PROPOSER: KEOLIS DATE: 8-26-13 OVERALL RATING: ACCEPTABLE NARRATIVE SUMMARY: Proposer has submitted an accep Disadvantaged Business Enterprise Plan and Program which complies with goals and programs. Proposer has also submitted creative and innovative solutions to achieve the goals outlined in the DBE plan and maintain an increase compliance through community outreach, mentoring, financial assistance, training and soliciting feedback on performance. 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
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 below as one of the following: (i) Exceptional; (ii) Good; (iii) ; (iv) Potential to Become ; or (v) Unaccep. 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 accep 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 accep 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
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 accep or better Proposal. 5) A rating of Unaccep is appropriate if the Proposer has demonstrated an approach that indicates significant weaknesses and/or unaccep 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 column. The column identifies relevant sections of (Operations and Management Proposal Instructions) to the Instructions to Proposers. 3
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 ); Proposer has submitted an accep proposal outlining strategies for contracting with DBEs effectively and monitoring performance and effective reporting through the duration of the contract. Proposer has also established position of DBE Liason Officer and how that position will perform outreach and handle other issues involving prospective DBEs. Proposer has also outlined " good faith effort" procedures and has committed to assisting DBEs with assistance in overcoming barriers related to financing. 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, 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 "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. 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 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 Proposer has submitted a plan which reflects a willingness to partner with and encourage business relationships with DBE firms.
DBEs for this project. 3. B 11.2(B) A DBE Utilization Certificate that includes the following components: Proposer has provided appropriate documentation with all necessary information contained therein. 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); 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 time for the performance or delivery of the contract item(s); and 4. Other information as required by the
DBE Participation Schedule. 4. B 11.2(C) A completed original DBE Letter of Intent signed bv each DBE listed in the DBE Participation Schedule. Proposer has submitted required documentation. 5. B 11.2(D) A copy of the most recent certification letter or document of each DBE listed in the DBE Participation Schedule. Proposer has submitted required documentation 6. B 11.2(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. Proposer has submitted required documentation 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 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; Proposer has provided satisfactory documentation demonstrating good faith efforts to solicit and contract with DBEs. Proposer has also conducted two outreach sessions for the benefit of DBEs to explain opportunities that may be available in this contract. Proposer has also arranged DBE community information sessions and advertisements and information sharing in the DBE/MBE community. Also collaborated with ODCR/SDO to arrange for outreach to DBEs.
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; 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; 5. Providing interested DBEs with adequate information about the Contract in a timely manner to assist DBEs in responding to a solicitation; 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 in obtaining necessary equipment, supplies, materials or related assistance or services; and 9. Effectively using the services of available minority/women community organizations; minority/women 10
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. Proposer has submitted innovative ideas such as creating and publishing a Joint Business Guide, making training available to DBEs, unbundling larger projects and providing information on prime subcontractors. Best practices submitted include keeping a running tally of actual payments to DBE firms, ensuring work committed to DBEs is actually performed by DBEs and encouraging the use of DBE financial institutions. #12 #25368512 vl 11