Advertised: April 5, 2018

Office of Civil Rights

REQUEST for LETTERS of INTEREST (RFLOI)

North Carolina Department of Transportation Disparity Study, 2019

TITLE: NCDOT Disparity Study, 2019 USING AGENCY: North Carolina Department of Transportation

Office of Civil Rights ISSUE DATE: April 5, 2018

SUBMITTAL DEADLINE: April 30, 2018 ISSUING AGENCY: North Carolina Department of Transportation Office of Civil Rights

PURPOSE OF THE RFLOI

The North Carolina Department of Transportation (NCDOT) is soliciting Letters of Interest (LOI) for a

consultant to conduct an appropriate disparity study, within the legal framework as established by 49

CFR Part 26 and court rulings, to determine the absence or presence of discrimination in state and

federal highway-aid transportation contracting in North Carolina.

The study will focus on the availability and utilization of minority-owned (MBE) and women-owned

business (WBE) enterprises in the State program, as well as disadvantaged business enterprises (DBE)

in the Federal program and examine relevant evidence of the effects of race-based or gender-based

discrimination upon the utilization of such business enterprises in contracts for planning, design, pre-

construction, construction, alteration, or maintenance of State transportation systems, such as,

highways and bridges, rail, ferry, airports, facilities and public transit, and in the procurement of

materials for these projects.

A further objective is to recommend programmatic remedies to address factors of any identified under-

utilization, including both ethnic groups and work areas. Areas of over-utilization should be addressed

as well. Since the results of the study could be significant to the triennial goal-setting process, the

ADDENDUM: APRIL 23, 2018

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reporting document will be reviewed thoroughly with the intent of looking for quantifiable

“adjustment factors”, AS DEFINED BY FEDERAL AND STATE STATUTES AND/OR REGULATIONS.

The study will examine several NCDOT DBE, MBE and WBE participation and race-and gender-neutral

support services programs, which will require statistical analysis, empirical evidence and an assessment

of any anecdotal and qualitative evidence of discrimination. The study will be based on historical data

with a specific range of appropriate years to be included in this study determined by the selected

consultant and the Department. The preceding study entitled the “North Carolina Department of

Transportation Disparity Study, 2014” covered the procurement of transportation preconstruction and

construction services for the period of July 1, 2008 through June 30, 2013.

The study will form the basis for legally defensible actions to be taken by NCDOT in administering 49

Code of Federal Regulations Part 26 and NC General Statute -136-28.4.

BACKGROUND

In accordance with G.S.136-28.4, at least every five (5) years, the NCDOT is required to conduct a study on the availability and utilization of disadvantaged minority-owned and women-owned business enterprises and examine relevant evidence of the effects of race-based or gender-based discrimination upon the utilization of such business enterprises in contracts for planning, design, preconstruction, construction, alteration, or maintenance of State transportation infrastructure and in the procurement of materials for these projects.

The most recent study, which was completed in 2014 (“North Carolina Department of Transportation Disparity Study, 2014”), concluded that American Indian and Asian American minorities did not suffer from past discrimination over the study period and these businesses were removed from the state MBE/WBE program. The study identified areas of disparity in NCDOT’s contractual awards, as well as recommendations to help increase the minority awareness in bidding opportunities.

GENERAL Except as provided below, any firm wishing to be considered must be properly registered with the Office of the Secretary of State. Any firm proposing to use corporate subsidiaries or subcontractors must include a statement that these companies are properly registered. If Engineers are performing the work and are in responsible charge of the work, they must be registered Professional Engineers in the State of North Carolina and must have a good ethical and professional standing. It will be the responsibility of the selected private firm to verify the registration of any corporate subsidiary or subcontractor prior to submitting a Letter of Interest. Firms which are not providing engineering services need not be registered with the North Carolina Board of Examiners for Engineers and Surveyors. Some of the services being solicited may not require a license. It is the responsibility of each firm to adhere to all laws of the State of North Carolina.

Professional Liability Insurance

The firm must have the financial ability to undertake the work and assume the liability. The selected firm(s) will be required to furnish proof of Professional Liability insurance coverage in the minimum amount of $1,000,000.00. The firm(s) must have an adequate accounting system to identify costs chargeable to the project. Evidence of an acceptable accounting system may be audited prior to official award.

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Assurance of Nondiscrimination

The North Carolina Department of Transportation, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 US.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award. In accordance with other related nondiscrimination authorities, bidders and contractors will also not be discriminated against on the grounds of sex, age, disability, low-income level, or limited English proficiency in consideration for an award. DEFINITIONS

Bidder: A person, partnership, firm, corporation, or joint venture submitting a bid proposal for the

purpose of obtaining a State or NCDOT contract.

Contract: Comprises the RFP, any addenda thereto, the bid proposal, and the purchase order. The

contract constitutes the entire agreement between the state and the consultant.

Minority Business Enterprise (MBE): Any legal entity, other than a joint venture, organized to engage

in commercial transactions, that is at least fifty-one percent (51%) owned and controlled by one or

more minority persons. Minority person means a member of one of the following groups: African-

Americans and Hispanic Americans.

Women Business Enterprise (WBE): Any legal entity, other than a joint venture, organized to engage in

commercial transactions, that is at least fifty-one percent (51%) owned and controlled by one or more

non-minority woman.

Disadvantaged Business Enterprise (DBE): A for-profit small business that is at least fifty-one percent

(51%) owned by one or more individuals who are both socially and economically disadvantaged, or, in

the case of a corporation, in which fifty-one percent (51%) of the stock is owned by one or more such

individuals. The DBE business must have management and daily business operations that are

controlled by one or more of the socially and economically disadvantaged individuals who own it.

Triennial Overall Goal: In accordance with 49 CFR Party 26 and NC G.S. 136-28.4, NCDOT shall establish

overall goals based on demonstrable evidence of the availability of ready, willing and able DBEs, MBEs

and WBEs relative to all businesses ready, willing and able to participate on NCDOT-assisted contracts.

NCDOT currently has goals for the divisions of Aviation, Transit and Highways broken down into race

and gender-neutral goals for each.

Race-Conscious: Race conscience DBE, MBE, and WBE participation includes a contract award to or

contract participation by a DBE, MBE or WBE through non-customary competitive procurement

procedures (i.e., setting DBE, MBE and WBE goals on a contract).

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Race and Gender-Neutral: Race and gender-neutral DBE, MBE and WBE participation includes a

contract or subcontract awarded to a DBE, MBE or WBE through customary competitive procurement

procedures where there was no DBE, MBE or WBE goal, or even if there is a DBE, MBE or WBE goal, a

subcontract award from a prime contractor that did not consider the certification of the subcontractor.

DBE, MBE AND WBE PROGRAMS

The NCDOT is responsible for overseeing the project development, letting, bidding, and award of

transportation contracts utilizing state and federal funds administered through the NCDOT. Contracts

are reviewed for DBE or MBE and WBE subcontracting potential, and advertised goals for each project

are determined. The review to determine the goals includes the number of ready, willing and able

DBE, MBE and WBE contractors; the location of the project; and the subcontracting opportunities.

Goals are set for all modes of transportation including, G.S. 136 facility projects, rail, ferry, aviation and

transit.

The NCDOT also has approved state and federal Small Business Enterprise (SBE) and Small Professional

Services Firm (SPSF) programs to foster DBE, MBE and WBE race and gender-neutral participation.

DIRECTORY OF FIRMS

Federal law requires that the Department create and maintain a database of all firms that are

participating or attempting to participate in NCDOT-assisted contracts. To meet this requirement, the

NCDOT has a Directory of Transportation Firms that lists those firms that meet NCDOT qualifications

as well as those firms that are DBE/MBE/WBE/SBE/SPSF certified through North Carolina’s Unified

Certification Program. The Directory can be accessed by a link on the Department’s homepage or by

entering https://www.ebs.nc.gov/VendorDirectory/default.html in the address bar of your web

browser.

Note: The listing of an individual firm in the Directories shall not be construed as an endorsement of

the firm.

CONSULTANT CREDENTIALS

In order for submissions to be considered responsive, respondents must provide evidence in writing

that they meet the following minimum prior experience requirements:

1. Experience and ability to conduct disparity studies and provide expert testimony regarding its findings and conclusions before any administrative body and/or United States court of law, including evidence of having successfully conducted at least three (3) disparity studies for state or major metropolitan transportation agencies in the last ten (10) years and proof of providing expert testimony in support of such studies; and

2. Experience in conducting all necessary investigations and interviews, surveys, and collections of quantitative data, as well as performing required analyses, collecting all pertinent anecdotal information, and any other activity necessary to carry out this study. Evidence must include proof of successful completion conducting such work for a disparity Study.

SCOPE OF WORK

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The NCDOT is soliciting letters of interest for the services of a firm/team for the following contract scope of work:

Scope of Work and Deliverables The NCDOT seeks a legally defensible disparity study that will support the Department's diversity

programs. Explanation of your approach or general methods used to conduct this disparity study

should include, but are not limited to, the items outlined below:

1. Legal Review: A legal review section that outlines and discusses the legal framework for both

race and gender-conscious programs that includes City of Richmond v. J.A. Croson Co., 488 U.S.

469 (1989) and any other relevant State and Federal court decisions, specifically Fourth Circuit

Court of Appeals, that bear on the abilities, legal rights and obligations of state governments

to implement race and gender conscious preference programs in the context of the study.

Explanation of methodologies and practices to be employed by the NCDOT to comply with such

legal requirements shall be provided in the study. Identify any revisions necessary to the

current NCDOT program that address relevant legal requirements and recent court decisions.

2. Development: Review of the NCDOT contracting policies, procedures, and programs to

determine how these programs can better promote equal access and participation in

opportunities to DBE, MBE and WBE firms seeking to perform in the various areas of

construction, professional services, and goods and services for NCDOT. Critical components of

this analysis must include, but are not limited to, drafting program requirements which:

Determine the history of the utilization of DBEs, MBEs, and WBEs by the NCDOT in contracting and procurement opportunities that were typically awarded, and the number of contracts and dollar amounts spent in each category for the past five (5) years;

Ensure nondiscrimination in the award and administration of NCDOT-assisted contracts;

Ensure that the diversity programs are narrowly tailored and identify race/gender based and race/gender neutral remedies; and

Review current contracting provisions and policies to ensure the NCDOT is not placing barriers to DBE, MBEs, and WBEs participation in contracting.

3. Analysis of Relevant Geographic Market Area and Relevant Product Market Area: Determine

geographic and product markets for construction contracts, professional agreements and

grantees for the contracts/projects for the following transportation areas: highways (including

bike and pedestrian facilities), public transit, rail, ferry, airports and G.S. 136 and 143 facilities

construction, good, services, architectural and engineering services.

4. Estimation of DBE/ MBE/ WBE Availability: Determine the DBE/MBE/WBE availability to make

comparison to utilization. Determine the availability of ready, willing and able MBE, WBE, and

DBE businesses to participate in the NCDOT contracts. Identify each discrete group or category

of minorities to be evaluated that may be individually affected by the NCDOT Programs,

regardless if such group or category is currently identified by the NCDOT Programs. This

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estimation shall consider capacity as a component of being “able”. While analyzing availability,

the consultant shall precisely define its measure of availability and explain how such availability

was calculated.

5. Measurement of DBE/ MBE /WBE Utilization: Determine the utilization of DBE/MBE/WBE as

prime contractors, subcontractors and consultants on the NCDOT projects. The NCDOT

considers ready, willing and able to perform businesses as those which are capable of providing

the required work or services, and available to perform when solicited. The consultant shall

ascertain whether a statistically significant disparity exists between the availability of ready,

willing, and able disadvantaged, minority and women owned businesses, and the utilization of

such firms in NCDOT respective contracts (whether as prime contractors, subcontractors, or

professional services).

6. Disparity Analysis: Working with the availability and utilization data outlined above, the

consultant will be expected to perform a disparity analysis to determine whether statistically

significant disparities exist between the availability of disadvantaged, women and minority

owned businesses and the utilization of such firms by the NCDOT. The response should outline

the way this disparity ratio will be determined. The disparity analysis must examine

subcontractors and prime contractors (bidders). It must also separately examine various

industries as narrow a classification level as possible. At a minimum, the analysis must examine

construction, goods, and professional services. Finally, the disparity analysis must provide

disparity statistics that are disaggregated by gender and race where the data permits. Critical

components of this analysis include, but are not limited to:

Analysis of discrimination and its effect separately for each (DBE, MBE and WBE) group;

Analysis of factors other than discrimination that may account for statistical disparities between DBE, MBE and WBE availability and participation; and

Analysis of barriers in obtaining bonding, financing, etc.

7. Anecdotal Data Collection and Analysis: The LOI should provide a detailed description of how

the consultant proposes to conduct an investigation into what, if any, anecdotal evidence of

discrimination exists in the NCDOT’s market area(s). Critical components of this analysis

include, but are not limited to:

Type of outreach efforts (e.g., phone, mail, public hearings, etc.) used and methodology in evaluation of the anecdotal evidence; and

Consideration of allegations of discrimination, both active and passive, by the NCDOT, as well as discrimination by private customers, suppliers, and prime contractors of NCDOT.

8. Private Sector Utilization and Disparity Analysis: The LOI should also include a comprehensive

description of how the consultant proposes to analyze the existence, if any, of discrimination

in the private commercial (non-residential) contracting industry in the NCDOT’s market area.

Critical components of this analysis include, but are not limited to:

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Comparison of NCDOT and Private Sector Utilization of DBE, MBE and WBE contractors; and

Statistical assessments of (a) disparities in business formation, (b) disparities in business owner earnings, (c) disparities in access to commercial credit and capital.

9. Final Report of Findings, Remedies and Recommendations: the final report must be a

searchable electronic format (.pdf file) acceptable to the Agency, of all data and records

developed that will permit future use by Agency. If evidence of discrimination exists, the final

report should include specific remedies and recommendations for NCDOT’s overall DBE, MBE

and WBE goals, including race-conscious and race-neutral breakouts. Specific

recommendations should include, but are not limited to:

Assessment of the extent to which the effects of discrimination can be addressed

through race and gender neutral means and whether narrowly tailored, race and

gender specific remedies would be effective;

Alternative policy and program directions based on legally defensible best

practices. The results and recommendations will serve as a reference document

in the creation of directives, standards and practices; and

Programmatic changes, including enhancements, if necessary, to include staffing.

The consultant must ensure that adequate and accurate responses are provided. It is the responsibility

of the responding consultant to provide complete answers to each requirement even if that results in

redundant or duplicated material within the proposal.

PROPOSED CONTRACT TIME: ONE YEAR PROPOSED CONTRACT PAYMENT TYPE: The contract payment type shall be LUMP SUM OR COST - PLUS AGAINST A CONTRACT MAXIMUM, varying per Task Order and based on the scope of work and other factors as appropriate, and as agreed between the consultant and the NCDOT.

Firms selected for an interview will be required to bring a detailed budget for the project in a separate sealed envelope marked “Price Proposal”. The Price Proposal must include a schedule of hourly billing rates for any additional services outside the scope of work and deliverables, and any reimbursable services, including copies, mail, and mileage.

Billing should occur on the basis of milestones, as supported by monthly status reports corresponding to the required scope of work and deliverables.

SUBMITTAL REQUIREMENTS Format ALL LOIs ARE LIMITED TO TWENTY-FIVE (25) PAGES, EXCLUDING RS-2 FORMS, COVER SHEET AND TABLE OF CONTENTS, AND SHALL BE TYPED 8 ½” X 11” SHEETS, SINGLE SPACED, ONE SIDED. LOIs CONTAINING MORE THAN TWENTY-FIVE (25) PAGES WILL NOT BE CONSIDERED.

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ALL LOIs MUST BE SUBMITTED ELECTRONICALLY IN .PDF FORMAT USING SOFTWARE SUCH AS ADOBE,

CUTEPDF PDF WRITER, DOCUDESK DESKPDF, ETC.

TIME FOR SUBMISSION LOIs SHALL BE RECEIVED ELECTRONICALLY NO LATER THAN 12:00 P.M., APRIL 30, 2018. NO EXCEPTIONS. LOIs RECEIVED AFTER THIS DEADLINE WILL NOT BE CONSIDERED. INSTRUCTIONS FOR SUBMISSION The LOI should be sent as a .pdf file, through NCDOT’s File Transfer System (FTS), to mtmclean@ncdot.gov. The FTS will send you an electronic receipt when your LOI is uploaded to NCDOT’s FTS. Paper copies are not required. The subject line should contain the Firm’s Name, and “LOI for NCDOT Disparity Study, 2019.” If an interested firm does not have an FTS account, they should send a request through regular e-mail to mtmclean@ncdot.gov. A response will be sent via the FTS system that will provide a login username, password, and login procedures. COMPLETE SUBMISSION Firms submitting LOIs are encouraged to carefully check them for conformance to the requirements stated above (and any other requirements in this Advertisement). If LOIs are submitted late, exceed the maximum number of pages, are sent by any means other than NCDOT’s FTS system, or are sent to any address other than mtmclean@ncdot.gov, they will be disqualified. The NCDOT reserves the right to reject all LOIs and not proceed with procurement. The NCDOT reserves the right to waive any technicality in LOIs, or notify the Firm(s) of such technicality and allow the Firm(s) up to two (2) business days to rectify the technicality. All correspondence and questions concerning this RFLOI should be directed to Marolyn McLean, Program Assistant for Office of Civil Rights at mtmclean@ncdot.gov. IF APPLICABLE, questions may be submitted electronically only, to the contact above. Responses will be issued in the form of an addendum available to all interested parties. Interested parties should also send a request, by email only, to the person listed above to be placed on a public correspondence list to ensure future updates regarding the RFLOI or other project information can be conveyed. Questions must be submitted to the person listed above no later than April 16, 2018 The last addendum will be issued no later than April 23, 2018. NOTE: To adhere to the Timeframe, a Notice to Proceed is expected to be issued shortly after (a) firm(s)/team(s) is/are selected. All firm(s)/team(s) submitting a LETTER OF INTEREST should make sure that their rates and overheads are current and have been audited by NCDOT.

SELECTION PROCESS The following is a general description of the selection process:

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A Selection Team will be convened to evaluate proposals received in accordance with the schedule and

evaluation criteria stated in this RFLOI. The Selection Team will rank the consulting candidates (firms,

teams and/or individuals), and will short list a group of finalists for a personal interview which will

provide most qualified consultant(s) for each Task or group of tasks.

The Selection Team will then negotiate with the most qualified consultant(s) firm, based on a thorough

and detailed scope of services, and will reach agreement on terms and fees for professional services

valid for the period of engagement. In the event that an agreement cannot be reached, the Selection

Team reserves the right to terminate negotiations with that consultant and will commence

negotiations with the next most qualified consultant.

The Selection Team may, at the NCDOT’s discretion, choose any number of firms to provide the services being solicited. Selection of any firm and/or team is subject to the approval of the NCDOT.

SELECTION CRITERIA All firms who submit responsive letters of interest will be considered.

Responses to this RFLOI will be evaluated in accordance with the following criteria:

1. 20% = Qualifications and experience of the consultant, and any sub

consultants, regarding their ability to collect and analyze data, research

trends, evaluate economic issues, and develop solutions that

specifically impact employment and labor in the transportation

industry.

2. 20% = Qualifications and experience of the consultant, and any sub

consultants, regarding developing and implementing programs in

support of or associated with the construction industry for this size

contract.

3. 15% = Demonstrated ability to meet commitments requested in the

RFLOI within the projected schedule.

4. 15% = Knowledge of Federal (FHWA), State (NCDOT) regulations,

programs, associated with highway construction, highway contracts,

contract administration.

5. 10% = References from at least three (3) similar projects.

6. 10% = Demonstrated experience, proven record of success on

similar projects, proven financial stability, proof of ethical performance

and professional integrity.

7. 10% = The Firm’s Disadvantaged Business Enterprise Participation.

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SUBMISSION ORGANIZATION AND INFORMATION REQUIREMENTS The LOI should be addressed to Marolyn McLean, Program Assistant for Office of Civil Rights and must include the name, address, telephone number, and e-mail address of the prime consultant’s contact person for this RFLOI. In addition to the requirements above, under Consultant Credentials and Scope of Work and Deliverables, the LOIs must also include the information outlined below: Chapter 1 - Introduction

The Introduction should demonstrate the consultant's overall qualifications to fulfill the requirements of the scope of work and should contain the following elements of information:

Expression of firm’s interest in the work;

Statement of whether the firm is registered with the Office of Secretary of State;

Statement regarding firm‘s(’) possible conflict of interest for the work;

Statement Acknowledging receipt of Addendum; and

Summation of information contained in the letter of interest.

Chapter 2 - Team Qualifications

This chapter should elaborate on the general information presented in the introduction, to establish the credentials and experience of the consultant to undertake this type of effort. The following must be included:

1. Identify, at a minimum, three (3) recent similar projects the firm, acting as the prime contractor, has conducted which demonstrates its ability to conduct and manage the project. Provide a synopsis of each project and include the date completed, contact name and title, phone number, and email address.

2. If subconsultants are involved, provide corresponding information describing their qualifications as requested in bullet number 1 above.

Chapter 3 - Team Experience

This chapter must provide the names, classifications, and location of the firm’s employees and resources to be assigned to the advertised work; and the professional credentials and experience of the persons assigned to the project, along with any unique qualifications of key personnel. Although standard personnel resumes may be included, identify pertinent team experience to be applied to this project. Specifically, the Department is interested in the experience, expertise, and total quality of the consultant's proposed team. If principals of the firm will not be actively involved in the study/contract/project, do not list them. The submittal shall clearly indicate the Consultant’s Project Manager, other key Team Members and his/her qualifications for the proposed work. Also, include the team’s organization chart for the Project / Plan. A

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Capacity Chart / Graph (available work force) should also be included. Any other pertinent information should also be listed in this section. Note: If a project team or subconsultant encounters personnel changes, or any other changes of significance dealing with the company, NCDOT should be notified immediately.

Chapter 4 - Technical Approach

The consultant shall provide information on its understanding of, and approach to accomplish, this project, including their envisioned scope for the work and any innovative ideas/approaches, and a schedule to achieve the dates outlined in this RFLOI (if any project-specific dates are outlined below).

SUBMISSION SCHEDULE AND KEY DATES

Provided below is the schedule for milestones in this RFLOI process, listed in order of occurrence. NCDOT reserves the right to change any or all of these dates as it deems necessary or convenient in its discretion. RFLOI RELEASE – APRIL 5, 2018

DEADLINE FOR QUESTIONS – APRIL 16, 2018

ISSUE FINAL ADDENDUM – APRIL 23, 2018

DEADLINE FOR LOI SUBMISSION – APRIL 30, 2018

SHORTLIST ANNOUNCED * - MAY 15, 2018

INTERVIEWS - THE WEEK OF JUNE 1, 2018

FIRM SELECTION AND NOTIFICATION ** - JUNE 15, 2018

ANTICIPATED NOTICE TO PROCEED – JUNE 30, 2018

* Notification will ONLY be sent to shortlisted firms.

** Notification will ONLY be sent to selected firms.

STUDY PROJECT SCHEDULE AND WORK PLAN

Detailed timetables and milestones for projecting and tracking progress of deliverables will be

developed by the consultant and agreed upon by the Department.

At a minimum, detailed monthly progress reports shall be submitted, with the first one delivered not

later than the end of the second week after the disparity study contract is executed, so that progress

on the project can be monitored. Regular face-to-face meetings may be held with consultant to discuss

progress and problems, and to help facilitate and expedite the study project schedule.

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This study will require a major milestone that an Executive Summary of findings be complete by June

30, 2019. The purpose of the summary is to present the information to the North Carolina General

Assembly. The summary shall contain information, data and analysis sufficient to inform legislators as

to the absence or presence of disparity in transportation contracting and whether a program complying

with equal protection standards is supported by the analysis.

An initial draft of the Final Report shall be completed and delivered not later than one (1) year from

commencement and the Final Report not later than sixty (60) days from the receipt of the NCDOT’s

review and feedback of the draft.

Responses shall detail a post-study feedback strategy to include, at a minimum, one (1) follow up

meeting and recommendations on document and record retention and transfer.

CONTRACT MANAGEMENT

The NCDOT Utilization Manager will serve as the agreement administrator for the contract, and will be the primary point of contact for the consultant after award.

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NCDOT – Office of Civil Rights

REQUEST for LETTERS of INTEREST (RFLOI)

North Carolina Department of Transportation Disparity Study, 2019

Written Questions and Responses

April 23, 2018

QUESTION RESPONSE

1 Page 4 of the RFP states that proposers must provide

“proof of providing expert testimony in support of such

studies [disparity studies conducted in the last 10

years].” Our firm has conducted more than 60 disparity

studies since 2008 in a manner that meets the highest

research and legal standards. As a result, none of those

studies have been involved in any legal challenges and

thus have not afforded us the opportunity to provide

expert testimony related to them. Would NCDOT

consider changing this requirement to ensuring that

proposers are qualified and able to provide expert

testimony should the need arise?

The requirement will not be changed. However, if

your firm has not provided expert testimony,

please state so and why in your response.

2 Does NCDOT maintain the following data for all relevant

prime contracts and all subcontracts awarded during

the study period:

a. Contractor name and contact information (e.g., address and phone number)?

b. Contract date (prime contract only)?

c. Work description?

d. Funding source (e.g., federal funding or state/local funding)?

e. Original contract award or budgeted amounts?

f. Paid-to-date amounts?

g. Change order or amendment amounts?

Yes.

3 Are those data maintained electronically, in hard copy, or some combination?

Data is maintained in some combination of both

electronic and hard copy.

4 Typically, a disparity study focuses on four or five years of contracting (i.e., the study period). Does NCDOT have any guidance on how long it would like the study period to be and what years it would like the study period to

The study period will be July 1, 2013 to June 30,

2018.

NCDOT Disparity Study, 2019 Q&A’s issued: April 23, 2018

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cover? For example, would NCDOT like the disparity study to pick up where the previous disparity study left off and analyze information on contracts that the agency awarded between July 1, 2013 through June 30, 2018?

5 Would NCDOT like the disparity study to include

analyses on all construction, professional services, and

goods contracts that the agency awarded during the

study period or just those construction, professional

services, and goods contracts that were related to

transportation projects?

All construction, professional services, and goods

and services contracts during the determined

study period.

6 Has NCDOT established a budget for the disparity

study? If so, could NCDOT please share budget details?

No. Shortlisted firms will be required to submit

sealed price proposals.

7 Page 8 of the RFP specifies that “All LOIs are limited to

twenty-five (25) pages, excluding RS-2 forms, cover

sheet and table of contents…”. Could you clarify

whether RS-2 forms are required for this submission,

and if so, where to access form?

Yes. Here are the RS-2 forms for primes and

subconsultants.

8 Page 8 of the RFLOI, under Format, states “All LOIs are limited to twenty-five (25) pages, excluding RS-2 forms.” Please clarify if RS-2 forms for prime and subs will be required since the budget is required at the time of the interview.

See response to 7.

9 Page 10, Chapter 2 — Team Qualifications, bullet 2, states “If subconsultants are involved, provide corresponding information describing their qualifications as requested in bullet number 1 above.” Please clarify if a) three recent similar projects the subconsultant firm are required and b) if the subconsultants’ role must be as a prime or subconsultant.

a) Yes, three (3) recent similar projects for the subconsultant firm are required; and

b) There is no preference as to whether the subconsultant’s role was as a prime or subconsultant.

10 Page 11, Chapter 3 — Team Experience states, “standard personnel resumes may be included.” Will NCDOT accept standard resumes in an appendix that does not count towards the 25-page limit?

The page limit is twenty-five (25) pages,

excluding the cover sheet, RS-2 forms and table

of contents.

11 Page 10, Chapter 2 — Team Qualifications. Will NCDOT accept letters of reference that do not count towards the 25-page limit?

See response to 10.

12 Page 2, Purpose of the RFLOI, states “The preceding study entitled the “North Carolina Department of Transportation Disparity Study, 2014” covered the procurement of transportation preconstruction and construction services for the period of July 1, 2008 through June 20, 2013.” What would be the study period of the 2019 Disparity Study?

See response to 4.

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13 Page 12, Study Project Schedule and Work Plan, states “An initial draft of the final report shall be completed and delivered not later than one (1) year from commencement and the Final Report not later than sixty (60) days from the receipt of the NCDOT’s review and feedback of the draft.” Please confirm that the project contract time will be 14 months, including the 60 days for the review and delivery of the Final Report.

The proposed contract time is one (1) year.

14 Does NCDOT have information about all subcontractors (DBE/MBE/WBE and non-DBE/MBE/WBE) involved in its own state and FHWA-funded contracts? If so, for what years is this information available, and in what form (hard copy or electronic) is it maintained?

See response to 2.

15 Does NCDOT have information about all subcontractors (DBE/MBE/WBE and non-DBE/MBE/WBE) involved in subrecipients’ state and FHWA-funded contracts? If so, for what years is this information available, and in what form (hard copy or electronic) is it maintained?

See response to 2.

16 Can NCDOT provide the amount it has budgeted for this assignment? If not, what was the cost of the prior disparity study?

See response to 6.

17 Is there a DBE/MBE/WBE goal assigned to the 2019

Disparity Study?

No, but 10% of the selection criteria is whether

or not the firm has DBE participation.

18 Please explain how prime expenditure data are

maintained for NCDOT during the desired study period.

Are the expenditure data maintained in a centralized

digital system? If not, please explain the systems used

for NCDOT?

See response to 3.

19 Please clarify how expenditures are coded. Does NCDOT

use NAICS or NIGP, or some other type of commodity

code?

SAP is the system used by the NCDOT for coding

expenditures.

20 How detailed is the commodity coding for the services

contracted/procured? For example, if NAICS codes are

used are they at the 2-digit level, which is a broader

description of services (NAICS code 23=Construction) or

at the 6-digit level, which is more detailed (NAICS

238160 =Roofing Contractors).

See response to 19.

21 Please explain how subcontract data are maintained for

the desired study period. Is subcontract award data

centralized or decentralized?

a. Does NCDOT maintain data on payments made to subcontractors?

See response to 3.

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b. Please explain how the data are maintained, such as in contract files, contract management system, scanned documents.

22 Does NCDOT maintain information on

Bidders/Respondents to RFPs/RFQs?

Yes.

23 Does NCDOT track the race/ethnicity and gender

classifications of prime and sub vendors? Registered

vendors? Bidders/Respondents to RFPs/RFQs? Prime

contractors/consultants?

Subcontractors/Subconsultants?

Yes.

24 Is there a DBE/HUB goal? If so, what is it? See response to 17.

25 What is the anticipated budget for this project? See response to 6.

26 Under the Scope of Work, Bullet point 2. Development

(pg. 5), a historical analysis of utilization of

MBE/DBE/WBEcertified firms is requested for the past

five (5) years. However, per the purpose of the study

(pg. 2), a study period has not yet been determined and

would be at the discretion of the consultant. Should the

consultant presume that the study will cover a similar

five (5) year period?

See response to 4.

27 Scope of Work, page 5, bullet point 2, “Development”

includes a review of the last five (5) years of utilization.

However this step is also accomplished under bullet

point 5 “Measurement of DBE/MBE/WBE Utilization”.

Does this data need to be represented twice, under

both section 2, Development and Section 5, Utilization?

Or would it be satisfactory to include solely under

Utilization?

This data may be required under both bullet

points.

The consultant must ensure that adequate and

accurate responses are provided. It is the

responsibility of the responding consultant to

provide complete answers to each requirement

even if that results in redundant or duplicated

material within the proposal.

28 Scope of Work, page 5, bullet point 2, “Development”

appears to request some very specific program analysis

in addition to the traditional purchasing policies review.

Is it be the expectation that the selected consultant also

draft revisions to the current program based on this

analysis? If so, should this data be included under

Development, or should it be included under “Findings,

Remedies, and Recommendations”?

Yes, and this data may be required under both

bullet points.

The consultant must ensure that adequate and

accurate responses are provided. It is the

responsibility of the responding consultant to

provide complete answers to each requirement

even if that results in redundant or duplicated

material within the proposal.

29 HUB certified firms were included in the original LOI,

but were not included in the updated LOI. For clarity,

HUB firms are not expected to be included in any

availability/utilization analysis?

HUB firms are not to be included in any analysis.

30 Under Scope of Work, bullet point 4 “Estimation of

DBE/MBE/WBE Availability” it notes that capacity shall

be considered as a component of being “able”. Does

NCDOT currently keep any data or specific guidelines

Some data may be available to assist the

consultant.

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which would assist the consultant in making this

determination?

31 Did NCDOT have division let contracts? If so,

a. what is the approximate annual dollar figure for those division-let contracts?

b. Is there complete subcontractor data for those contracts?

c. Is the contract data in an electronic database (as opposed o hard copy or pdf)?

Yes, the NCDOT division let contract information

is available on the NCDOT’s Bidding & Letting

site, but additional details will be provided to the

selected consultant.

32 Did NCDOT maintain a list of registered subcontractors, or equivalent list? If so, are such contractors identified by race/ethnicity/gender?

Yes.

33 Did NCDOT maintain a list of prequalified prime contractors? If so, are such contractors identified by race/ethnicity/gender?

Yes.

34 On page 4, under Consultant Credentials, item 1 asks for evidence of having successfully conducted at least 3 disparity studies for state or major metropolitan transportation agencies in the last 10 years. Please clarify the type of evidence required, i.e. list of studies, contact information, etc.

Proof may include a list of prior studies

conducted and contact information, including

name and title, email address and telephone

number.

35 On page 4, Consultant Credentials, item 1 asks for proof of providing expert testimony. What type of proof is required?

Proof may include a list of prior studies

conducted, or cases involving a study your firm

conducted, and contact information, including

name and title, email address and telephone

number. If your firm has not provided expert

testimony, please state so and why in your

response.

36 On page 4, Consultant Credentials, item 2, it states that evidence must include proof of successful completion conducting interviews, surveys, etc. What type of proof?

See response to 34.

37 On page 7, submittal requirements, under Format, it states that LOIs are limited to 25 pages, except for cover sheet, table of contents and RS-2 forms. Are resumes included in the 25-page limit? If not, can they be included in an appendix?

See response to 10.

38 On page 8, under Complete Submission, it states that all firms submitting a LOI should make sure that rates and overheads are current and have been audited by NCDOT. Please clarify this requirement.

Consultants currently working with the NCDOT

should have rates and overheads that have

already been approved.

Consultants that have not done business with the

NCDOT will have to submit rates and overhead

for approval.

39 Please clarify the format for the submittal. What is the relationship between the 4 chapters listed on pages 10-

Page 10 provides that “in addition to the requirements under Consultant Credentials and Scope of Work and Deliverables, the LOIs must also include the information outlined in

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11 and the Consultant Credentials and Scope of Work listed on pages 4-7?

“Submission Organization and Information Requirements.

40 Please confirm that only firms appearing in the DBE Directory can be included as subconsultants for this project.

This is not true. However, firms must be in the

Directory of Firms to count towards DBE

participation.

41 On page 10, Chapter 2 Team Qualifications, item 2, it states that corresponding information describing subconsultants qualifications should be provided as requested in bullet number 1. Please clarify-does this mean 3 recent similar projects that subconsultant participated on?

See response to 9.

42 Approximately how many prime contracts were

awarded during the study period?

This data will be provided to the selected

consultant.

43 What is the dollar spending for these prime contracts

during the study period?

This data will be provided to the selected

consultant.

44 Will the study examine construction; construction-

related professional services; goods and services

contracts?

See response to 5.

45 Are contracts for the study period in the B2GNow

system? If not, what other system(s) contain contract

information?

No. SAP contains contract information.

46 Has NCDOT tracked the following prime data? Please

respond separately for each field of information. Please

indicate if the data vary by the type of contract

(construction, construction-related professional

services, goods and services, (if included in the study)).

Prime contract identification number

Prime contract name

Dollar amount of payment(s) to prime contractor for the study period (inclusive of all change orders)

Funding source for the contract (FHWA, FTA, FAA or state)

Original dollar amount of prime contract award

Contract start date

Contract end date

Contract status (open/closed)

Business name of prime contractor

General description of services performed, or goods supplied under prime contract

Yes to all.

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D/MBE/WBE or non- D/MBE/WBE status of prime contractor (including race, ethnicity, and sex)

Prime contractor address, telephone number and email address

Prime contractor contact person and title

Six-digit NAICS code(s) and/ or detailed description of work performed on the contract

Is there a D/MBE/WBE goal on the contract?

D/MBE/WBE goal

Indicator for whether or not prime contract has subcontracts (first tier minimum; if other tiers, clearly designate)

47 Has the agency tracked D/MBE/WBE certified

subcontractor data? Please respond separately for each

field of information.

Subcontract identification number

Subcontract name

Business name of subcontractor

Description of services performed, or goods supplied by subcontractor

D/M/W/SBE or non- D/MBE/WBE indicator for subcontractor (including race, ethnicity, and sex)

Six-digit NAICS code(s) for subcontractor’s work on specified contract

Total dollar amount received by subcontractor (inclusive of all change orders)

Yes to all.

48 Has the agency tracked NON- D/MBE/WBE certified

subcontractor data? Please respond separately for each

field of information.

Subcontract identification number

Subcontract name

Business name of subcontractor

Description of services performed, or goods supplied by subcontractor

D/MBE/WBE or non- D/MBE/WBE indicator for subcontractor (including race, ethnicity, and sex)

Six-digit NAICS code(s) for subcontractor’s work on specified contract

Total dollar amount received by subcontractor (inclusive of all change orders)

Yes to all.