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TRAINING SERVICES ITQ

CONTRACT 4400008567

REQUEST FOR QUOTATIONS FOR

ON THE JOB TRAINING SUPPORTIVE SERVICES

ISSUING OFFICE

PENNSYLVANIA DEPARTMENT OF TRANSPORTATION BUREAU OF OFFICE SERVICES

COMMONWEALTH KEYSTONE BUILDING 400 NORTH STREET, 5TH FLOOR

HARRISBURG, PENNSYLVANIA 17120-0041

RFQ NUMBER

6100040924

DATE OF ISSUANCE

February 15, 2017 This is a restricted solicitation under the Training Services, Invitation to Qualify (ITQ), - Contract # 4400008567. Only those contractors qualified in the following service category(s) under Contract # 4400008567 may submit a proposal in response to this RFQ. Personnel – Specialized Highway Related Training

For more information about the Training Services ITQ, please click on the following link. http://www.dgs.internet.state.pa.us/ITQ/Default.aspx

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REQUEST FOR QUOTES FOR

ON THE JOB TRAINING SUPPORTIVE SERVICES

RFQ NUMBER 6100040924

TABLE OF CONTENTS CALENDAR OF EVENTS iii Part I—GENERAL INFORMATION 1 Part II—CRITERIA FOR SELECTION 8 Part III—TECHNICAL SUBMITTAL 12 Part IV – COST SUBMITTAL 35 Part V– SMALL DIVERSE BUSINESS AND SMALL BUSINESS PARTICIPATION SUBMITTAL 36

APPENDICES

APPENDIX A PROPOSAL COVER SHEET APPENDIX B DOMESTIC WORKFORCE UTILIZATION CERTIFICATION APPENDIX C TRADE SECRET CONFIDENTIAL PROPRIETARY

INFORMATION NOTICE FORM APPENDIX D COST SUBMITTAL APPENDIX E SMALL DIVERSE BUSINESS AND SMALL BUSINESS

PARTICIPATION SUBMITTAL FORM APPENDIX F SMALL DIVERSE AND SMALL BUSINESS LETTER OF INTENT APPENDIX G MODEL FORM OF SMALL DIVERSE BUSINESS AND SMALL

BUSINESS SUBCONTRACT AGREEMENT APPENDIX H OS-501 CONFIRMATION OF SERVICES APPENDIX I OJT/SS INFORMATIONAL/MARKETING BROCHURE (PUB 733) APPENDIX J SAMPLE OF FORMS EO-363, 364, 365 APPENDIX K SAMPLE CONFIDENTIAL TRAINEE ORIENTATION

QUESTIONS APPENDIX L PENNDOT’S ON-THE-JOB TRAINING (OJT) PROGRAM –

PROCEDURES-PROCESSES-FORMS APPENDIX M MONTHLY INTERVIEW REPORT APPENDIX N SAMPLE CONFIDENTIAL EXIT INTERVIEW SURVEY FORM APPENDIX O SAMPLE GRADUATE TRAINEE SURVEY APPENDIX P IT CONTRACT TERMS & CONDITIONS

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CALENDAR OF EVENTS

The Commonwealth will make every effort to adhere to the following schedule:

Activity Responsibility Date

Deadline to submit Questions via email to mailto:PDRFPQuestions@pa.gov. Contractors Wednesday,

February 22, 2017

Answers to Potential Contractor questions posted to eMarketplace at http://www.emarketplace.state.pa.us/Search.aspx no later than this date.

Issuing Office Tuesday, February 28, 2017

Please monitor website for all communications regarding the RFQ. Contractors Regularly until

Proposal Due Date

Sealed proposal must be received by the Issuing Office at Pennsylvania Department of Transportation Bureau of Office Services ATTN: Holly Zeiders, Issuing Officer Keystone Building 400 North Street, 5th Floor Harrisburg, PA 17120-0041 Note: Due to increased security requirements in the

Commonwealth’s mail processing operations, all incoming mail to the Keystone Building is routed, scanned and sorted at an off-site location prior to delivery. This includes overnight deliveries. Be aware when submitting bid documents via overnight delivery services, there is no guarantee that the bid documents will be received in the Issuing office when required. Bids which are received late will be rejected regardless of the reason for late arrival. Contractors are advised to allow extra time to ensure timely delivery.

Contractors Wednesday,

March 8, 2017 12:00 PM

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PART I

GENERAL INFORMATION I-1. Purpose. This Request for Quotes (RFQ) provides to those interested in submitting proposals for the

subject procurement (“Contractors”) sufficient information to enable them to prepare and submit proposals for the Pennsylvania Department of Transportation (“PennDOT’s”) consideration on behalf of the Commonwealth of Pennsylvania (“Commonwealth”) to satisfy a need for On the Job Training Supportive Services (“Project”). This RFQ contains instructions governing the requested proposals, including the requirements for the information and material to be included; a description of the service to be provided; requirements which Contractors must meet to be eligible for consideration; general evaluation criteria; and other requirements specific to this RFQ.

I-2. Issuing Office. The Department of Transportation (“Issuing Office”) has issued this RFQ on behalf

of the Commonwealth. The sole point of contact in the Commonwealth for this RFQ shall be Holly Zeiders; Issuing Officer, 400 North Street, 5th Floor, Harrisburg, PA 17120; hzeiders@pa.gov, the Issuing Officer for this RFQ. Please refer all inquiries to the Issuing Officer.

I-3. Overview of Project. As part of PennDOT’s equal employment opportunity affirmative action program

it is the policy of PennDOT to afford equal opportunity in employment to traditionally, socially and economically disadvantaged (disadvantaged) persons by providing on-the-job training opportunities to minorities, women and disadvantaged persons to improve their potential for employment in the highway construction industry. PennDOT, therefore, assigns training as a contract requirement on select federal, federal-aid and 100% state-funded highway construction project contracts in the form of a Training Special Provision (TSP). The training of minorities, women and disadvantaged persons toward “journeyperson” status is a primary objective of this TSP. This training commitment is not intended, and shall not be used, to discriminate against any applicant for training, whether the trainee is a member of a minority group or not.

A “journeyperson” is defined as a skilled worker who practices some trade or handicraft who has fully served an apprenticeship (or achieved an experienced skill level) in that trade or handicraft and is a qualified worker in another’s employ. An apprenticeship typically requires the completion of a minimum of 4,000 hours of on-the-job training, in addition to classroom training, in their selected trade or handicraft.

The selected Contractor’s On-the-Job Training Supportive Services (OJT/SS) Field Counselor will help to identify and address issues including, but not limited to:

a.) Barriers that can hinder the completion of the training. b.) Inadequate working conditions. c.) Conditions unique to the highway construction industry. d.) Clothing requirements. e.) Perceived and/or alleged discrimination. f.) Pay rates. g.) Overtime issues. h.) Seasonal Job/Unemployment Compensation. i.) Safety.

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The selected Contractor’s OJT/SS Field Counselors will provide counseling services to trainees in an effort to help them to overcome fears and problems encountered on the job and to clarify who the trainees should contact if and/or when they require assistance. Field Counselors will also ensure that the trainee has received a copy of their OJT training program outline and required OJT program forms. The selected Contractor will be assigned reporting requirements pursuant to which PennDOT will receive monthly, quarterly and year-end reports containing sufficient statistical data and narrative content to enable the evaluation of the trainees’ progress, problems and performance outcomes. The OJT/SS Field Counselors need to be accessible and able to interact with PennDOT and the OJT Program Administrator; as such they will need laptops and/or smart phones.

I-4. Objectives.

A. General. The Pennsylvania Department of Transportation (PennDOT) is seeking a qualified Contractor to develop, implement and maintain an effective “On-The-Job-Training Supportive Services program (OJT/SS)” in support of the requirements set forth by Title 23 of the Code of Federal Regulations.

Title 23 of the Code of Federal Regulations requires that PennDOT, as recipients of Federal funds, establish procedures for providing supportive services in support of training programs approved under a directive entitled “Equal Employment Opportunity on Federal and Federal-Aid Construction Contracts (Including Supportive Services).” For the purpose of this document, both non-union trainees and union Apprentices will be referred to as “trainees.”

B. Specific. The intent of this RFQ is to identify a Contractor who can provide OJT/SS that will help to increase the effectiveness of approved training programs; and to encourage a learning environment; and maintain the enthusiasm and motivational level of the trainees. All of which are needed for them to succeed in this industry. The awarded Contractor will be responsible for providing supportive services that address barriers that hinder the completion of effective highway construction training on select federal and/or state funded highway construction projects that have been assigned Training Special Provisions (TSPs) which allow for trainees on the project. The Contractor will identify and address barriers through the development of a thorough trainee orientation; conducting trainee counseling sessions; development, issuance and tracking of surveys given to training graduates; use of a detailed program information database; reporting requirement; and various outreach activities.

The average training time per trainee is approximately 22.5 weeks to complete the required 1,000 hours of training.

I-5. Pre-proposal Conference. There will be no Pre-proposal Conference for this RFQ. If there are any questions, please forward them to the Issuing Officer in accordance with Section I-6.

I-6. Questions & Answers. If a Contractor has any questions regarding this RFQ, the Contractor must

submit the questions by email (with the subject line “RFQ 6100040924 Question”) to the Issuing Officer named in Part I, Section I-2 of the RFQ. If the Contractor has questions, they must be submitted via email no later than the date indicated on the Calendar of Events. The Contractor shall not attempt to contact the Issuing Officer by any other means. The Issuing Officer shall post the answers to the questions to eMarketplace at http://www.emarketplace.state.pa.us/Search.aspx by the

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date stated on the Calendar of Events. A Contractor who submits a question after the deadline date for receipt of questions indicated on the Calendar of Events assumes the risk that its proposal will not be responsive or competitive because the Commonwealth is not able to respond before the proposal receipt date or in sufficient time for the Contractor to prepare a responsive or competitive proposal. When submitted after the deadline date for receipt of questions indicated on the Calendar of Events, the Issuing Officer may respond to questions of an administrative nature by directing the questioning Contractor to specific provisions in the RFQ. To the extent that the Issuing Office decides to respond to a non-administrative question after the deadline date for receipt of questions indicated on the Calendar of Events, the answer must be provided to all Contractors through an addendum.

All questions and responses as posted on eMarketplace are considered as an addendum to, and part of, this RFQ in accordance with RFQ, Part I, Section I-7. Each Contractor shall be responsible to monitor eMarketplace for new or revised RFQ information. The Issuing Office shall not be bound by any verbal information nor shall it be bound by any written information that is not either contained within the RFQ or formally issued as an addendum by the Issuing Office.

I-7. Addenda to the RFQ. If the Issuing Office deems it necessary to revise any part of this RFQ before the

proposal response date, the Issuing Office will post an addendum to eMarketplace at http://www.emarketplace.state.pa.us/Search.aspx. It is the Contractor’s responsibility to periodically check eMarketplace for any new information or addenda to the RFQ. Answers to the questions asked during the Questions & Answers period will be posted to eMarketplace as an addendum to the RFQ.

I-8. Electronic Version of RFQ. This RFQ is being made available by electronic means. The Contractor acknowledges and accepts full responsibility to insure that no changes are made to the RFQ. In the event of a conflict between a version of the RFQ in the Contractor's possession and the Issuing Office's version of the RFQ, the Issuing Office's version shall govern.

I-9. Response Date. To be considered for selection, hard copies of proposals must arrive at the Issuing

Office on or before the time and date specified in the RFQ Calendar of Events. The Issuing Office will not accept proposals via email or facsimile transmission. Contractors who send proposals by mail or other delivery service should allow sufficient delivery time to ensure timely receipt of their proposals. If, due to inclement weather, natural disaster, or any other cause, the Commonwealth office location to which proposals are to be returned is closed on the proposal response date, the deadline for submission will be automatically extended until the next Commonwealth business day on which the office is open, unless the Issuing Office otherwise notifies Contractor. The hour for submission of proposals shall remain the same. The Issuing Office will reject unopened, any late proposals.

I-10. Incurring Costs. The Issuing Office is not liable for any costs the Contractor incurs in preparation and submission of its proposal, in participating in the RFQ process or in anticipation of receipt of the purchase order.

I-11. Proposal Requirements. A. Proposal Submission: To be considered, Contractor should submit a complete response to this

RFQ to the Issuing Office, using the format provided in Section 1-11B, providing four (4) paper copies [one marked “ORIGINAL”] of the Technical Submittal and two (2) paper copies of the Cost Submittal and two (2) paper copies of the Small Diverse Business and Small Business (SDB/SB) Participation Submittal and related Letter(s) of Intent. In addition to the paper copies of the proposal, Contractor shall submit one complete and exact copy of the entire proposal

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(Technical, Cost and SDB/SB submittals, along with all requested documents) on a Flash drive in Microsoft Office or Microsoft Office-compatible format. The electronic copy must be a mirror image of the paper copy and any spreadsheets must be in Microsoft Excel. The Contractor may not lock or protect any cells or tabs. The Flash drive should clearly identify the Contractor and include the name and version number of the virus scanning software that was used to scan the Flash drive before it was submitted. The Contractor shall make no other distribution of its proposal to any other Contractor or Commonwealth official or Commonwealth consultant. Each proposal page should be numbered for ease of reference. An official authorized to bind the Contractor to its provisions must sign the proposal. If the official signs the Proposal Cover Sheet (Appendix A to this RFQ) and the Proposal Cover Sheet is attached to the Contractor’s proposal, the requirement will be met. For this RFQ, the proposal must remain valid for 120 days or until a purchase order is fully executed. If the Issuing Office selects the Contractor’s proposal for award, the contents of the selected Contractor’s proposal will become, except to the extent the contents are changed through Best and Final Offers or negotiations, contractual obligations.

Each Contractor submitting a proposal specifically waives any right to withdraw or modify it, except that the Contractor may withdraw its proposal by written notice received at the Issuing Office’s address for proposal delivery prior to the exact hour and date specified for proposal receipt. A Contractor or its authorized representative may withdraw its proposal in person prior to the exact hour and date set for proposal receipt, provided the withdrawing person provides appropriate identification and signs a receipt for the proposal. A Contractor may modify its submitted proposal prior to the exact hour and date set for proposal receipt only by submitting a new sealed proposal or sealed modification which complies with the RFQ requirements.

` B. Proposal Format: Contractors must submit their proposals in the format, including heading

descriptions, outlined below. To be considered, the proposal must respond to all proposal requirements. Contractor should provide any other information thought to be relevant, but not applicable to the enumerated categories, as an appendix to the Proposal. All cost data relating to this proposal and all Small Diverse Business and Small Business cost data should be kept separate from and not included in the Technical Submittal. Contractor should not reiterate technical information in the cost submittal. Each Proposal shall consist of the following three (3) separately sealed submittals:

1. Technical Submittal:

a. In response to Part III; and b. Complete, sign and include Appendix B – Domestic Workforce Utilization Certification;

2. Cost Submittal, in response to RFQ Part IV; and 3. Small Diverse Business and Small Business (SDB/SB) Participation Submittal, in response to

RFQ Part V:

a. Complete and include Appendix E – Small Diverse Business/Small Business Participation Submittal Form; and

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b. Complete and include Appendix F – Small Diverse and Small Business Letter of Intent. Contractor must provide a Letter of Intent for each SDB and SB listed on the SDB/SB Participation Submittal Form.

The Issuing Office reserves the right to request additional information which, in the Issuing Office’s opinion, is necessary to assure that the Contractor’s competence, number of qualified employees, business organization, and financial resources are adequate to perform according to the RFQ.

The Issuing Office may make investigations as deemed necessary to determine the ability of the Contractor to perform the Project, and the Contractor shall furnish to the Issuing Office all requested information and data. The Issuing Office reserves the right to reject any proposal if the evidence submitted by, or investigation of, such Contractor fails to satisfy the Issuing Office that such Contractor is properly qualified to carry out the obligations of the RFQ and to complete the Project as specified.

I-12. Economy of Preparation. Contractor should prepare proposals simply and economically, providing a

straightforward, concise description of the Contractor’s ability to meet the requirements of the RFQ. I-13. Alternate Proposals. The Issuing Office has identified the basic approach to meeting its requirements,

allowing the Contractor to be creative and propose their best solution to meeting these requirements. The Issuing Office will not accept alternate proposals.

I-14. Discussions for Clarification. Contractor may be required to make an oral or written clarification of

their proposals to the Issuing Office to ensure thorough mutual understanding and Contractor responsiveness to the solicitation requirements. The Issuing Office will initiate requests for clarification. Clarifications may occur at any stage of the evaluation and selection process prior to contract execution.

I-15. Prime Contractor Responsibilities. The selected Contractor will be required to assume responsibility

for all services offered in its proposal whether it produces them itself or by subcontract. Further, the Issuing Office and Project Manager will consider the selected Contractor to be the sole point of contact with regard to all contractual matters and work order matters.

I-16. Proposal Contents.

A. Confidential Information. The Commonwealth is not requesting, and does not require, confidential proprietary information or trade secrets to be included as part of Contractor’ submissions in order to evaluate proposals submitted in response to this RFQ. Accordingly, except as provided herein, Contractor should not label proposal submissions as confidential or proprietary or trade secret protected. Any Contractor who determines that it must divulge such information as part of its proposal must submit the signed written statement described in subsection c. below and must additionally provide a redacted version of its proposal, which removes only the confidential proprietary information and trade secrets, for required public disclosure purposes.

B. Commonwealth Use. All material submitted with the proposal shall be considered the property of

the Commonwealth of Pennsylvania and may be returned only at the Issuing Office’s option. The Commonwealth has the right to use any or all ideas not protected by intellectual property rights that are presented in any proposal regardless of whether the proposal becomes part of a contract. Notwithstanding any Contractor copyright designations contained on proposals, the Commonwealth

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shall have the right to make copies and distribute proposals internally and to comply with public record or other disclosure requirements under the provisions of any Commonwealth or United States statute or regulation, or rule or order of any court of competent jurisdiction.

C. Public Disclosure. After the award of a contract pursuant to this RFQ, all proposal submissions are

subject to disclosure in response to a request for public records made under the Pennsylvania Right-to-Know-Law, 65 P.S. § 67.101, et seq. If a proposal submission contains confidential proprietary information or trade secrets, a signed written statement to this effect must be provided with the submission in accordance with 65 P.S. § 67.707(b) for the information to be considered exempt under 65 P.S. § 67.708(b)(11) from public records requests. Refer to Appendix C of the RFQ for a Trade Secret Confidential Proprietary Information Notice Form that may be utilized as the signed written statement, if applicable. If financial capability information is submitted in response to Part III of this RFQ such financial capability information is exempt from public records disclosure under 65 P.S. § 67.708(b)(26).

I-17. Best and Final Offers.

A. While not required, the Issuing Office reserves the right to conduct discussions with the Contractor for the purpose of obtaining “best and final offers.” To obtain best and final offers from the Contractor, the Issuing Office may do one or more of the following, in any combination and order:

1. Schedule oral presentations;

2. Request revised proposals;

3. Conduct an online auction; and

4. Enter into pre-selection negotiations.

B. The following Contractors will not be invited by the Issuing Office to submit a Best and Final Offer:

1. Those Contractors, which the Issuing Office has determined to be not responsible or whose

proposal the Issuing Office has determined to be not responsive.

2. Those Contractors, which the Issuing Office has determined in accordance with Part II, Section II-5, from the submitted and gathered financial and other information, do not possess the financial capability, experience or qualifications to assure good faith performance of the contract.

3. Those Contractors whose score for their technical submittal of the proposal is less than 70% of

the total amount of technical points allotted to the technical criterion.

The issuing office may further limit participation in the best and final offers process to those remaining responsible Contractors which the Issuing Office has, within its discretion, determined to be within the top competitive range of responsive proposals.

C. The Evaluation Criteria found in Part II, Section II-4, shall also be used to evaluate the Best and

Final offers.

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D. Price reductions offered through any online auction shall have no effect upon the Contractor’s Technical Submittal.

E. Any reduction to commitments to Small Diverse Businesses and Small Businesses must be

proportional to the reduction in the total price offered through any BAFO process or contract negotiations unless approved by BDISBO.

I-18. News Releases. Contractor shall not issue news releases, Internet postings, advertisements or any other

public communications pertaining to this Project without prior written approval of the Issuing Office, and then only in coordination with the Issuing Office.

I-19. Restriction of Contact. From the issue date of this RFQ until the Issuing Office selects a proposal as the best value, the Issuing Officer is the sole point of contact concerning this RFQ. Any violation of this condition may be cause for the Issuing Office to reject the offending Contractor's proposal. If the Issuing Office later discovers that the Contractor has engaged in any violations of this condition, the Issuing Office may reject the offending Contractor's proposal or rescind its purchase order. Contractors must agree not to distribute any part of their proposal beyond the Issuing Office. A Contractor who shares information contained in its proposal with other Commonwealth personnel and/or competing Contractor personnel may be disqualified.

I-20. Term of Work Order. The term of the work order will commence on the Effective Date and will end in twelve (12) months. No work may begin or be reimbursed prior to the date of issuance of the purchase order or notice to proceed. The selected Contractor will be paid after submitting invoices, provided it is in accordance with the work plan and approved by the Commonwealth Project Manager. Final payment will not be made until all Project work has been successfully completed.

The Commonwealth’s Contracting Officer may renew this contract upon the same terms and conditions,

incrementally or in one step, for a period of up to forty-eight (48) months by written notification to the Selected Offeror by the Contracting Officer. The cost for the renewal term will remain the same as the final agreed upon cost for the initial term of the contract unless otherwise negotiated by the Department and the Selected Offeror at the time of renewal. In no event shall any negotiated cost escalation be more than two percent (2%) of the original contract term costs.

I-21. Notification of Selection. The Issuing Office will notify the selected Contractor in writing of its selection as the best value Contractor after the Issuing Office has determined, taking into consideration all of the evaluation factors, the proposal that is the most advantageous to the Issuing Office.

I-22. Debriefing Conferences. Upon notification of award, the Contractors whose proposals were not

selected will be given the opportunity to be debriefed. The Issuing Office will schedule the debriefing at a mutually agreeable time. The debriefing will not compare the Contractor with other Contractors, other than the position of the Contractor’s proposal in relation to all other Contractor proposals.

I-23. Terms and Conditions. The requirements and terms and conditions of Training Services ITQ # 4400008567 shall govern all work conducted as a result of this RFQ.

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PART II

CRITERIA FOR SELECTION II-1. Mandatory Responsiveness Requirements. To be eligible for selection, a proposal must:

A. Be timely received from an Contractor (see Part I, Section I-11); and B. Be properly signed by the Contractor (see Part I, Section I-11A).

II-2. Technical Nonconforming Proposal. The two (2) Mandatory Responsiveness Requirements set forth

in Section II-1 above (A-B) are the only RFQ requirements that the Commonwealth will consider to be non-waivable. The Issuing Office reserves the right, in its sole discretion, to (1) waive any other technical or immaterial nonconformities in a Contractor’s proposal, (2) allow the Contractor to cure the nonconformity, or (3) consider the nonconformity in the scoring of the Contractor’s proposal.

II-3. Evaluation. The Issuing Office has selected a committee of qualified personnel to review and evaluate

timely submitted proposals. Independent of the committee, BDISBO will evaluate the Small Diverse Business and Small Business Participation Submittal and provide the Issuing Office with a rating for this component of each proposal. The Issuing Office will notify in writing of its selection for negotiation with the responsible Contractor whose proposal is determined to be the most advantageous to the Commonwealth as determined by the Issuing Office after taking into consideration all of the evaluation factors.

II-4. Evaluation Criteria. The following criteria will be used in evaluating each proposal:

A. Technical: The Issuing Office has established the weight for the Technical criterion for this RFQ as 50 % of the total points. Evaluation will be based upon the following in order of importance: Sounds of Approach, Understanding the Problem, Offeror Qualifications, and Personnel Qualifications. The final Technical scores are determined by giving the maximum number of technical points available to the proposal with the highest raw technical score. The remaining proposals are rated by applying the Technical Scoring Formula set forth at the following webpage: http://www.dgs.pa.gov/Businesses/Materials%20and%20Services%20Procurement/Procurement-Resources/Pages/default.aspx.

B. Cost: The Issuing Office has established the weight for the Cost criterion for this RFQ as 30 % of

the total points. The cost criterion is rated by giving the proposal with the lowest total cost the maximum number of Cost points available. The remaining proposals are rated by applying the Cost Formula set forth at the following webpage: http://www.dgs.pa.gov/Businesses/Materials%20and%20Services%20Procurement/Procurement-Resources/Pages/default.aspx.

C. Small Diverse Business and Small Business Participation:

BDISBO has established the minimum evaluation weight for the Small Diverse Business and Small Business Participation criterion for this RFQ as 20% of the total points.

1. The Small Diverse and Small Business point allocation is based entirely on the percentage of the

contract cost committed to Small Diverse Businesses and Small Businesses.

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2. A total combined SDB/SB commitment less than one percent (1%) of the total contract cost is

considered de minimis and will receive no Small Diverse Business or Small Business points.

3. Two thirds (2/3) of the total points are allocated to Small Diverse Business participation (SDB %).

4. One third (1/3) of the total points is allocated to Small Business participation (SB %).

5. Based on a maximum total of 200 available points for the Small Diverse Business and Small

Business Participation Submittal, the scoring mechanism is as follows:

Small Diverse Business and Small Business Raw Score =

200 (SDB% + (1/3 * SB %))

6. Each Contractor’s raw score will be pro-rated against the Highest Contractor’s raw score by applying the formula set forth on the following webpage: http://www.dgs.pa.gov/Businesses/Materials%20and%20Services%20Procurement/Procurement-Resources/Pages/RFQ_SCORING_FORMULA.aspx.

7. The Contractor’s prior performance in meeting its contractual obligations to Small Diverse Businesses and Small Businesses will be considered by BDISBO during the scoring process. To the extent the Contractor has failed to meet prior contractual commitments, BDISBO may recommend to the Issuing Office that the Contractor be determined non-responsible for the limited purpose of eligibility to receive Small Diverse Business and Small Business points.

D. Domestic Workforce Utilization: Any points received for the Domestic Workforce Utilization

criterion are bonus points in addition to the total points for this RFQ. The maximum amount of bonus points available for this criterion is 3% of the total points for this RFQ.

To the extent permitted by the laws and treaties of the United States, each proposal will be scored for its commitment to use domestic workforce in the fulfillment of the contract. Maximum consideration will be given to those Contractors who will perform the contracted direct labor exclusively within the geographical boundaries of the United States or within the geographical boundaries of a country that is a party to the World Trade Organization Government Procurement Agreement. Those who propose to perform a portion of the direct labor outside of the United States and not within the geographical boundaries of a party to the World Trade Organization Government Procurement Agreement will receive a correspondingly smaller score for this criterion. See the following webpage for the Domestic Workforce Utilization Formula: http://www.dgs.pa.gov/Businesses/Materials%20and%20Services%20Procurement/Procurement-Resources/Pages/default.aspx.

II-5. Contractor Responsibility. To be responsible, a Contractor must submit a responsive proposal and

possess the capability to fully perform the contract requirements in all respects and the integrity and reliability to assure good faith performance of the contract.

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In order for a Contractor to be considered responsible for this RFQ and therefore eligible for selection for best and final offers or selection for contract negotiations:

A. The total score for the technical submittal of the Contractor’s proposal must be greater than or equal

to 70% of the available technical points; and B. The Contractor’s financial information must demonstrate that the Contractor possesses the financial

capability to assure good faith performance of the contract. The Issuing Office will review the Contractor’s previous three financial statements, any additional information received from the Contractor, and any other publicly-available financial information concerning the Contractor, and assess each Contractor’s financial capacity based on calculating and analyzing various financial ratios, and comparison with industry standards and trends.

A Contractor which fails to demonstrate sufficient financial capability to assure good faith performance of the contract as specified herein may be considered by the Issuing Office, in its sole discretion, for Best and Final Offers or contract negotiation contingent upon such Contractor providing contract performance security for the first contract year cost proposed by the Contractor in a form acceptable to the Issuing Office. Based on the financial condition of the Contractor, the Issuing Office may require a certified or bank (cashier’s) check, letter of credit, or a performance bond conditioned upon the faithful performance of the contract by the Contractor. The required performance security must be issued or executed by a bank or surety company authorized to do business in the Commonwealth. The cost of the required performance security will be the sole responsibility of the Contractor and cannot increase the Contractor’s cost proposal or the project cost to the Commonwealth.

Further, the Issuing Office will award a project only to a Contractor determined to be responsible in accordance with the most current version of Commonwealth Management Directive 215.9, Contractor Responsibility Program.

II-6. Final Ranking and Award.

A. After any best and final offer process conducted, the Issuing Office will combine the evaluation committee’s final technical scores, BDISBO’s final Small Diverse Business and Small Business Participation Submittal scores, the final cost scores, and (when applicable) the domestic workforce utilization scores, in accordance with the relative weights assigned to these areas as set forth in this Part.

B. The Issuing Office will rank responsible Contractors according to the total overall score assigned to

each, in descending order.

C. The Issuing Office must select as the Best Value Contractor the Contractor with the highest overall score.

D. The Issuing Office has the discretion to reject all proposals or cancel the request for quotes, at any

time prior to the time a purchase order is fully executed, when it is in the best interests of the Commonwealth. The reasons for the rejection or cancellation shall be made part of the contract file.

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PART III

TECHNICAL SUBMITTAL III-1. Objectives.

A. General. The Pennsylvania Department of Transportation (PennDOT) is seeking a qualified Contractor to develop, implement and maintain an effective “On-The-Job-Training Supportive Services program (OJT/SS)” in support of the requirements set forth by Title 23 of the Code of Federal Regulations. Title 23 of the Code of Federal Regulations requires that PennDOT, the recipient of Federal funds, establish procedures for providing supportive services in support of training programs approved under a directive entitled “Equal Employment Opportunity on Federal and Federal-Aid Construction Contracts (Including Supportive Services).” For the purpose of this document, both non-union trainees and union apprentices will be referred to as “trainees.”

B. Specific. The intent of this RFQ is to identify a Contractor who can provide OJT/SS that will help to increase the effectiveness of approved training programs; to encourage a learning environment, and to maintain the enthusiasm and motivational level of the trainees, which is needed for them to succeed in this industry. The awarded Contractor will also be responsible for providing supportive services that address barriers that hinder the completion of effective highway construction training on select federal and/or state funded highway construction projects that have been assigned Training Special Provisions (TSPs) which allow for trainees on the project. The Contractor will identify and address barriers through the development of a thorough trainee orientation; conducting trainee counseling sessions; development, issuance and tracking of surveys given to training graduates; use of a detailed program information database; reporting requirements; and various outreach activities. The average training time per trainee is approximately 22.5 weeks to complete the required 1,000 hours of training.

III-2. Nature and Scope of the Project.

A. Providing supportive services to actively enrolled trainees is the priority of the OJT/SS program. The number of trainees includes all carry-over trainees as well as newly-enrolled trainees who may start at various times throughout the year. The actual number of trainees for the first year is estimated at 150, per contract term. The selected Contractor shall act in a supportive role to provide each highway construction trainee with guidance and counseling in accordance with the tasks described below.

B. All of the services provided by the selected Contractor will be at no cost to participating

contractors and/or training candidates.

C. OJT/SS Program Overview.

1. As part of PennDOT’s equal employment opportunity affirmative action program it is the policy of PennDOT to afford equal opportunity in employment to traditionally, socially and economically disadvantaged persons by providing on-the-job training opportunities to

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minorities, women and economically disadvantaged persons to improve their potential for employment in the highway construction industry. PennDOT, therefore, assigns training as a contract requirement on select federal, federal-aid and 100% state-funded highway construction project contracts in the form of a Training Special Provision (TSP). The training and upgrading of minorities, women and economically disadvantaged persons toward “journeyperson” status is a primary objective of this TSP. This training commitment is not intended, and shall not be used, to discriminate against any applicant for training, whether the trainee is a member of a minority group or not.

2. A “journeyperson” is defined as a skilled worker who practices some trade or handicraft

who has fully served an apprenticeship (or has achieved an experienced skill level) in that trade or handicraft and is a qualified worker in another’s employ. An apprenticeship typically requires the completion of a minimum of 4,000 hours of on-the-job training, in addition to classroom training in their selected trade or handicraft.

3. The selected Contractor’s OJT/SS Field Counselor will help to identify and address issues

including, but not limited to:

a. Barriers that can hinder the completion of the training. b. Inadequate working conditions. c. Conditions unique to the highway construction industry. d. Clothing requirements. e. Perceived and/or alleged discrimination. f. Pay rates. g. Overtime issues. h. Seasonal Job/Unemployment Compensation. i. Safety.

4. The selected Contractor’s OJT/SS Field Counselors will provide counseling services to

trainees in an effort to help them to overcome fears and problems encountered on the job and to clarify who the trainees should contact if and/or when they require assistance. Field Counselors will ensure that the trainee has received a copy of their OJT training program outline and required OJT program forms.

5. The Selected Contractor will be assigned reporting requirements pursuant to which

PennDOT will receive monthly, quarterly and year end reports containing sufficient statistical data and narrative content to enable the evaluation of the trainees’ progress, problems and performance outcomes.

6. The OJT/SS Field Counselors need to be accessible and able to interact with PennDOT and

the OJT Program Administrator; as such they will need laptops and/or smart phones.

III-3. Requirements.

A. Invoicing and Payment. The Contractor must complete and electronically submit a monthly Confirmation of Services form (OS-501), (reference Appendix H) to the PennDOT OJT Program Administrator for review on the 15th day of the following month every month for the service period of the previous month. Provide the completed OS-501 containing an original dated signature via CD.

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The selected Contractor may request payment on a monthly basis for all services (deliverables) received and accepted by the Department. Once the PennDOT OJT Program Administrator confirms acceptance of services, the Contractor shall submit an invoice to the Commonwealth Comptroller at the “Bill To” address on the purchase order (PO) for the services accepted on the OS-501. All charges on a submitted invoice must be directly related to work performed on identified tasks. B. Counseling.

The Field Counselors used by the Contractor will help trainees to overcome fears and problems encountered on the job and will help to clarify who trainees should contact (i.e., Selected Contractor, District Labor Contract Compliance Agent (DLCCA)), Contractor’s EEO, if applicable, Union Stewards/Apprentice Training Coordinators, PennDOT OJT Program Administrator, and/or Chief of the Contract Compliance Division if and/or when they require assistance. In addition to addressing the concerns the trainee may have regarding their duties, the Field Counselors will also ensure that the trainee has received a copy of their OJT training program outline and required OJT program forms.

C. On-the-Job Training Supportive Services Personnel. In order to keep information up to date to all stakeholders involved with the OJT/SS program, PennDOT has developed and maintains the OJT/SS Informational/Marketing Brochure (PUB 733 – see Appendix I). Upon award, the Selected Contractor will provide names and contact information of the Contractor’s personnel who will be providing the OJT/SS. PennDOT will then update PUB 733 with the supplied information. PUB 733 explains the specific roles, responsibilities, and supportive services to be provided by the successful Contractor consistent with the OJT Program needs, goals, objectives and nondiscrimination clause. If the selected Contractor experiences a change in personnel during the contract, the change needs to be addressed with the OJT Program Administrator and/or the Chief of BEO’s Contract Compliance Division immediately. If the selected Contractor has issues and/or concerns regarding providing the OJT/SS due to personnel changes, they should be addressed with the OJT Program Administrator or the Chief of BEO’s Contract Compliance Division.

D. Bureau of Equal Opportunity (BEO) Special Meetings

The PennDOT OJT Program Administrator reserves the right (and/or the Chief of BEO’s Contract Compliance Division) to schedule meetings at their discretion and the successful Contractor is expected to attend. It is anticipated that the meetings will take place at the Commonwealth Keystone Building, 400 North Street, Harrisburg, PA. The OJT Program Administrator will contact the successful Contractor at least 24 hours in advance to schedule such meetings and will work with the Contractor in choosing a date and time suitable to all parties involved. It is expected that the successful Contractor will attend in person, however other arrangements may be made if warranted as determined by the OJT Program Administrator.

E. Database Requirements.

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1. Upon award the successful Contractor will develop high level requirements for a web-based application which will house and maintain an OJT Supportive Services database and supporting documents. This web-based application will have the capability to maintain and provide Monthly, Quarterly and Year-End Report program data and Ad Hoc reports as deemed necessary. The web-based application and the associated database is, and will remain, the property of PennDOT. The OJT Program Administrator will work with the awarded Contractor to ensure appropriate knowledge transfer and expectations.

2. The web-based requirements must include a systematic procedure to track trainees during

seasonal shutdowns and personnel layoffs, and maintain the contact information of the Training Providers, in an effort to be able to secure tentative recall dates to be relayed to PennDOT’s OJT Program Administrator and the affected trainees if and/or when asked. The existing projects, trainee information, and prevailing wage rates will be interfaced through PennDOT/Commonwealth systems and housed on PennDOT’s Maintenance Management System. The database and the application remains the property of PennDOT.

3. Requirements will include permissions to access, view and edit the application to manage

the program. Permissions will allow the appropriate interface between the District Construction Staff, Central Office, PennDOT business partners, and the successful Contractor. Supporting documentation received from PennDOT business partners (contractors), District/Central Office Personnel and the successful Contractor will be scanned as a PDF document and uploaded to the web-based application.

4. Requirements for the OJT program web-based application must allow for reports to be

maintained separately for both federally funded and state funded highway construction projects; in addition to providing combined statewide totals. The distinction between apprentices and nonunion trainees must be clarified, in addition to providing clarification of their selected crafts/training classifications, etc.

The requirements for the web-based application will provide information including, but is not to be limited to, the project information and specifics collected from the following Sample of Forms EO-363, 364, 365 (Reference Appendix J for form specifics):

a. The “PennDOT Highway Contractor’s OJT Program for Approval” form (EO-363).

b. The “PennDOT OJT Program Enrollment” form (EO-364). c. The “Highway Contractor’s Monthly Training Report” form (EO-365).

5. The importance of the web-based application reporting function for Information Tracking is to:

a. Maintain consistency of the historic report documentation maintained. b. Provide required report information to FHWA and USDOT Civil Rights Office. c. Provide PennDOT’s Quarterly and Year End Accomplishment Reports. d. Ad Hoc reports as needed. e. For information and data to be included in the Bureau’s Yearly State Plan that is

submitted to FHWA.

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A. Emergency Preparedness.

To support continuity of operations during an emergency, including a pandemic, the Commonwealth needs a strategy for maintaining operations for an extended period of time. One part of this strategy is to ensure that essential contracts that provide critical business services to the Commonwealth have planned for such an emergency and put contingencies in place to provide needed goods and services.

1. Describe how you anticipate such a crisis will impact your operations.

2. Describe your emergency response continuity of operations plan. Please attach a copy of your

plan, or at a minimum, summarize how your plan addresses the following aspects of pandemic preparedness:

a. Employee training (describe your organization’s training plan, and how frequently your plan

will be shared with employees)

b. Identified essential business functions and key employees (within your organization) necessary to carry them out

c. Contingency plans for: i. How your organization will handle staffing issues when a portion of key employees are

incapacitated due to illness.

ii. How employees in your organization will carry out the essential functions if contagion control measures prevent them from coming to the primary workplace.

d. How your organization will communicate with staff and suppliers when primary

communications systems are overloaded or otherwise fail, including key contacts, chain of communications (including suppliers), etc.

e. How and when your emergency plan will be tested, and if the plan will be tested by a third-party.

Contractor Response

III-4. Statement of the Project. State in succinct terms your understanding of the project presented or the service required by this RFQ.

Contractor Response

III-5. Qualifications.

A. Company Overview. Contractor Response

B. Prior Experience. Include experience in providing on-the-job training supportive services (OJT/SS), and indicate whether or not this experience has been related to the construction

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industry. Experience shown should be work done by individuals who will be assigned to this project as well as that of your company. Studies or projects referred to must be identified and the name of the customer shown, including the name, address, and telephone number of the responsible official of the customer, company, or agency who may be contacted.

Contractor Response

C. Personnel. Include the number of executive and professional personnel, analysts, auditors,

researchers, programmers, consultants, etc., who will be engaged in the work. Show where these personnel will be physically located during the time they are engaged in the Project. For key personnel (e.g. the project manager who will oversee the project and be the point of contact for the PennDOT OJT Program Administrator, and the OJT/SS field counselors(s) who will provide supportive services to participants), include the employee’s name and, through a resume or similar document, the Project personnel’s education and experience in performing similar types of work such as recruiting to stimulate the interest of minorities, females and economically disadvantaged persons to pursue a career in highway construction and counseling to provide supportive services necessary to ensure success. Indicate the responsibilities each individual will have in this Project and how long each has been with your company. Contractor Response

D. Subcontractors. Provide a subcontracting plan for all subcontractors, including small diverse business and small business subcontractors, who will be assigned to the Project. The selected Contractor is prohibited from subcontracting or outsourcing any part of this Project without the express written approval from the Commonwealth. Upon award of the purchase order resulting from this RFQ, subcontractors included in the proposal submission are deemed approved. For each position included in your subcontracting plan provide:

1. Name of subcontractor;

2. Address of subcontractor;

3. Number of years worked with the subcontractor;

4. Number of employees by job category to work on this project;

5. Description of services to be performed;

6. What percentage of time the staff will be dedicated to this project;

7. Geographical location of staff; and

8. Resumes (if appropriate and available).

The Contractor’s subcontractor information shall include (through a resume or a similar document) the employees’ names, education and experience in the services outlined in this RFQ. Information provided shall also indicate the responsibilities each individual will have in this Project and how long each has been with subcontractor’s company.

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Contractor Response

III-6. Training. If appropriate, indicate recommended training of agency personnel. Include the agency personnel to be trained, the number to be trained, duration of the program, place of training, curricula, training materials to be used, number and frequency of sessions, and number and level of instructors.

Contractor Response

III-7. Financial Capability. Describe your company’s financial stability and economic capability to perform the contract requirements. Provide your company’s financial statements (audited, if available) for the past three fiscal years. Financial statements must include the company’s Balance Sheet and Income Statement or Profit/Loss Statements. Also include a Dun & Bradstreet comprehensive report, if available. If your company is a publicly traded company, please provide a link to your financial records on your company website in lieu of providing hardcopies. The Commonwealth reserves the right to request additional information it deems necessary to evaluate a Contractor’s financial capability.

Contractor Response

III-8. Work Plan. Describe in narrative form your technical plan for accomplishing the work using the task

descriptions as your reference point. Modifications of the task descriptions are permitted; however, reasons for changes should be fully explained. Indicate the number of person hours allocated to each task. Include a Program Evaluation and Review Technique (PERT) or similar type display, time related, showing each event. If more than one approach is apparent, comment on why you chose this approach.

TASK A: TRAINEE ORIENTATION

The objective of the Trainee Orientation task is to ensure that all OJT participants are made aware of the benefits and perceived challenges associated with a career in the heavy and highway construction industry. Orientation meetings must be documented in the form of an electronic Orientation Interview sheet. Upon award the Selected Contractor and the OJT Program Administrator will work together to update and transition PennDOT’s orientation interview sheet to an electronic format (See Appendix K for Sample Confidential Trainee Orientation Questions). The OJT Program Administrator will work with the awarded Contractor to ensure appropriate knowledge transfer and expectations.

A program orientation interview is to be conducted with newly enrolled trainees within the first month of their enrollment for training. This interview should be held in a confidential setting at the project site.

The OJT/SS Field Counselors are to exchange telephone numbers with the trainees as a first step during the Orientation interview. This exchange provides the trainee a point of contact in the event they need the OJT/SS assistance or if they become unavailable for a scheduled interview. The exchange also provides OJT/SS Field Counselors with current contact information of the trainee in the event there are concerns that need to be addressed. Concerns may include, but not limited to: missed monthly interviews, unplanned absences and/or missed time from the job site, etc.

During the orientation, OJT/SS Field Counselors will address such critical issues as, but not be limited to:

1) The importance of regular trainee communication with the Training Provider, the OJT/SS Field

Counselor, and when applicable, with their Union representatives. This includes knowing who

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to contact when assistance is required (i.e., OJT/SS Field Counselor; District Labor Contract Compliance Agent (or OJT Designee); PennDOT OJT Program Administrator).

2) Having dependable transportation to get to work. 3) The barriers that can hinder the completion of the training. 4) Working conditions and conditions unique to highway construction. 5) The importance of a good work ethic. 6) Routine seasonal employment and budgeting opportunities. 7) How to locate the most up to date information regarding Unemployment Compensation. 8) Varied work locations. 9) Exposure to weather extremes. 10) Safety hazards. 11) Clothing requirements. 12) Identify how trainees can overcome fears and problems encountered on the job. 13) Prevailing wage rates.

a. Labor & Industry – State. b. Davis Bacon – Federal.

14) Overtime issues. 15) Union representation (when applicable). 16) Apprentice Skill Level wage rates (when applicable). 17) EEO issues related to a perceived or alleged discrimination. 18) Ensure that the trainee has received a copy of their training program outline – and Approved

Enrollment (form EO-364) (note: at the time of an Orientation most likely a Highway Contractor’s Monthly Training Report (EO-365) would not yet have been completed. See Appendix J for an example of these forms).

19) Ensure to address any and all concerns that a trainee may have regarding their duties while being enrolled for on-the-job training.

If and/or when the OJT/SS Field counselor is unsure of how to respond he or she should contact the Contractor’s Project Manager for assistance/guidance.

NOTIFICATION

Contractor will inform the OJT Program Administrator and/or the Chief of BEO’s Contract Compliance Division if any issues and/or concerns are brought to the attention of an OJT/SS Field Counselor during an orientation interview (or any other time). The OJT/SS Field Counselor will notify the OJT Program Administrator and the Contractor’s Project Manager as soon as possible to ensure that the Administrator and the Contractor’s Project Manager are made aware of the situation so that the issue can be addressed as soon as possible after identification. The occurrence should also be summarized in a narrative submitted with the monthly report information. The OJT/SS Field Counselor shall contact the OJT Program Administrator and the Contractor’s Project Manager by telephone or email: 1) To identify issues and/or concerns brought to their attention and actions that may have resulted from the interview to address the issues and/or concerns. 2) If the counselor is unsure of how to respond to an issue or concern brought up during an interview (or regarding on-the-job training in general), in an effort to address the issue or concern as soon as possible.

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BACK DATED ENROLLMENTS

When situations occur that result in a back dated enrollment, the orientation interview should be combined with the first monthly counseling interview as long as the trainee has already received their first EO-365 from the training provider. (See Appendix J for an example of the EO-365 the Highway Contractor’s Monthly Training Report.) Only one charge will be accepted for combined interviews of this type.

ADDITIONAL DOCUMENTATION TO BE SUBMITTED WITH OS-501 SUBMISSIONS:

A copy of the completed Orientation Interview Form as an electronic document that clearly identifies:

1. The Project’s Engineering and Construction Management System (ECMS) ID number. 2. State Route numbers. 3. The date of the interview. 4. The Name of the Trainee and the title of their training classification. 5. The name of the Inspector-In-Charge (IIC) or their designee.

TASK A: Deliverable Summary

Task Deliverables

A Provide orientation interview session to new trainees. Interview sessions must be documented on the Orientation Interview form and be uploaded to the web-based application utilized for tracking purposes. Copies of the completed Orientation Interview forms in electronic format must be submitted with the OS-501 and will serve as documentation that this task has been completed for each orientation interview listed on the OS-501.

TASK B: TRAINEE MONTHLY COUNSELING SESSIONS

MONTHLY MEETING PREPARATION: Prior to meeting with any trainee, the OJT/SS Field Counselor must review the construction Project’s File Folder that is maintained at the job site in the PennDOT Project Office (See Appendix L for Sample Project File Content List).

The required OJT forms EO-364 & 365 must be completed by the training provider, placed in the project’s file folder and be uploaded into the web-based application. If the required OJT forms EO-364 & 365 are missing from the project file folder or the web-based application it should be reported to the PennDOT Inspector-In-Charge (IIC) so that the form(s) can be obtained from the Prime Contractor and uploaded. When this type of action occurs it should be annotated on the Monthly Electronic Interview sheet of the trainee whose forms were missing.

Upon award, the selected Contractor and the OJT Program Administrator will work to update PennDOT’s OJT/SS Monthly Interview Report and transition it to an electronic format (see Appendix M for Sample Monthly Interview Report). The OJT Program Administrator will work with the awarded Contractor to ensure appropriate knowledge transfer and expectations.

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MONTHLY COUNSELING Monthly counseling sessions will commence with each active trainee, in person, within 30 days after they have received their first EO-365 from their training provider and continuing monthly thereafter. Counseling is to continue, once a month throughout the training in a CONFIDENTIAL setting provided at the project site where the trainee is enrolled for training. Special emphasis is to be placed on the retention, motivation and the skill development of the trainees. At least one (1) week in advance of conducting a monthly counseling with a trainee, the OJT/SS Field Counselor must:

1. Contact the District Labor Contract Compliance Agent (DLCCA) or District OJT Designee to

address whether or not there is need to request missing OJT program documentation from the training providers they are planning to visit.

2. Contact the PennDOT Inspector-In-Charge (IIC) and the Training Providers (could be the

Prime Contractor or Subcontractor) to schedule the counseling sessions with trainees. The advance notice will help to:

a. Ensure that the trainee started training as anticipated per the BEO stamp date included on

their EO-364.

b. Ensure that the trainee is scheduled to be on-site the day of the planned visit.

c. Alert the trainee of the scheduled monthly counseling.

If and/or when the Selected Contractor is experiencing difficulties meeting the monthly counseling requirement, it should immediately address the issues/problems with the OJT Program Administrator and/or BEO’s Section Manager.

In an effort to avoid unnecessary travel, the OJT/SS Field Counselors should make every effort to verify that a trainee has reported to the work site on the date of a scheduled interview or if work for the day is canceled due to weather, an unexpected layoff, or for unforeseen medical reasons. This effort can be accomplished by the OJT/SS Field Counselors scheduling the interviews a minimum of a week in advance, exchanging telephone numbers and email addresses with the training providers and the trainees at the time of their Orientation interview, and alerting the trainees of the need to contact the OJT/SS Field Counselor if they are not going to be on-site at the time of a scheduled interview.

If issues arise that make a specific in-person counseling session impossible (for example weather, flooding, or other local emergencies), the OJT Program Administrator and/or the BEO’s Section Manager must be contacted prior to the OJT/SS Field Counselor conducting an alternative counseling session. Rescheduling of the counseling session is the preferred remedy. If an alternative counseling session is necessary, justification will be required and the situation must be documented on the electronic monthly counseling sheet described below.

Special emphasis is to be placed on the retention, motivation and the skill development of the trainees.

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Counseling sessions are to be documented in the form of an electronic Monthly Interview Report, Appendix M that includes, in part:

1. The Project’s Engineering and Construction Management System (ECMS) ID number. 2. State Route numbers. 3. The date of the interview. 4. The Name of the Trainee and the title of their training classification. 5. The name of the IIC or their designee.

Whenever issues are identified as “Being In Need Of Immediate Attention”, such as but not limited to:

1. A discrimination issue. 2. The trainee indicates they are not being trained in accordance with their approved training

program. 3. The trainee indicates they are performing duties other than those described in their job

description or approved training program and they believe the hours spent on these other duties are being used to document their training hours on their Monthly Report forms [EO-365’s].

4. The trainee reports that they are not receiving copies of their completed Monthly Report forms [EO-365’s].

5. The trainee identifies issues or concerns that they want to be brought to the attention of their supervisor and/or a PennDOT Administrator.

The OJT Program Administrator and the Contractor’s Project Manager will be contacted by the OJT/SS Field Counselor by telephone or email as soon as possible after the meeting to discuss the concerns or issues needing immediate attention; always document what occurred on the electronic Monthly Interview Report. If the OJT Program Administrator is unavailable, the OJT/SS Field Counselor should contact BEO’s Section Manager and always leave a message for the OJT Program Administrator so that they are kept aware of the occurrence. If a mediation meeting becomes necessary the OJT/SS Field Counselor will be instructed on how to proceed. The OJT/SS Field Counselor will identify what took place to the OJT/SS Project Manager and document the occurrence and outcome on the electronic Monthly Interview Report of the Trainee involved.

EXIT INTERVIEWS In an effort to assist PennDOT with improving its Statewide On-the-Job Training program, a Confidential Exit Interview/Survey has been created for trainees to complete upon the successful completion of their required hours of on-the-job training (see Appendix N for sample form). The purpose of the survey is to document what the trainees think of the training they received, to see if the monthly supportive services provided have been beneficial to the successful completion of their on-the-job training, and to allow for trainees to comment on ways to improve the program. Upon award the selected Contractor will meet with PennDOT’s OJT Program Administrator to update PennDOT’s Exit Interview/Survey form. If it is determined during a monthly counseling session that a trainee is nearing completion of their on-the-job training they should be given a copy of PennDOT’s Exit Interview/Survey form. They

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are to be instructed to complete and submit the survey form to the attention of PennDOT’s OJT Program Administrator upon the trainee’s actual completion of training. Exit Interview/Survey forms should be given to trainees in any of the following situations when within 200 hours of training completion:

1. As a result of their successful completion of the required hours of their training program

(PennDOT Approved -or- Apprenticeship) -or-; 2. If they are scheduled for a permanent lay off due to the work in their training classification

being completed ahead of schedule -or-; 3. If the trainee is scheduled for a permanent lay off due to the project being completed ahead of

schedule due to the project work being Fast Tracked.

The trainee should be given a few options for the submittal of their Exit Interview/Survey form:

1. Trainee may email the OJT Program Administrator. 2. Trainee can be instructed to submit the completed Exit Interview/Survey form to the

PennDOT Inspector-in-Charge for submission to the OJT Program Administrator by way of PennDOT’s interoffice mail.

The completed Exit Interview/Survey sheet IS NOT to be returned to the OJT/SS Field Counselor or to the selected Contractor.

Since the Exit Interview/Survey form is to be provided during the final monthly counseling session for completion and submission at a later date, there will be no additional cost paid to the selected Contractor for providing the Exit Interview/Survey form during the final monthly counseling session. When an Exit Interview/Survey form is provided to a trainee it must be notated on the monthly program report in order to assist PennDOT OJT Program Administrator to track receipt of the completed forms.

ADDITIONAL DOCUMENTATION TO BE SUBMITTED WITH OS-501 SUBMISSIONS:

A copy of the completed Monthly Interview Report as an electronic document that clearly identifies:

1. The Project’s Engineering and Construction Management System (ECMS) ID number. 2. State Route numbers. 3. The date of the interview. 4. The Name of the Trainee and the title of their training classification. 5. The name of the IIC or their designee.

Separated and prioritized in order of issue or problem importance (critical to low/ highest to lowest) and by PennDOT Engineering District and ECMS number.

TASK B: Deliverable Summary

Task Deliverables

B Plan and conduct Monthly Counseling Sessions. Monthly Counseling sessions must be documented on the electronic Monthly Interview Report

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and be uploaded to the web-based application utilized for tracking purposes. Copies of the completed Monthly Interview Report in electronic format must be submitted with the OS-501 and will serve as documentation that this task has been completed for each Monthly Counseling Session listed on the OS-501.

TASK C: FOLLOW-UP SERVICES

GRADUATE TRAINEE SURVEY

Survey ALL of the OJT Graduates and Satisfied Completion trainees (see Section III-9. Reports & Project Controls, i. Monthly Status Report for the trainee types defined) not less than six (6) months after training program completion to evaluate the number of trainees who remain actively employed in the heavy and highway construction industry. The survey is to be given only to Trainee’s who have completed their entire training program; note that a trainee may work on several projects with several contractors before they complete their entire training program. Therefore, before conducting a Graduate Trainee Survey, ensure that the Trainee is not currently enrolled (i.e., in an active, pending, or temporary layoff status) for another on-the-job training opportunity. (See Appendix O for Sample Graduate Trainee Survey.)

Submit electronic copies of the findings received along with the submission of the Monthly Program Report documentation. If no response is received or the selected Contractor is unable to contact the OJT Graduate and/or Satisfied Completion trainee, that too needs to be identified by the inclusion of a negative survey report for the trainee that did not respond.

ADDITIONAL DOCUMENTATION TO BE SUBMITTED WITH OS-501 SUBMISSIONS:

Submit electronic copies of the findings received with the submission of the Monthly Program Report documentation (see “Reports and Project Control”). If no response is received or the selected Contractor is unable to contact the Completed (graduated/satisfied) trainee, that too needs to be identified by the inclusion of a negative survey report for the trainee that did not respond.

TASK C: Deliverable Summary

Task Deliverables

C Completed Graduate Trainee Survey. Graduate Trainee Survey findings must be submitted electronically with the submission of the Monthly Program Report and be uploaded to the web-based application utilized for tracking purposes. The Monthly Program Report will include when Surveys are sent and when they are received back from Trainees. The Monthly Program Report showing that the Graduate Trainee Surveys have been sent must be submitted with the OS-501 and will serve as documentation that this task has been completed for each Graduate Trainee Survey listed on the OS-501.

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TASK D: OUTREACH EVENTS

The majority of the outreach to be conducted by the awarded Contractor will be during the off season/down time (generally October through February). Participation at Outreach Events (Job and/or Career Fairs) should not hinder providing the OJT/SS. The successful Contractor will maintain relationships with the following entities at a minimum in order to stay abreast of outreach opportunities available statewide:

1. The various union representatives. 2. PA CareerLink®. 3. Community Based Organizations. 4. Career and Vocational Technical Education Centers.

During the off season/down times, an emphasis is to be placed on making women and minorities, with an emphasis on minority women, aware of the job opportunities in the highway construction industry. This is to be accomplished by participating at Job and Career Fairs:

1. Job Fairs that are related to actual job opportunities in the heavy and highway construction

industry. 2. Career Fairs when the event is being held in an effort to educate women and minorities, with an

emphasis on minority women, about career/job opportunities available in the heavy and highway construction industry.

JOB & CAREER FAIR PARTCIPATION The PA CareerLink® System – is the Commonwealth’s Workforce Development System. Job seekers interested in pursuing a career opportunity in the highway construction industry should be instructed to register with the PA CareerLink® System. Prior to committing to participation at an Outreach event, the selected Contractor must contact the OJT Program Administrator and submit the details/intent of the event, such as:

• Job Fair versus Career Fair. • The name of the event sponsors and/or the identification of the employers anticipated to

participate. • The projected audience.

Obtain concurrence from the OJT Program Administrator or the Chief of BEO’s Contract Compliance Division regarding participation prior to committing to participation. Prior to attending the selected event, the Contractor will discuss with the OJT Program Administrator or the Chief of BEO’s Contract Compliance Division the type of marketing materials most appropriate to use at the “planned” event. The OJT/SS Informational/Marketing Brochure (PUB 733) is the primary brochure that contains the selected Contractor’s contact information; the PennDOT Engineering Districts covered by each of

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the Contractor’s staff members; the entities eligible to receive the services; and how those entities would benefit from the services to be provided. Any additional marketing materials to be used at an event need to be tailored to the anticipated audience attending that event. All materials used must be pre-approved by the OJT Program Administrator or the BEO Section Manager prior to use. The advance meeting notice is an effort to ensure that:

1. The Contractor has a large enough supply of appropriate informational materials for use at the event.

2. The Contractor has sufficient time to order an appropriate supply of the OJT/SS

Informational/Marketing Brochures (PUB 733) from PennDOT when necessary.

3. The OJT Program Administrator has time to approve other materials for use at the event. PennDOT’s OJT Program Administrator or BEO’s Section Manager may suggest and/or provide additional marketing material to be used at the events. Upon completion of an event the selected Contractor must complete an Outreach Event Data Report and upload the report to the web-based application utilized for tracking purposes. The Outreach Event Data report should demonstrate the outcomes and benefits of participation at the event. Document and report all outreach efforts and communications in an Outreach Event Data Report for each event attended (see section III-9, V.). When the selected Contractor participates at an Outreach event such as a Job Fair or Career Fair, they should present a copy of the PennDOT Statewide OJT/SS Informational/Marketing Brochure (Pub 733) to the individuals expressing an interest in becoming a trainee. The brochure will contain guidance on how interested job seekers can register with the PA CareerLink® System to make themselves available for recruitment to heavy and highway construction industry employers. All interested job seekers should be encouraged to register with the PA CareerLink®, the Commonwealth’s Workforce Development System. No additional cost will be associated with these identifications/referrals; this is a supportive service effort to assist women, minorities and the economically disadvantaged to gain additional on-the-job training opportunities in their selected construction craft classification. The On-the-Job Training Program’s Recruitment activity shall be handled exclusively by the Commonwealth’s Workforce Development System, the PA CareerLink®. ADDITIONAL DOCUMENTATION TO BE SUBMITTED WITH OS-501 SUBMISSIONS: Submit electronic copies of the Outreach Event Data Report (see “Reports and Project Control”). The report should demonstrate the outcomes and benefits of participation at the event. Document and report all outreach efforts and communications.

TASK D: Deliverable Summary

Task Deliverables

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D Outreach Event Participation. Outreach Events attended must be documented on the electronic Outreach Event Data Report and be uploaded to the web-based application utilized for tracking purposes. Copies of the completed Outreach Event Data Report in electronic format must be submitted with the OS-501 and will serve as documentation that this task has been completed for each Outreach Event attended and listed on the OS-501.

TASK E: WEB-BASED APPLICATION REQUIREMENTS DOCUMENT

Initial development of requirements for a web-based application designed to manage the OJT program. One time task due within four (4) weeks of contract award.

TASK E: Deliverable Summary

Task Deliverables

E Develop high level requirements for a web-based application which will house and maintain on a PennDOT server, an OJT Supportive Services database and supporting documents uploaded in pdf format. The web-based application requirements document must include at a minimum: the capability to maintain and provide Monthly, Quarterly and Year-end Report program data and Ad Hoc reports as deemed necessary; permissions and interface with business partners, Central Office and District Staff, selected construction–related crafts/training classifications, project information, prevailing wage rates, and specifics collected from the applicable OJT forms.

Contractor Response

III-9. Reports and Project Control.

Upon PennDOT’s issuance of a Notice to Proceed, the selected Contractor shall meet, as required, with PennDOT’s OJT Program Administrator to review the status of the tasks included above. PennDOT’s OJT Program Administrator shall schedule all meetings and shall select a location. It is anticipated that most meetings shall take place at the Commonwealth Keystone Building, 400 North Street, Harrisburg, PA. The selected Contractor must submit the following reports at the time and frequency as indicated per the discretion of PennDOT’s OJT Program Administrator (and/or BEO’s Section Manager. All reports are to be submitted in an electronic format to a designated email address to be provided by PennDOT’s OJT Program Administrator.

Monthly/Quarterly/Annual Reports Supporting Documentation:

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An access tracking database will be provided for Contractor use. The database will contain (but not to be limited to) the following fields for the trainees that have been approved for enrollment for on-the-job training. This is the supporting documentation to the monthly, quarterly and annual reports:

1) The BEO Approved “Training Start Date.” 2) Training Completion Dates. 3) Status:

a. Active – BEO Approved Start date. b. Completions - Date training completed.

i. The hours of training required by the specific “approved” training program outline.

c. Satisfied: i. Satisfied will be used when the training hours completed to date are less than

800 hours BUT the trainee is no longer actively training, and a PennDOT review has determined this occurred through no fault of the Training Provider.

d. Temporary Layoff: i. Seasonal layoffs – date they occurred and the anticipated recall date.

e. Completion – the trainee completed the required hours of training needed for a completed training.

f. Quit. g. Termination. h. Apprentice or Non Union Trainee.

4) Trainee name. 5) Training Classification. 6) Gender. 7) Ethnicity. 8) District that the project is located in. 9) The PennDOT Engineering and Construction Management System (ECMS)

identification number, a. The project’s State Route and Section numbers.

10) The identification as to Funding: 100% State -or- Federally Funded Project. 11) Project’s Let Date. 12) Project’s Notice-To-Proceed Date (NTP).

Reason for Dismissal (Terminations) / Resignations (Quits): (See Status Types below for the list of Status Types, Resignation/Quit and Termination coding.)

i. Monthly Status Report. Contractor must generate reports monthly. Submit report to PennDOT’s

OJT Program Administrator by the fifteenth (15th) day following the end of each month. Report must list the OJT activities occurring on the Federally-funded and State-funded projects SEPARATELY; in addition to a combined statewide totals. (The Monthly Status Report is a Deliverable. One (1) Monthly Report is expected per month, resulting in twelve (12) reports for one (1) year.)

Report information should include, but not be limited to:

The total number of Trainees enrolled during the previous month that now are in an Active, Pending, Temporary, Seasonal, or Permanent Layoff Status:

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1) Total number of Trainees enrolled (during the month). 2) Total number of Women. 3) Total number of Males.

4) Total number of Minorities. 5) Total number of Minority Women. 6) Total number of Minority Males.

7) Total number of Non-Minorities. 8) Total number of Non-Minority Women. 9) Total number of Non-Minority Males. For each category above, list the total number as a percentage against the total number of Trainees enrolled during the previous Month.

Analysis Report should break out the Trainees whose status type changed to one of the following during the previous Month.

Status Types:

1) Graduated (completed required training hours). 2) Satisfied Completion (In situations when the OJT Program Administrator concurs with the

District’s Conditional Determination that the “short fall in training hours” that occurred, was no fault of the training provider’s and the District OJT Designee has concurred to consider the training obligation Satisfied/Completed. A copy of the final determination will be shared with the selected Contractor by the OJT Program Administrator so they can annotate the status change in the database.)

3) Temporary Lay-Off (temporary layoff /seasonal with an Anticipated Recall date identified on the last EO-365 that was completed by the training provider.)

4) Permanently Laid-Off (project work completed ahead of schedule, but not the required minimum hours of training needed for a graduation/completion.)

5) Resigned/Quit. When a Resignation or Quit has been reported the Justification for the Resignation or Quit should be included in the database:

a. Unknown. b. Alternative Employment. c. Medical. d. Violation of the Law. e. Tardiness/Excessive Absenteeism. f. Personal Problems. g. Transportation Issues. h. Project Work Completed. i. Unsatisfactory Work. j. Training Not Approved. k. Unable to Perform Work.

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6) Termination. When a Termination has been reported the Justification for the Termination/Dismissal should be included in the database:

a. Unknown. b. Alternative Employment. c. Medical. d. Violation of the Law. e. Tardiness/Excessive Absenteeism. f. Personal Problems. g. Transportation Issues. h. Project Work Completed. i. Unsatisfactory Work. j. Training Not Approved. k. Unable to Perform Work.

Classification Reports should break out the various “classifications” that the Trainees were enrolled to be trained to perform in order to capture the various construction craft classifications in which training was provided during the month (i.e. Laborer, Carpentry, Equipment Operator, Ironworker, etc.). For each construction craft training classification, list the total number as a percentage against the total number of Trainees enrolled during the previous month in the same construction craft training classifications. For each of the “status types” and “classifications” listed above generate a report using the following categories:

Total Number of Each: Total Number of Each: Total Number of Each: • Trainees • Minorities • Non-Minorities • Women Trainees • Minority Women • Non-Minority Women • Male Trainees • Minority Male • Non-Minority Male

For each category above, list the total number as a percentage against the total number of Trainees enrolled during the previous Month.

The monthly report will indicate that an Exit Interview/Survey form was provided, per trainee, in an effort to help PennDOT’s OJT Program Administrator to track completions.

The monthly report will also indicate when the OJT Graduate/Satisfied Completion trainees were sent a Graduate Trainee Survey.

Contractor Response

ii. Quarterly Status Report. Submit an electronic report to the PennDOT OJT Program Administrator

by the fifteenth (15) day of the month following the end of each quarter of the State’s Fiscal Year (i.e., July, August and September is the first (1st) quarter of the State Fiscal year; October, November

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and December is the second (2nd) quarter of the State Fiscal year; January, February and March is the third (3rd) Quarter of the State Fiscal year and April, May and June is the fourth (4th) quarter of the State’s Fiscal year). Report must list the OJT activities occurring on the Federally-funded and State-funded projects SEPARATELY but it should reference a combined total of ALL of the OJT activities that occurred Statewide. (The Quarterly Report is a deliverable. One (1) Quarterly Report is expected per State Fiscal Year Quarter, resulting in four (4) reports for one (1) year.)

1) The total number of trainees enrolled during the previous Quarter, in an Active,

Pending, Temporary, Seasonal, or Permanent Layoff Status:

a. The Trainees should be broken down in the same manner as in the Monthly Program Report. Please reference Task C for this break out.

b. For each category, list the total number as a percentage against the total number of Trainees enrolled during the previous Quarter.

2) The Quarterly Report shall break out the Trainees whose status type changed to one

of the following during the previous Quarter:

a. See section III-9. Reports and Project Controls, i. Monthly Status Report for the list of Status Types, Resignation/Quit and Termination coding.

b. For each status type, generate a report using the categories from Task C. c. For each category, list the total number as a percentage against the total number

of Trainees enrolled during the previous Quarter.

3) The Quarterly Report shall break out the various “classifications” that the Trainees were enrolled to be trained to perform in order to capture the various construction craft classifications in which training was provided during the quarter (i.e. Laborer, Carpentry, Equipment Operator, Ironworker, etc.)

a. For each classification type generate a report using the categories from Task C. b. For each classification, list the total number as a percentage against the total

number of Trainees enrolled during the previous Quarter.

Contractor Response

iii. Yearly Status Report. Submit an electronic report to PennDOT OJT Project Manager by the fifteenth (15) day of the month following the end of each Fiscal Year (i.e., July through June is the reporting period for the State’s Fiscal year). Report must list the OJT activities occurring on the Federally-funded and State-funded projects SEPARATELY but it should reference a combined total of ALL of the OJT activities that occurred Statewide. (The Year End Report is a Deliverable. One (1) Year End Report is expected per year.)

1) The total number of trainees enrolled during the previous year, in an Active, Pending,

Temporary, Seasonal, or Permanent Layoff Status:

a. The Trainees should be broken down in the same manner as in the Monthly Status Report. Please reference Task C for this break out.

b. For each category, list the total number as a percentage against the total number of Trainees enrolled during the previous four (4)-Quarters.

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2) The Analysis Report shall break out the Trainees whose status type changed to one of

the following during the previous four Quarters:

a. See section III-9. Reports and Project Control, i. Monthly Status Report for the list of Status Types, Resignation/Quit and Termination coding.

b. For each status type listed above generate a report using the categories under Section III-9. Reports and Project Control, i. Monthly Status Report for each category, list the total number as a percentage against the total number of Trainees enrolled during the previous four (4) Quarters.

3) The Annual Report shall break out the various “classifications” that the Trainees were

enrolled to be trained to perform in order to capture the various construction craft classifications in which training was provided during the year (i.e. Laborer, Carpentry, Equipment Operator, Ironworker, etc.)

a. For each classification type generate a report using the categories from Section

III-9. Reports and Project Control, i. Monthly Status Report. b. For each classification, list the total number as a percentage against the total

number of Trainees enrolled during the previous four (4) Quarters.

Contractor Response

iv. Ad Hoc Special Reports. From time to time, based on criteria identified by PennDOT’s OJT Program Administrator and/or BEO’s Section Manager, reports, in addition to those listed above, may be requested from the web-based application.

Contractor Response

v. Outreach Event Data Report. Contractor must generate Outreach Event Data Reports for each

event attended and upload the reports to the web-based application utilized for tracking purposes. Submit the report to PennDOT’s OJT Program Administrator by the fifteenth (15th) day following the end of each month.

The information in the report should include, but is not to be limited to: 1) The total number of woman and minorities that attended. 2) A listing of the total number as a percentage against the total number of attendees. 3) The total number of PennDOT Statewide OJT/SS Informational/Marketing brochures

that are handed out during the event. 4) A tally of the job seekers who requested more specific program information and the

number of them referred to the PA CareerLink® System. The Outreach Event Data Report shall be submitted in electronic format along with the monthly program report.

Contractor Response

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vi. Problem Identification Report. An “as required” report, identifying problem areas. The report should describe the problem and its impact on the overall project and on each affected task. It should list possible courses of action with advantages and disadvantages of each, and include Contractor recommendations with supporting rationale.

Contractor Response

vii. Final Report. A final report is required to be submitted at the end of each contract period. The

report will include the following: 1) Summarize findings, conclusions and recommendations developed in each task

during the contract period. 2) Summarize issues encountered during the contract period along with

recommendations for resolution and/or resolutions already put into place and the outcomes.

3) Include all supporting documentation; e.g., flow-charts, forms, questionnaires, etc.

Contractor Response III-10. Domestic Workforce Utilization. Contractors must complete and sign the Domestic Workforce

Utilization Certification attached to and made part of this RFQ as Appendix B. Contractors who seek consideration for the Domestic Workforce Utilization Certification criterion must complete, sign, and submit the Domestic Workforce Utilization Certification Form in the same sealed envelope with the Technical Submittal.

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PART IV

COST SUBMITTAL

IV-1. Cost Submittal. The information requested in this Part IV shall constitute the Cost Submittal. The Cost Submittal shall be placed in a separate sealed envelope within the sealed proposal, separated from the technical submittal. The total proposed cost should be broken down into the components set forth in Appendix D – Cost Submittal worksheet. The percentage of commitment to Small Diverse Businesses and Small Businesses should not be stated in the Cost Submittal. Contractor should not include any assumptions in their Cost Submittals. If the Contractor includes assumptions in its Cost Submittal, the Issuing Office may reject the proposal. Contractor should direct in writing to the Issuing Office pursuant to Part I, Section I-6 of this RFQ any questions about whether a cost or other component is included or applies. All Contractors will then have the benefit of the Issuing Office’s written answer so that all proposals are submitted on the same basis.

The Issuing Office will reimburse the selected Contractor for work satisfactorily performed after execution of a written contract and the start of the contract term, in accordance with contract requirements, and only after the Issuing Office has issued a notice to proceed.

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PART V

SMALL DIVERSE BUSINESS AND SMALL BUSINESS PARTICIPATION SUBMITTAL V-1. Small Diverse Business and Small Business General Information. The Issuing Office encourages

participation by Small Diverse Businesses and Small Businesses as prime contractors, and encourages all prime contractors to make significant commitments to use Small Diverse Businesses and Small Businesses as subcontractors and suppliers.

A Small Business must meet each of the following requirements: • The business must be a for-profit, United States business; • The business must be independently owned; • The business may not be dominant in its field of operation; • The business may not employ more than 100 full-time or full-time equivalent employees; • The business, by type, may not exceed the following three-year average gross sales:

o Procurement Goods and Services: $20 million o Construction: $20 million o Building Design Services: $7 million o Information Technology Goods and Services: $25 million

For credit in the RFQ scoring process, a Small Business must complete the DGS/BDISBO self-certification process. Additional information on this process can be found at: http://www.dgs.pa.gov/Businesses/Small%20Business%20Contracting%20Program/Pages/default.aspx. A Small Diverse Business is a DGS-verified minority-owned small business, woman-owned small business, veteran-owned small business, service-disabled veteran-owned small business, LGBT-owned small business, Disability-owned small business, or other small businesses as approved by DGS, that are owned and controlled by a majority of persons, not limited to members of minority groups, who have been deprived of the opportunity to develop and maintain a competitive position in the economy because of social disadvantages.

For credit in the RFQ scoring process, a Small Diverse Business must complete the DGS verification process. Additional information on this process can be found at: http://www.dgs.pa.gov/Businesses/Minority,%20Women%20and%20Veteran%20Businesses/Pages/default.aspx.

A Contractor that qualifies as a Small Diverse Business or a Small Business and submits a proposal as a prime contractor is not prohibited from being included as a subcontractor in separate proposals submitted by other Contractor.

A Small Diverse Business or Small Business may be included as a subcontractor with as many prime contractors as it chooses in separate quotes.

The Department’s directory of self-certified Small Businesses and DGS/BDISBO-verified Small Diverse Businesses can be accessed from: http://www.dgs.pa.gov/Businesses/Minority,%20Women%20and%20Veteran%20Businesses/Small-Diverse-Business-Verification/Pages/Finding-Small-Diverse-Businesses.aspx.

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Questions regarding the Small Diverse Business and Small Business Programs, including questions about the self-certification and verification processes can be directed to:

Department of General Services Bureau of Diversity, Inclusion and Small Business Opportunities (BDISBO) Room 601, North Office Building Harrisburg, PA 17125 Phone: (717) 783-3119 Fax: (717) 787-7052 Email: RA-BDISBOVerification@pa.gov

Website: www.dgs.pa.gov V-2. Small Diverse Business and Small Business (SDB/SB) Participation Submittal. All Contractors are

required to submit two (2) copies of the Small Diverse Business and Small Business Participation Submittal Form contained in (Appendix E) and related Letter(s) of Intent (Appendix F). The submittal must be sealed in its own envelope, separate from the remainder of the proposal, and must be provided on the Small Diverse Business and Small Business Participation Submittal form, with information as follows:

A. Contractors must indicate their status as a Small Diverse Business and as a Small Business through

selection of the appropriate checkboxes.

B. Contractors must include a numerical percentage which represents the total percentage of the total cost in the Cost Submittal that the Contractor commits to paying to Small Diverse Businesses and Small Businesses as subcontractors.

C. Contractors must include a listing of and required information for each of the Small Diverse

Businesses and/or Small Businesses with whom they will subcontract to achieve the participation percentages outlined on the Small Diverse Business and Small Business Participation Submittal.

D. Contractors must include a Small Diverse and Small Business Letter of Intent (attached as Appendix

F is a Small Diverse and Small Business Letter of Intent template which may be used to satisfy these requirements) signed by both the Contractor and the Small Diverse Business or Small Business for each of the Small Diverse Businesses and Small Businesses identified in the Small Diverse Business and Small Business Participation Submittal form. At minimum, the Small Diverse and Small Business Letter of Intent must include the following:

1. The fixed numerical percentage commitment and associated estimated dollar value of the

commitment made to the Small Diverse Business or Small Business; and

2. A description of the services or supplies the Small Diverse Business or Small Business will provide; and

3. The timeframe during the initial contract term and any extensions, options and renewals when

the Small Diverse Business or Small Business will perform or provide the services and/or supplies; and

4. The name and telephone number of the Contractor’s point of contact for Small Diverse Business

and Small Business participation; and

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5. The name, address, and telephone number of the primary contact person for the Small Diverse

Business or Small Business. E. Each Small Diverse Business and Small Business commitment which is credited by BDISBO along

with the overall percentage of Small Diverse Business and Small Business commitments will become contractual obligations of the selected Contractor.

NOTE: Contractors will not receive credit for any commitments for which information as above is not included in the Small Diverse Business and Small Business Participation Submittal. Contractors will not receive credit for stating that after the contract is awarded they will find a Small Diverse or Small Business.

V-3. NOTE: Equal employment opportunity and contract compliance statements referring to company equal employment opportunity policies or past contract compliance practices do not constitute proof of Small Diverse Business and/or Small Business Status or entitle an Contractor to receive credit for Small Diverse Business or Small Business participation.

V-4. Contract Requirements—Small Diverse Business and Small Business Participation.

All contracts containing Small Diverse Business and Small Business Participation must contain the following contract provisions to be maintained through the initial contract term and any subsequent options or renewals:

A. Each Small Diverse Business and Small Business commitment which was credited by BDISBO and

the total percentage of such Small Diverse Business and Small Business commitments made at the time of quote submittal, BAFO or contract negotiations, as applicable, become contractual obligations of the selected Contractor upon execution of its contract with the Commonwealth.

B. All Small Diverse Business and Small Business subcontractors credited by BDISBO must perform at

least 50% of the work subcontracted to them. C. The individual percentage commitments made to Small Diverse Businesses and Small Businesses

cannot be altered without written approval from BDISBO. D. Small Diverse Business and Small Business commitments must be maintained in the event the

contract is assigned to another prime contractor. E. The selected Contractor and each Small Diverse Business and Small Business for which a

commitment was credited by BDISBO must submit a final, definitive subcontract agreement signed by the selected Contractor and the Small Diverse Business and/or Small Business to BDISBO within 30 days of the final execution date of the Commonwealth contract. A Model Subcontract Agreement which may be used to satisfy this requirement is provided in Appendix G – Model Form of Small Diverse Business and Small Business Subcontract Agreement. The subcontract must contain:

1. The specific work, supplies or services the Small Diverse Business and/or Small Business will

perform; location for work performed; how the work, supplies or services relate to the project; and the specific timeframe during the initial term and any extensions, options and renewals of the prime contract when the work, supplies or services will be provided or performed.

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2. The fixed percentage commitment and associated estimated dollar value that each Small Diverse

Business and/or Small Business will receive based on the final negotiated cost for the initial term of the prime contract.

3. Payment terms indicating that the Small Diverse Business and/or Small Business will be paid for work satisfactorily completed within 14 days of the selected Contractor’s receipt of payment from the Commonwealth for such work.

4. Commercially reasonable terms for the applicable business/industry that are no less favorable than the terms of the selected Contractor’s contract with the Commonwealth and that do not place disproportionate risk on the Small Diverse Business and/or Small Business relative to the nature and level of the Small Diverse Business’ and/or Small Business’ participation in the project.

F. If the selected Contractor and a Small Diverse Business or Small Business credited by BDISBO

cannot agree upon a definitive subcontract within 30 days of the final execution date of the Commonwealth contract, the selected Contractor must notify BDISBO.

G. The Selected Contractor shall complete the Prime Contractor’s Quarterly Utilization Report and

submit it to the contracting officer of the Issuing Office and BDISBO within ten (10) business days at the end of each quarter of the contract term and any subsequent options or renewals. This information will be used to track and confirm the actual dollar amount paid to Small Diverse Business and Small Business subcontractors and suppliers and will serve as a record of fulfillment of the contractual commitment. If there was no activity during the quarter, the form must be completed by stating “No activity in this quarter.” A late fee of $100.00 per day may be assessed against the Selected Contractor if the Utilization Report is not submitted in accordance with the schedule above.

H. The Selected Contractor shall notify the Contracting Officer of the Issuing Office and BDISBO

when circumstances arise that may negatively impact the selected Contractor’s ability to comply with Small Diverse Business and/or Small Business commitments and to provide a corrective action plan. Disputes will be decided by the Issuing Office and DGS.

I. If the Selected Contractor fails to satisfy its Small Diverse Business and/or Small Business commitment(s), it may be subject to a range of sanctions BDISBO deems appropriate. Such sanctions include, but are not limited to, one or more of the following: a determination that the selected Contractor is not responsible under the Contractor Responsibility Program; withholding of payments; suspension or termination of the contract together with consequential damages; revocation of the selected Contractor’s Small Diverse Business status and/or Small Business status; and/or suspension or debarment from future contracting opportunities with the Commonwealth.