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Request For Proposal Ethics Training Program

REQUEST FOR PROPOSAL Ethics Training Program BDZ1226

THE CITY OF DALLAS

Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program Section 1 Background

1.1

Purpose The City of Dallas (hereinafter, the City) seeks requests for proposals (RFP) from qualified vendors for the assessment of current ethics efforts and employee attitudes towards ethics, development of a comprehensive ethics training program, and to conduct post implementation evaluation of the success of the training program for City employees. To be eligible for consideration, sealed proposals shall be presented in accordance with the instructions of this solicitation and within the timeframe specified. It shall be the responsibility of the selected Proposer to meet all specifications and guidelines set forth herein. The City has determined the criteria and process whereby proposals are evaluated and awarded per section 7 below. The successful proposer will analyze the Citys existing Ethics Program, by assessing the current efforts, identifying gaps and opportunities, offering recommendations for improvements, and providing training that can be delivered to City staff including labor and other field personnel, professional, office, sworn police and fire employees. Proposer shall receive payment in accordance with service contract to be drafted upon selection of the most advantageous solution.

1.2

Current Situation On June 28, 2000 the Dallas City Council passed ordinance No. 24316 which established a new code of ethics for all city officials and employees [in Chapter 12A of the Dallas City Code]. The purpose of the Code is to provide principles of conduct for elected and appointed City officials. Additionally, the Code provides regulations, restrictions and prohibitions relating to improper economic benefits, unfair advancement of private interests, gifts, confidential government information, outside employment, and use of public property and resources. It also regulates political activities of City officials and employees, provides restrictions on contracting with the City and representing private interests of others before the City, provides requirements for certain City officials and employees to file financial disclosure reports and travel reports. The Code of Ethics also provides for the creation, membership, qualifications, jurisdiction and powers of the Ethics Advisory Commission, which is currently comprised of a seven-member panel. The current program can be viewed at http://www.ci.dallas.tx.us/cso/ethics.html . A recent audit conducted by the City Auditor found that there are opportunities to improve the compliance and delivery of the program to the Citys employees. The audit of the Ethics Program may be found at http://www.dallascityhall.com/pdf/Auditor/A12-005_AuditEthics_021712.pdf . Section 2 General Provisions

Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program 2.1 Proposal Submission Date

Proposals shall be delivered no later than 2:00 P.M. on the specified due date. Late proposals will not be accepted. The City reserves the right to issue additional instructions or requests for additional information, which may extend this due date, should it be determined by the City as being in its best interest. Any changes to this RFP will be via an addendum, posted on the Citys website: www.bids.dallascityhall.org, solicitation BDZ1226.

2.2 Format of Proposal


Two (2) original printed submissions and seven (7) electronic copies (CD or flash drives only) of the proposal shall be mailed or hand delivered to Dallas City Hall, Business Development & Procurement Services, 1500 Marilla St., Room 3FN, Dallas, TX 75201. All proposals shall list the solicitation number BDZ1226 and be in a sealed box or envelope containing the required information in this RFP to allow the City to properly evaluate the submission.

2.3 Inquiries / Contact Information


All questions regarding this RFP shall be made in writing to the buyer no later than noon on 4/24/12 following the pre-proposal meeting: Michelle Charnoski Business Development & Procurement Services 1500 Marilla St. #3FN Dallas, TX 75201 michelle.charnoski@dallascityhall.com Fax: 214-670-4793 2.4 Schedule of Events The following describes the Schedule of Events for this RFP. Event Milestone Advertisement of RFP Pre-Proposal Conference RFP Questions Due RFP Submittals Due RFP Evaluations Vendor Presentations (if necessary) Best and Final Offers Estimated Council Agenda Date 4/7/2012 4/19/2012 4/24/2012 5/2/2012 5/4 5/14/2012 Week of 5/7/2012 Week of 5/14/2012 8/8/2012 Time X 2:00 PM 12:00 PM 2:00 PM X X X X

The City reserves the right to modify this schedule if in its sole discretion such modifications are necessary.
Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program

All costs directly or indirectly related to the preparation of a Proposal in response to this RFP, and any oral presentation required to supplement and/or clarify a Proposal which may be required by the City, shall be the sole responsibility of and borne by the Proposer to incur such costs. Section 3 Pricing and Term 3.1 Pricing This proposal shall be structured as a professional services contract. Proposer shall provide all labor, equipment, supplies, and other services as required to evaluate, enhance, and implement the Citys Ethics Training Program. The City desires no out of pocket expense for program implementation. Pricing should include costs to provide initial assessment of the Citys Ethics Program, development of ethics training materials and program, implementation of the proposed changes and training (train the trainer, seminars, virtual training/Webinars), and follow up assessment and any subsequent expenses associated with a turn-key program. 3.2 Term The contract term of this agreement will be based on performance of the negotiated scope of services that most satisfy the requirements of this solicitation. Section 4 Project Understanding and Scope 4.1 Scope of Work A. Vendor will work with City to further develop the existing ethics program, by assessing the current efforts, identifying opportunities for improvement, offering recommendations for enhancements, providing training, and assessment of effectiveness following training. B. The scope of the project is limited to employees of the City. C. The Ethics Training Program will be used for all City employees including labor and other field personnel, professional, office, police and fire employees. The City of Dallas has approximately 13,000 employees. It will be used for ongoing and new employee training. D. Vendor shall review current ethics practices, protocol, training, compliance monitoring, and opportunities. This review should then be used to recommend any improvements. E. Following the vendors assessment of what is currently in place and the cultural climate, the vendor will suggest enhancements to meet the needs of the City and provide all of the materials necessary to deliver the training. F. Vendor should propose various delivery methods of the ethics program to City employees (online, live or a combination of training, etc), and accommodate the requirements needed for ensuring the effective delivery of such training. 4.2 Objectives The Ethics Training Program should:

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Request For Proposal Ethics Training Program

A. Be effective in promoting a culture of honesty and integrity based on the Citys


ethics policies, as well as, effectively conveying the need for establishing such a culture as it relates to societys current challenges in these areas. B. Augment existing efforts around compliance. C. Be comprehensive and encourage employee compliance with ethics laws, regulations, policies, and/or procedures. D. Help engender the communitys trust in the integrity of the City. E. Incorporate ongoing efforts to promote and maintain an ethical culture within the City. 4.3 Vendor Requirements A. Vendor will provide all personnel, equipment, tools, materials, supervision, and other items and non-personal services necessary to further enhance the Citys current ethics program, supporting documentation, training and training materials. B. Vendor shall utilize employees, which have the qualifications, education, experience, training and certifications necessary to provide all services as described in this RFP. Vendor shall dedicate a sufficient number of employees to provide all services in the manner required by and within the time requirements of the contract. C. The vendor shall conduct an initial kick-off meeting with the City and present a Plan of Action and Milestones for project execution within two weeks of date of contract execution. D. Vendor shall be available to conduct weekly conference calls or in person meetings as requested by the City. 4.4 Related Expenses / Travel Expenses If applicable, any expenses, such as supplies, printing, travel, etc. shall be passed through at vendors cost. 4.5 Insurance Requirements The successful bidder will be required to purchase and maintain, during the term of the contract, insurance as described in Attachment 1. Section 5 Statement of Qualifications 5.1 Qualifications The qualifications and operational capabilities of prospective suppliers fundamental criteria, which the City will assess in selecting a preferred Proposer. Vendor should have one or more of the following qualifications: are

A. Minimum of five (5) years experience in the development of ethics programs B. An understanding of the requirements as outlined in the Federal Sentencing
Guidelines or other best practices for ethics programs, and the spirit and intent of those guidelines for an effective compliance and ethics program C. Have experience administering ethics assessments, providing training in ethics and creating documents outlining codes of conduct and ethics D. Experience with ongoing assessment of compliance and ethics programs

Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program Vendor should have all of the following qualifications: A. Experience developing robust ethics programs B. Experience working with concepts, practices, and procedures in the area of ethics C. Experience working with large- scale programs specifically within a governmental agency or corporate structure D. Experience designing and delivering training for employee groups ranging from laborers to executives. E. Ability to provide bi-lingual documents, components, and training F. Experience designing survey tools for all employee groups to ensure and measure adequate transfer and application of knowledge. Vendor shall be available, throughout the term of the contract, to meet with the City in person at the discretion and request of the City. Section 6 Proposal 6.1 Proposal Each proposal should include all of the following information:

A. B.

The name of the Proposers legal entity that will be providing service to the City. A short description of the Proposers corporate structure, including the name of the parent, if any, and affiliates doing business in Texas. Provide an organizational chart showing the structure to be used for this specific project and the roles and locations of each team member. Would you or a sub consultant team member have to hire additional personnel in order to complete this project in a timely manner? Provide a brief history of the company including the number of years in business of providing services similar to the requirements of this solicitation. Describe your experience and understanding of the following requirements:

C.
D.

1. Experience administering ethics assessments, providing training in ethics and


creating documents outlining codes of conduct and ethics 2. Experience with ongoing assessment of compliance and ethics programs 3. Experience building robust ethics programs 4. Experience working with concepts, practices, and procedures in the area of ethics 5.Experience working with large-scale programs specifically within a governmental agency or large corporate structure E. Briefly describe your firms approach to this project. You may provide your firms general approach to projects of this nature; however, the approach should specifically address issues, concerns, methodology, etc. that may be important on this project and indicate your firms suitability for the project. Methodology / Operation

6.2

A. Provide resumes of staff expected to be assigned to this project and describe their
roles and responsibilities
Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program

B. Indicate who will be the primary contact for the City C. Provide a proposed project plan with timelines for the initial assessment and
recommendations. D. Proposer may recommend multiple approaches. Describe the proposed training plan for the City including: 1. Description of training; which should include situational and occupation specific components accounting for the difference in requirements for in field labor, professional, office/administrative, police and fire department uniformed and civilian employees. 2. Delivery method for training of current employees and new employees such as, train the trainer, seminars, virtual training/Webinars. 3. Training materials that will be provided to the City 4. Proposed amount of training to be provided and for how many City staff members 5. Describe the proposed types of delivery methods of the ethics program available to the City. Delivery method should be tailored to the various types of employees including laborer and other field personnel, professional and office/administrative staff, police and fire uniformed and civilian employees. 6. Provide sample status reports representative of the reports to be provided to the City. 7. Provide a list of all materials with description that will be provided to the City. E. Provide a proposed project plan with timelines for a post implementation assessment of effectiveness along with methodology (ies) that will be utilized to effectively assess the effectiveness of the program. F. Proposer should also provide sample methods for the city to have documentation that each employee received the ethics training at the conclusion of each training session. Create and deliver electronic documentation of training by employee number and department. Note: All training materials shall be provided in English and Spanish. Section 7 Evaluation Criteria The Evaluation Committee will review the submittals in accordance with the following criteria: Pricing (40 points) Qualifications (20 points) A. Each proposal will be evaluated as to the Proposers capabilities and experience with similar type projects. B. Staffing size and types dedicated to the project. C. Qualifications and experience highlighting expertise and a proven track record of assigned personnel having significant roles with similar type projects. Project Understanding and Scope (15 points)
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Request For Proposal Ethics Training Program A. B. C. D. E. F. Proposers proposed work plan and approach to project Demonstrated understanding of the Scope of Work as evidenced in the submittal Proposed approach adequately answers questions Special concerns or techniques used Proper attention given to critical issues Does the proposed approach meet the requirements of the Scope of Work?

Past Performance (10 points) Each Proposer will be evaluated for their success in delivering projects of an exact or similar nature. Business Inclusion and Development Plan (15 points) It is the policy of the City of Dallas to use qualified Minority and Women-Owned Business Enterprises (M/WBEs) to the greatest extent feasible on the Citys construction, architectural and engineering, professional services, other services, and goods contracts. The City and its contractors shall not discriminate on the basis of race, color, religion, national origin, or sex in the award and performance of contracts. In consideration of this policy, the City of Dallas has adopted the Business Inclusion and Development Plan (BID Plan) for all City of Dallas contracts. The purpose of the Business Inclusion and Development Plan is to increase participation of locally owned M/WBEs in City procurement and contracting opportunities and to develop the local business base through the award of contracts and purchases to locally owned businesses. The information shall be submitted with the proposal and shall include: Submission of an affirmative action plan and/or policy. Submission of the Ethnic Workforce Composition Report (BDPS-FRM-204). Submission of the RFP/RFQ Contractors Affidavit History of M/WBE Utilization Form (BDPS-FRM-205) showing utilization of M/WBEs on previous contracts. You may also submit additional documentation of past performance and history of complying with M/WBE capacity building goals and how they were accomplished, e.g. Mentor-Protg programs and vendor outreach events with Chambers of Commerce and Business Advocacy Groups. Submission of the RFP/RFQ Contractors Affidavit Type of Work by Prime and Subconsultant Form (BDPS-FRM-206). Your Firm (s) Team make-up should include a significant number of diverse M/WBE firms in meaningful roles on the project. The Type of Work Affidavit should include the name, address and telephone number of each M/WBE; (2) the description of the work to be performed by each M/WBE; and (3) the approximate dollar amount/percentage of the participation. The City encourages joint ventures with M/WBEs that enhance capacity building; if joint-venture is being considered, submit documentation of possible jointventure opportunities to provide spring board for fostering more and larger M/WBE firms in the market.

Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

Request For Proposal Ethics Training Program

Submission of the signed Business Inclusion and Development Affidavit Form (BDPS-FRM-203) which shows evidence of acknowledgement of the Citys Business Inclusion and Development (BID) Plan and demonstrates intent to comply with the policy and evidence of M/WBE inclusion to meet the BID goal for the project.

Assistance in preparing the Business Inclusion and Development (BID) forms may be obtained by contacting Resource Link team member, Lisa Alonzo, at 214-243-2131, or by sending an email to her at lisa.alonzo@dallascityhall.com. The City of Dallas reserves the right to consider any other factors that may be relevant to its needs including other value added services that may be proposed. Section 8 Conflicts of Interest If applicable, submit a detailed disclosure of any conflicts or potential conflicts of interest of the proposer or any of proposers employees who will or might provide services under this RFP. Include a description of efforts the proposer will undertake to minimize or eliminate potential conflicts of interests. If not applicable, submit a statement confirming this. Section 9 Supplemental Information The City reserves the right to request additional information from individual Proposers, or to request all Proposers to submit supplemental materials in fulfillment of the content requirements of this RFP, or to meet additional information needs of the City. The City also reserves the right to unilaterally waive any technical or format requirements contained in the RFP. The City may review any and all of the services performed by the Consultant under the awarded contract. The City is hereby granted the right to audit, at the Citys election, all of the Consultants records and billings relating to the performance of this Contract. The Consultant agrees to retain such records for a minimum of three (3) years following completion of this contract.

Rev. 1 - 03/25/10 Doc#BDPS-FRM-135

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