirements are met. N. Work jointly with the Project and Construction Managers to respond to all (FOIL Request) Freedom of Information Law O. Insure that the City s MWBE Compliance Officer receives an original copy of all MWBE and EEO utilization plans and final utilization reports, prior to any contract execution or payment throughout the duration of the JSCB Phase 2 project. P. Work jointly with the City s MWBE Compliance Officer to identify qualified MWBE companies that can be utilized on JSCB Phase 2 project. PROPOSAL AND QUALIFICATIONS REVIEW The JSCB intends to award a contract for this proposal, following the selection of a consultant (proposer) by the JSCB RFP Committee subject to the approval of the JSCB, if it is determined that the contract is in the best interest of the JSCB. Proposals will be reviewed on the basis of capacity, competency, experience and qualifications, billing rate schedule, previous experience working for the City of Syracuse, and ability to perform the services required. The JSCB reserves the right to waive any formalities and to reject or negotiate any and all proposals without assigning any reason. Proposers should be willing and able to provide additional information that may be required by the project RFP committee, including a formal presentation to the project RFP committee. The JSCB reserves the right to reject any and all proposals not deemed to be in the best interest of the JSCB and to reject as informal such proposals, as in her opinion, are incomplete, conditional, obscure, or which contain irregularities of any kind, including unbalanced proposals. By unbalanced proposals, it is meant one in which the amount proposed for one or more separate items is substantially out of line with the current market price. There is no express or implied obligation for the City, the SCSD, or the JSCB to reimburse responding firms for any expenses incurred in preparing proposals, attending pre-proposal conferences, or interview(s) in responding to this request. All proposals will be considered JSCB Page 7

11 property and will not be returned. Incomplete proposals that do not address all of the requested components will not be accepted for review and consideration. Proposals submitted after the stated time and date will not be considered. QUALIFICATIONS & CRITERIA Qualifications will be reviewed based on a variety of criteria to include: 1. The education, experience and expertise of the agency s, individual s, firm s or organization s (hereinafter called the proposer s) principals and key employees, including membership in recognized professional organizations. 2. Capacity of Firm ability to manage and oversee the Phase 2 Diversity Plan requirements for all contractors, suppliers, professional service firms and other businesses providing goods or services directly with a JSCB. The Program is anticipated to renovate 14 buildings in the two construction phases, with a program total not to exceed $300 Million. The Construction contracts are estimated to have a value of $225 Million. 3. Availability of adequate personnel, equipment and other resources to perform the required work expeditiously. 4. The names of individuals in the proposing organization who will be assigned key project responsibilities, including the person who will be responsible for direct supervision and project review of work performed by other staff members. Particular attention will be paid to their qualifications, competence and past performance. 5. The proposer s specific experience, stability and history of performance on types of projects similar in scope, purpose, size and location to those planned by the JSCB. 6. The proposer understanding of the JSCB s needs and an explanation of the proposed approach to typical problems. 7. The proposer s approach to the planning, organizing and management of a project effort, including communications procedures, approach to problem solving, cost estimating, quality improvement program and similar factors. 8. Certified copies of Financial Statement s from last 2 years. 9. Recommendations and opinions of each proposer s previous clients. 10. Billing Rates and Multiplier. Page 8

12 ADDITIONAL INFORMATION & ADDENDA Requests for Clarification or Additional Information concerning this RFP: Requests for clarification or additional information concerning this RFP, must be ed and received by the JSCB Secretary by: Friday, April 10, 2015 at 5:00 pm to: Joseph W. Barry III, Esq. JSCB Secretary Note: All requests for clarification must be sent to the address referenced above. All other communications that are not ed to the above referenced address will not receive a response. Clearly identify each such communication as a Request for Clarifications JSCB Phase 2 RFP for Independent Compliance Services. No other forms of communication will be responded to for RFP clarifications. Addenda (if required) shall address issues deemed relevant and important. An effort shall be made to provide the needed information in a uniform manner, via to all firms expressing intent to respond to this RFP and will also be posted on the JSCB website. STANDARD PROFESSIONAL SERVICE S CONSULTANT S AGREEMENT; After the JSCB approves the selected consultant, an agreement will be drafted which contains the terms of the Consultant s Agreement* (see sample) and incorporates the agreed upon final scope of services, fees, and payment requirements. The selected candidate is expected to enter into the Agreement provided. As a general rule, changes proposed by the Consultant are not accepted and if the consultant has any objections to the contract language, they should be stated as part of and at the time of their response to the RFP, so that the RFP Committee can take any contract issues into account during the deliberation process. Note that unless specifically modified in the Agreement, the Agreement fully incorporates relevant information provided in this Request for Proposals and its Addenda, and in the selected firm s submitted Proposal. * The Corporation Counsel of the City of Syracuse, acting as counsel to the JSCB, reserves the right to make changes at the time the contract is awarded and being drafted for the actual project. All final language is subject to the approval of the Corporation Counsel. PROPOSAL COSTS: The costs for this entire proposal effort shall be borne by the Consultant. The City of Syracuse will not reimburse any firm for any costs associated with this proposal effort. TERMINATION The JSCB reserves the right to terminate the contract, or any part of this contract with thirty (30) days written notice by the JSCB Secretary or Corporation Counsel. Page 9

13 UNBALANCED PROPOSALS The JSCB, reserves the right to reject any and all proposals not deemed in the best interest of the JSCB and to reject as informal such proposals, as in the JSCB s opinion, are incomplete, conditional, obscure, or which contain irregularities of any kind, including an unbalanced proposal. By an unbalanced proposal, it is meant one in which the amount proposed for one or more separate items is substantially out of line with the current market price. An agreement shall be entered into between the JSCB and the successful respondent following the approval of the JSCB. BUDGETARY FUNDING It is understood by and between the parties hereto that this contract shall be deemed executory only to the extent of the monies appropriated and available for the purpose of this contract and no liability on account thereof shall be incurred by the JSCB beyond monies appropriated and available for the purpose thereof. AWARD The JSCB may award a contract, following the required Approvals, if it determines such contract is in the best interest of the Joint School Construction Program. SUBMISSION REQUIREMENTS Contact Information - Provide the complete name, address, and telephone numbers of the individual who is proposed to be the Consultant s project manager and primary communications contact for this project. Also provide firm name, address, and phone numbers for each of the sub-consultants, if any. Time Schedule - Please provide a proposed schedule, in simple outline form, indicating the date your firm is available to start the required work and potential dates for completion of each of the tasks described. Also indicate how your approach and project-staffing plan will result in compliance with the schedule requirements. Compensation - Provide the fee proposal and task man-hour breakdown required to meet the proposed project. PROFESSIONAL REFERENCES: The proposer must provide three (3) professional references, including name, organization, and phone number and address. RFP - CANCELLATION/POSTPONEMENT: The JSCB reserves the right to cancel or postpone this Request for Qualifications/Proposals at any time without penalty. Page 10

14 PROPOSAL DUE DATE To be considered all responses to this RFP must be submitted by hardcopy no later than 2:30 P.M. Thursday April 30, Label the outside of the Proposal envelope with the submitting firm's name and address, and label as either original or copy, as requested below. In addition mark the sealed envelope INDEPENDENT COMPLIANCE SERVICES FOR THE CITY OF SYRACUSE JOINT SCHOOLS CONSTRUCTION BOARD REFERENCE # The submittal envelope shall contain one (1) original paper Proposal and seven (7) additional paper copies of the Proposal. NOTICE TO RESPONDENTS EXCEPTIONS & DOCUMENT RETENTION Please retain a copy of this complete document for your records. This is the only copy you will receive. You will be forwarded notice of the awarded items only. The JSCB reserves the right to waive any formalities and to reject or negotiate any and all proposals without assigning any reason. Please be advised that any exceptions to these specifications may be cause for your proposal to be disqualified. Any and all exceptions to this specification must be clearly and completely indicated. Attach additional pages if necessary. Page 11

15 PROFESSIONAL REFERENCES: The proposer must provide three (3) professional references, including name, organization, and phone number and address. PROPOSER S NAME AND ADDRESS NAME ADDRESS TELEPHONE # FAX# CONTACT PERSON NAME ADDRESS TELEPHONE # FAX# CONTACT PERSON NAME ADDRESS TELEPHONE # FAX# CONTACT PERSON Page 12

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23 Development and Diversification Plan for Workforce and Business JSCB Resolution No Appendix A (Final as Amended by Board) September 25, 2014 Phase II - Development and Diversification Plan for Workforce & Business 1 P a g e

24 Development and Diversification Plan for Workforce and Business Introduction The Joint Schools Construction Board ( JSCB or Board ) acting as the authorized agent of the City of Syracuse and the Syracuse City School District ( SCSD ) recognizes the need to take action to ensure that minority and womenowned business enterprises and minority ( MBE, WBE, M/WBE ) and women employees are given the opportunity to participate in the performance of the contracts issued by the Board. The Board recognizes that this opportunity for the participation in our free enterprise system by persons traditionally, socially and economically disadvantaged is essential to obtain social and economic equality. In addition, the JSCB has been authorized by New York State (Chp. 58 of the laws of 2006 as amended) to develop and adopt a Diversity Plan. Accordingly, the Board fosters and promotes the participation of such individuals and business firms in all contracts with the Board and sets forth this initiative (the Plan ). The Board envisions the participation goals increasing as capacity increases and plans to; a. Develop strategies that will create and coordinate efforts to ensure a more diverse workforce for the projects as well as ensure the participation of minority and women owned business enterprises; b. Address accountability for attainment of the diversity goals providing a description of the forms of monitoring that will be used, and how such information will be communicated to the public and most importantly to potential participants. The finalization and implementation of this Plan prior to any start of construction on the program will result in an effective process for increasing the purchase of goods and services from minority and women owned businesses. It will also provide for coordination of local workforce development programs to ensure local capacity for the new job opportunities for minority and women workers that will be created through the program. Goals of the Syracuse Joint Schools Construction Project a. Renovate existing schools to create learning environments that are at the forefront of educational design and that deliver the flexible spaces, instructional technology and social support necessary to enhance student achievement equal to or exceeding the New York State Regents standards. b. Renovate existing schools such that the quality of facilities district-wide is equitable and such that the quality of facilities is equal to or superior to those of any other school district in the state. c. Develop shared facilities for educational, public safety, health, social support, and recreational purposes. d. Maximize the economic benefit from school construction and reconstruction to neighborhood development and economic revitalization throughout the City. e. Assist the Syracuse City School District, local labor, government, and not-for-profit agencies to develop, recruit and train a new diverse workforce. 2 P a g e

25 Development and Diversification Plan for Workforce and Business f. Encourage, assist and sustain business development of underrepresented populations (i.e. people of color and women) and maximize the use of Syracuse based labor and local professional and construction-related business enterprises through a progressive and comprehensive Workforce and Business Diversification Plan. g. Identify and utilize innovative financing techniques to provide sources for the local share that portion of the cost that is not reimbursable under this project s State Educational Department (SED) reimbursement formula and to minimize (i) the local share of the costs of the program, (ii) debt incurred by the City for the program and (iii) net debt service and operation and maintenance costs. h. Find creative solutions to interim school space during project build-out in a manner that minimizes disruption to existing school operations and classroom instruction. MBE & WBE Meaningful Participation The actual services provided by the MBE or WBE must be essential in the performance of the scope of work for the applicable contract. Utilization of a certified MBE or WBE as a conduit or pass through for participation credit is strictly prohibited. It is the discretion of the JSCB to determine whether services are essential in the performance of the scope of work and offer a determination of the appropriateness of work allowed for lower tier subcontracting in accordance with practices generally accepted in the construction industry. The services the MBE or WBE will provide must be among those explicitly identified in the profile of a firm as listed in the City of Syracuse Directory of Certified M/WBEs. Firms submitted or who participate in the project outside of these conditions and without specific prior approval by the JSCB will not be credited toward the MWBE Utilization Plan and goals for the contract. Workforce Development and Diversification Principles and Rules One of the principal goals of this Plan is to support workforce development and diversification opportunities that can be created by the Program. This Diversity Plan acknowledges the diverse community of the City Syracuse. It also provides an opportunity to create an environment that engages and encourages the participation of this community. It also acknowledges the historical disparity experienced by M/WBE and workforce labor in gaining access to participate in projects. Following is the statement of these principles. 1.) The Program envisions the use of a workforce reflective of the City s population and diversity. Where qualified workers are not available from the local workforce, the Program will coordinate with local workforce training and development programs to develop new capacity. The multi-year duration of the Project provides the opportunity for planned development of a workforce, which meets this diversity objective. 2.) The capital investment represented by the Syracuse Schools Construction Program (the Program ) requires development of a workforce reflective of the City s population and diversity. 3 P a g e

26 Development and Diversification Plan for Workforce and Business 3.) In order to achieve the development of a diverse workforce for the Program, the Program Manager and/or Prime Contractor(s) shall assist the Independent Compliance Officer (ICO) in overseeing, facilitating, developing, and/or implementing the following: a. A community wide public relations campaign to provide specific information about the Program s employment opportunities, referral and training programs. b. A methodology which assists contractors, suppliers, professional service firms, or any other businesses providing goods and services to the Program to effectuate the workforce diversity goals of the Program and the minimum standards to be attained when providing such goods and services to the Program. All contracts shall include remedies and sanctions for noncompliance and identify a means by which inquiries and disputes about the Program requirement may be addressed. c. An independent compliance program which monitors performance of contractors, suppliers, and professional service firms. d. Regular monthly reporting process to the Board setting forth the results of all employment and compliance activity and dispute resolution activities. I. Workforce Development and Diversification Rules 1.) All contractors, suppliers, professional service firms or other businesses providing goods or services with a JSCB contract of $50,000 or more shall comply with the workforce diversity rules set forth in Section II below. In the case of a contract award where compliance cannot be achieved through no fault and/or by act of omission of the contractor and/or vendor, the party required to comply with the workforce diversification rules shall present a plan to meet the goals of the Project in an alternative manner acceptable to the JSCB. In such case, the alternative plan shall be reviewed by the City's Compliance Officer (CCO) and ICO then submitted to the JSCB for approval or rejection. Within 10 workdays of submittal of the alternative plan, the ICO will review any documented evidence of good faith efforts to meet the original goals and determine whether the alternative plan does or does not meet the intent and goals of the Program and will notify the contractor or vendor of the findings. 2.) In order to achieve the workforce diversification goals of the Program, each contractor, supplier, professional service firm or other business providing goods or services shall strive to and use best efforts to ensure that the workforce it engages to perform work for the Program shall demonstrate, in terms of the percentage of actual hours worked under the contract and/or contract as amended, participation rates as follows: a. Minority Workforce: 10% of project personnel hours including skilled trade s people, journeymen, apprentices, and supervisory staff. b. Female Workforce: 10% of project personnel hours including skilled trade s people, journeymen, apprentices, and supervisory staff. c. Each contractor, supplier, professional service provider, or other business providing goods and services shall strive to maximize the use of Syracuse based labor, contractors, suppliers, and service providers. d. Workforce Limits: Only 25% of project personnel hours can be counted toward the EEO goal through the utilization of clerical back office or support staff. e. Residency Goal: 20% of project personnel hours for professional service firms or construction contractors retained by the JSCB, shall be met, if possible, through the hiring of residents of the City of Syracuse as defined by Postal Zip Code. This includes a minimum 2% of project 4 P a g e

27 Development and Diversification Plan for Workforce and Business personnel hours, including skilled trades people, journeymen, apprentices and supervisory staff for current or former SCSD students. 3.) In order to achieve such development and diversification in its workforce, each contractor, supplier, professional service firm or other business providing goods or services shall: a. Provide the ICO with a monthly workforce & census and other employment and certified payroll records necessary to verify achievement of the workforce diversity goals and demonstrate compliance with the minimum standards. Employee (EEO) zip code information must be listed on monthly EEO report. b. Provide on demand access and cooperation to the ICO to review records on site and/or at work site premises to validate workforce participation. This may include unannounced visits and on the spot interviews that the ICO and its inspectors may hold with workers at the job site or at off site work premises to verify their work status and claimed job classifications. c. With bid submission, present a proposed written recruiting program directed at attracting candidates to fill positions of employment in order to meet such requirements. d. With bid submission, provide a statement committing to training or participation in training programs provided by third parties to train new employees in meaningful ways to succeed in their employment opportunities and to promote long term employment within the industry or profession. 4.) In the event the prime contractor, supplier, professional service firm or other business providing goods or services fails to maintain minority/women workforce goals through the duration of the project on their contract or purchase order, the ICO can and shall exercise in a timely manner one or more of the following remedies. Summon the contractor, supplier, professional service firm or other businesses providing goods or services to appear before a JSCB selected hearing panel. The hearing shall be held within ten (10) business days of the notice of non compliance by the ICO. After the contractor has had such a hearing the Board may elect to: a. Withhold payment of any amounts due on the disputed item pending resolution of the noncompliance issue. b. Assess liquidated damages in an amount equal to the dollar value that would have been realized if the minority/women workforce goals would have been met. c. Withhold, suspend, cancel or terminate the contract or purchase order. d. Identify such contractor as a non responsive bidder for future contracts within the Program. (Requires approval by full Board.) e. All of the mentioned penalties would be upon a prime contractor, supplier, and professional service firm or other business providing goods or services to the JSCB who failed to comply with approved utilization plan submitted with its bid for contracts. Business Development and Diversification Principles and Rules The other major goal of this Plan is to provide for business development opportunities and participation in the 5 P a g e

28 Development and Diversification Plan for Workforce and Business Program by minority owned and women owned businesses. Following are the principles associated with the implementation of that part of the Plan: I. Business Development Principles 1.) The capital investment represented by the Syracuse Schools Construction Program creates a unique opportunity for participation of minority owned and women owned business enterprises. To ensure that contracts for goods and services are placed with qualified minority and women owned business enterprises, the Program Manager will oversee, facilitate, develop and/or assist the ICO in implementing the following: a. Identify City of Syracuse certified MBE and WBE firms available to provide goods and services to the Program and to create a reference list for all Program participants. b. Identify City of Syracuse firms that could/can be certified as MBE or WBE. c. Ensure that contractors and suppliers divide the goods or services to be provided into Scopes, where economically and technically feasible, to create opportunities for participation. d. Coordinate activities and services with organizations such as chambers of commerce, trade groups, and community based groups/organizations that promote MBE and WBE interests. e. Create opportunities for mentoring less experienced and/or start up M/WBE s. f. Encourage the formation of joint ventures, partnerships, or other similar arrangements where feasible to provide for greater opportunity for MWBE owned firms to participate in the Program. g. Develop a methodology that assists contractors, suppliers, professional service firms, or any other business providing goods or services to the Program to effectuate the business development and diversification goals of the project and the minimum standards to be attained when providing such goods and services to the project. All contracts shall include remedies and sanctions for non compliance and identify a means by which inquiries and disputes about the project requirements may be addressed. 2.) All contractors, suppliers, professional service firms or other businesses providing goods or services shall comply with the business development and diversification rules set forth in Section II below. In the case of a contract award where compliance cannot be achieved through no fault and/or by act of omission of the contractor, the party required to comply with the workforce diversification rules shall present a plan to meet the goals of the project in an alternative manner acceptable to the JSCB. In order to present an alternative plan for meeting Diversification goals, written evidence must be presented that good faith efforts were made to secure the services of under represented workers and businesses. In such case, the Alternative plan shall be submitted to the ICO. Review of the alternative plan and a decision of acceptance or rejection will be made by the JSCB in consultation with the ICO within 20 work days of submittal. In the event a hearing is necessary, a JSCB Hearing Committee will be established by the Board. A decision will be made by the JSCB within 10 days of such a hearing. 6 P a g e

29 Development and Diversification Plan for Workforce and Business II. Business Development and Diversification Rules 1.) In order to achieve the Business Development goals of the Program, each contractor, supplier, professional service firm or other business providing goods or services with a Board contract of $50,000 or more shall strive to and use good faith efforts to engage disadvantaged, or woman owned business to provide for the following: 7 P a g e a. MBE: 12% of each contract or purchase order b. WBE: 8% of each contract or purchase order c. Change Orders: The above mentioned goals shall apply to any change order issued during the project. 2.) The value of the work procured from certified MBEs and WBEs to accomplish these goals shall be determined as follows: a. The dollar value of the work contracted to MBEs and WBEs through a purchase order, less any portion of that value paid by the MBE or WBE to any non MBE or non WBE manufacturer or producer to provide such goods and services as a subcontractor or sub supplier to the MBE/WBE. b. The full dollar value of a sub contract with all M/WBE firms will be counted toward the diversification goals of the project. c. In the instance of a joint venture, the percentage of the joint venture s profits (or losses) that are to accrue to the MBE or WBE joint venture partner. 3.) In the case of a certified minority or women owned supplier that is in the business of supplying goods and materials by maintaining accounts with product manufacturers, paying for goods and materials directly, warehouses goods and materials, provide shipping and handling, and conducts its business as an industry supplier and not a broker, the full value of such contract or purchase order shall meet the project goals. Broker participation will not be counted on this project and will not count toward the Prime Contractors diversity goals. 4.) Each contractor, supplier, professional service firm or other business providing goods or services shall solicit bids for subcontractors and suppliers from certified MBE and WBEs including circulation of solicitations to minority contractors, suppliers, trade associations and/or employment and business advocacy groups/organizations. When evaluating bids and/or proposals received, each contractor, supplier, or professional service firm shall act in good faith and shall exercise good faith efforts to assist M/WBE firms to secure such work. 5.) To be deemed an MBE or WBE a certificate and/or letter from the city of Syracuse so designating such must be presented prior to contract award. Failure to produce an authentic certificate/letter will result in the firm not receiving an MBE or WBE designation for the project, thereby jeopardizing compliance with diversification goals. 6.) MBE and WBE designations are honored only for the area/component for which the designation has been provided by an authorizing agent.

30 Development and Diversification Plan for Workforce and Business 7.) The City of Syracuse is the authorizing agent for MBE and WBE designations. The JSCB reserves the right to revise the Diversity Plan once the goals of 12% MBE participation and 8% WBE participation are met through City certified firms. 8.) Each prime contractor, supplier, professional service firm, or other business providing goods or services under a contract with the JSCB shall provide the City's Compliance Officer (CCO) & ICO with a monthly report demonstrating compliance with the Business Development and Diversification Rules. Initially, in order to obtain certification of any claims for participation, the information submitted must include a signed contract or purchase order that the contractor, supplier, or professional service firm or business has finalized with the certified MBE or WBE firm specifying the level of participation along with the up to date certification information on the listed firm. During the term of the contract or purchase order, the contractor, supplier, or professional services firm will need to submit periodic reports to verify the continued participation and final percentage participation of the certified firms. This verification should include monthly payment records, any change orders with the certified contractor and any other supporting data required by the City's Compliance Officer & ICO to verify the claimed level of participation by the certified firms. 9.) In the event the prime contractor, supplier, and professional service firm or other business providing goods or service fails to submit the information listed in Paragraph 5 to verify participation or achieve the stated MBE and WBE goals through the duration of the contract or purchase order the City's Compliance Officer & ICO may exercise one or more of the following remedies. Summon the contractor, supplier or professional service firm or other business providing goods or services to appear before a JSCB selected hearing panel designated by the Board. The hearing shall be held within ten (10) business days of the notice of non compliance by the ICO. After the contractor has had such a hearing the Board may elect to; a. Withhold payment of amounts due pending resolution. b. Assess liquidated damages in an amount equal to the contract dollar value that has not been successfully contracted to meet the MBE or WBE goals. c. Withhold, suspend, cancel or terminate the contract or purchase order. d. Identify such firm as a non responsive bidder for future contract bids on the Program. e. All of the above mentioned penalties would be upon a prime contractor, supplier, and professional service firm or other business providing goods or services to the JSCB who failed to comply with approved utilization plan submitted with its bid for contracts. 8 P a g e