Escolar Documentos
Profissional Documentos
Cultura Documentos
Table of Contents
1
Definitions .................................................................................................................................... 2
Cone of Silence............................................................................................................................. 4
10
11
12
13
14
Shortlist ...................................................................................................................................... 11
15
16
17
Effect .......................................................................................................................................... 11
18
19
20
Insurance .................................................................................................................................... 12
Page 1
Definitions
Agreement: means the Concession Agreement that will govern the agreement between the Operator and
the City for the concession of the NOPB.
Binding Offer: means the offer submitted in response to the RFP in Phase 2.
Bureau of Purchasing: means the Bureau within the City responsible for the submissions of the RFQ.
Class 1 railroads: means the major railroads in the United States. The Surface Transportation Board
defines a Class I railroad as "having annual carrier operating revenues of $250 million or more in 1991
dollars", which adjusted for inflation was $452,653,248 in 2012.
Commission or NOPB Commission: means the body which governs NOPB comprised of the Mayor of the
City of New Orleans, serving as President, and nine citizens from within the greater New Orleans
Metropolitan area.
Concession Agreement: means the agreement that will govern the agreement between the Operator and
the City for the concession of the NOPB.
CPO: means the Chief Procurement Officer and the main point of contact for the procurement.
DBE Compliance Officer: means the person within the City responsible for monitoring compliance with
the DBE requirements and contracts.
DBE Participation Plan: means the plan to be submitted with both the RFQ in an initial draft and the RFP
in a final draft in response to the Citys DBE requirements in the DBE Program.
DBE Program: means the program set up by the City for all City contracts in consideration of the Citys
policy to practice nondiscrimination based on social and economic disadvantage, race, color, gender,
disability and national origin in the award and performance of contracts and pursuant to Division 2 of
Article IV of Chapter 70 of the Code of the City.
Delivery Deadline: means the date and time all Non-Binding Offers must be received by the City.
Indicative Payment: means the payments submitted as part of the Non-Binding Offer in Phase 1. This
payment is the combination of both an upfront payment and annual payments.
Minimum Offer Payment: means the minimum payment that must be met or exceeded for both the upfront
payment and the annual payment in order for a Non-Binding Offer to be considered responsive.
Non-Binding Offer: means respondents submission to the RFQ which is not legally binding and may be
refined after further diligence in Phase 2.
NPV: means the net present value of payments discounted back to take into account the time value of
money.
Operator: means the entity selected as a Preferred Respondent to operate the NOPB.
Phase 1: means the current phase in which the RFQ is released to the market and respondents submit a
Non-Binding Offer to the City for shortlisting.
Phase 2: means the next phase in which an RFP is released to Shortlisted Respondents and respondents
submit a Binding Offer.
Preferred Respondent: means the Respondent ultimately selected in Phase 2 to enter into the Concession
Agreement with the City.
Pre-Bid Conference: means the mandatory meeting before submission of Non-Binding offers as described
in Section 5.
Proposal Bond: means the bond posted at the start of Phase 2 by the Shortlisted Respondents as a surety
that the Binding Proposal will not be withdrawn.
Respondent: means a single entity or group of entities that together submit one Non-Binding Offer to the
City.
RFQ: means Request for Qualifications, this document, released to the market in Phase 1.
Selection Committee: means the group of individuals responsible for reviewing and evaluating responses
to the RFQ and selecting a shortlist.
Shortlisted Respondents: means a group of up to five respondents, selected by the Selection Committee,
to enter Phase 2 and receive the RFP.
Term Sheet: means the concession terms provided in Appendix B for comment by respondents. These
terms will be incorporated in the Concession Agreement in Phase 2.
Overview of NOPB
The New Orleans Public Belt Railroad (NOPB) is a Class III switching railroad owned by the City of New
Orleans (the City) since 1908 and a political subdivision of the State of Louisiana.
The primary mission of NOPB is to serve the Port of New Orleans and local industries. With its 26 miles of
main track, 9 miles pertaining to the Huey P. Long Bridge, and 40 miles of terminals, yard, and other track,
NOPB is a critical freight infrastructure link that connects the Port of New Orleans with six (6) Class 1
railroads and helps expedite local and intermediate freight through the strategic New Orleans rail gateway.
Page 3
The NOPB is owned by the City and operates as a separate, financially independent entity. The NOPB is
governed by the Public Belt Railroad Commission, comprised of the Mayor of the City of New Orleans,
serving as President, and nine citizens from within the greater New Orleans Metropolitan area. The NOPB
operations are led by a team of experienced railroad executives.
NOPB provides diversified rail services on its line through switching, storage, track maintenance, car and
locomotive repair services. Revenue generated by the NOPB is internalized within NOPB and is used to fund
maintenance costs, capital investments, labor, administrative costs and other railway functions.
4
Cone of Silence
From the date this RFQ is issued, Respondents shall not contact any members of City or NOPB staff, City
officials, NOPB board members, and elected officials who are in any way related to this RFQ process except
in writing to City Procurement at procurement@nola.gov or as described herein. Respondents who violate this
cone of silence may be deemed nonresponsive and their Non-Binding Offer may be rejected for cause.
Page 4
Anticipated Timetable
Milestone
Date
February 1, 2017
Summer 2017
Services Needed
The City of New Orleans anticipates a transaction structure where a private partner or entity would assume the
long-term business risks through the operational, capital improvements, maintenance and carrier
responsibilities of the NOPB core rail operating assets in exchange for upfront, annual and/or revenue share
payments over a term of 40 years. The services will include the ability to use NOPB operated right-of-way,
civil structures, track, switches, interchanges, communication and signaling, rolling stock, locomotives,
offices, real estate and real property, operating buildings, storage yards, car shops, equipment, machinery,
information technology systems, and tools. The City will retain ownership of the NOPB assets over the term
of the contract except for assets as defined in the future concession agreement. Use of certain non-NOPB
assets is currently conducted through agreements with third parties, including the Port of New Orleans. The
City of New Orleans expectation is that any selected private partner or entity may be required to work
directly with the Port of New Orleans, or in combination with the NOPB and the City to negotiate any use
agreements necessary to continue operations for the benefit of the Port of New Orleans.
The NOPB Commission will retain the public authority and public interest to control the public belt railroad
system, as granted by Louisiana Revised Statute 33:4530.
A description of the NOPB assets can be found in Appendix A.
Page 5
The Respondent shall submit Form A Respondent Experience as part of the Non-Binding Offer. One
copy of Form A should be submitted for each entity within the Respondent team (if applicable). Each
Form A submitted by each entity will be reviewed holistically for Respondent experience.
The City is seeking Respondents with deep experience in operating a short-line railroad. The City strongly
desires that at least one entity of the Respondent be an owner (i.e. individuals, co-partnerships,
associations, subsidiaries, corporations, companies, transportation companies, public service corporations
or fund) of one or more operating railroads and/or have a minimum of five years of experience operating a
common carrier railroad or operating a large-scale rail-related logistics/industrial company.
Page 6
11.2
Non-Binding Offer
The Non-Binding Offer should be prepared in accordance with the following requirements and sections.
i.
Executive summary, which shall not exceed five (5) pages and should include at a minimum
the following items:
a. a brief description of all significant aspects of the Non-Binding Offer and the implementation
of the Respondent's objectives in the development and operation of the NOPB, and
b. declaration of the Respondent's intent, if selected, to enter into the Concession Agreement with
the NOPB Commission
ii.
Respondent Overview
a. Form A: Respondent Experience for each entity as referenced in Section 11.1.
b. Overview of the Respondent (including Respondents rail operating experience), including all
team members with the clear value proposition and responsibilities for each team member
clearly identified. If selected, the City expects that the Respondent will create a US-domiciled
company as the Operator of NOPB. Class I railroads are not eligible to operate on behalf of
NOPB. Please see Appendix B on Neutral Carrier.
c. Respondents value proposition to the City, if selected.
iii.
Operations Plan
The Respondent must provide an overview of expected operations plan to be split into a short-term
transition plan (1-2 years from concession start date) and a mid-term growth plan (5-10 years from
concession start date) for the railroad, including:
Identification of increased economic activity including tax benefits, job creation, industry
growth and other positive economic impacts that may be generated from the railroad
concession
g. Describe the Respondents desire to include NOPBs historic railcars in the concession and
how that would drive additional value to the City
h. Plans to obtain any necessary Surface Transportation Board approvals and estimates of the
required approval timelines
i.
Expected impact to existing NOPB customers, including Class I railroads, the Port of New
Orleans and other users
j.
Plan for mitigation and to collaboratively strike strategic partnerships with the Port of New
Orleans and Class I railroads
k. Ability to proactively collaborate with the Port of New Orleans to develop a competitive rate
structure with Port customers to increase freight movements in and out of the Port
iv.
Page 7
v.
Financial Plan
The Respondent must provide a financial plan that is reflective of the Respondent's approach to
financing the operations, maintenance, capital improvements, expansion and operations of NOPB.
The Respondents financial plan shall be supported by its overall Non-Binding Offer, including the
Respondents proposed capital investments, operations plan, and maintenance and safety plan
including Respondents proposed changes to the term sheet (Section 11.4) and its other plans to
improve NOPB profitability. This financial plan and Indicative Payment on Form B is not
expected to be a firm committed offer to the City. At a minimum, this plan should set forth:
a. A reasonable and viable financial plan that fully funds all total financial payments to the City
under the Concession Agreement including, payments to the City, operations, maintenance,
capital investments and debt services.
b. Potential sources and uses of funds and a brief description of the listed funding sources (e.g.,
debt, equity, etc.).
c. Form B which includes both the upfront payment and annual lease payments to the City in
Real Dollars. This Indicative Payment will be scored on the total NPV value in accordance
with the methodology in Appendix G.
i. To ensure the Citys objectives are met and to create a competitive environment, the
City has determined a Minimum Offer Payment that must be met or exceeded in order
for the Non-Binding Offer to be considered. Both the upfront payment and annual
lease payments must exceed the minimum. Any Non-Binding Offer that does not
meet or exceed the Minimum Offer Payment will be determined to be non-responsive
and the Respondent will not be shortlisted.
ii. The Minimum Offer Payment is comprised of both an upfront payment of no less
than $20 million and annual lease payments of no less than $1 million per year,
starting in 2017 and adjusted annually for CPI as defined by the Agreement.
iii. A narrative describing any revenue sharing mechanisms proposed by the Respondent
to drive additional value to the City in addition to the offer payments on Form B.
d. Supporting documentation to support the overall financial plan and commitments to demonstrate how
all capital expenditures and investments will be funded and what party/team member will retain
financial responsibilities. This support should include as much information as the Respondent deems
necessary to communicate and certify the financial capacity required to complete the financial plan.
Note that this support is not included with the page limitation.
The Respondent may reasonably revise the financial plan during Phase 2 in the Binding Proposal. This
update to the financial plan is expected to reflect Shortlisted Respondents further due diligence of
NOPBs business, and also comprehensive commercial terms and conditions for each of the Shortlisted
Respondents offers. Additional instructions will be provided by the City to the Shortlisted Respondents
in the RFP at the start of Phase 2.
11.3
DBE Participation
To ensure the full participation of DBEs in all phases of the Citys procurement activities, all
Respondents at time of the Non-Binding Offer submission shall complete and submit a DBE Participation
Plan. If a DBE Participation Plan is not submitted, it shall be determined that the Respondent was nonresponsive to the RFQ. Respondents should reference Appendix C for additional information of the
Citys DBE requirements.
a. Description of a Plan to comply with the DBE participation goal of 13.07% of goods and services or a
description of good faith efforts to do so. The Plan should include:
a. Goods and services that could be subcontracted to a DBE firm and how these areas were
determined
Page 8
b. Description of good faith efforts to be employed such as pre-bid meetings, small contracts,
and advertisement both thus far and planned
c. Any identified DBE subcontractors who may be involved
b. Respondents past performance on meeting DBE goals
Respondents should be as detailed as possible without incurring excessive expenses to produce economic
studies. Please direct all questions related to DBE compliance prior to the Delivery Deadline to Office of
Supplier Diversity, 1340 Poydras Street, 10th Floor, New Orleans, LA 70112, telephone: 504-658-4220,
email: kfgross@nola.gov.
11.4
Contracting Documents
In addition to the Non-Binding Offer, Respondents should provide detailed comments on the draft Term
Sheet including any recommended changes to the transaction structure that may result in additional value
for the City. Respondents may also provide comments and markup to the Citys standard terms and
conditions. All of these terms are provided in Appendix B.
All markups to the contracting documents (Appendix B) should be consistent with the plans described in
the Section 11.2. Respondents are also encouraged to provide any additional head of terms that are not
currently addressed in the contracting documents.
12 Submission Requirements
Each Respondent shall submit a RFQ response not later than February, 24, 2017 4:00 (CT) to the Bureau of
Purchasing directed to the following:
Attention: Chief Procurement Officer
City of New Orleans, Bureau of Purchasing,
1300 Perdido Street, 4W07, New Orleans, Louisiana 70112
The RFQ response should clearly demonstrate the Respondents qualifications to perform the needed services
and a Non-Binding Offer for the long-term concession of NOPB. Copies of the solicitation and related
information are available from the Citys purchasing website at http://www.purchasing.nola.gov/bso/login.jsp.
The City will post additional information on NOPB, any addenda to this RFQ, and other Procurement related
information on this website. All respondents are asked to register in advance of downloading the information.
The City will not accept offers submitted by fax. All Non-Binding Offers responses must be received by the
City on or before February 24th at 4:00 CST. The City will not accept Non-Binding Offers delivered after the
said deadline. The City will not credit delivery claims not clearly documented by original receipt.
To achieve a uniform review process and obtain the maximum degree of comparability, it is required that the
offers be organized in the manner specified below. The Non-Binding Offer shall include all of the following:
i.
Title Page
Show the RFQ number and subject, the name of all Respondent team members, addresses, email addresses,
telephone number(s), name of contact person and date.
ii.
Table of Contents
Briefly state your firms understanding of the services to be performed and make a positive commitment to
provide services as specified. Give the name(s) of the person(s) who is/are authorized to make representations
for your firm, their title, address, email address, telephone number(s) and facsimile number(s).
iv.
Non-Binding Offer
Page 9
Six (6) signed hardcopies of the Non-Binding Offer in a sealed container, marked NOPB Non-Binding
Offer and one (1) digitally signed offer (maximum of three files) on a flash drive, in Microsoft Word format
or as a PDF file, marked NOPB Non-Binding Offer.
The Non-Binding Offer should contain a clear and comprehensive response to all requirements in this RFQ
and presented in the order contained in Section 11.
v.
Required Attachments:
Respondents are required to complete the following Appendices and submit along with their hardcopy and
electronic response submission:
Page 10
14 Shortlist
The City at its sole discretion may shortlist up to five (5) Respondents based on the overall ranking to submit
a final and Binding Proposal in Phase 2. During the review of any Non-Binding Offer, the Selection
Committee may:
Seek clarification of a Non-Binding Offer from any or all Respondents and consider such
supplementary information in the evaluation of Non-Binding Offers.
Request interviews/presentations with any, some or all Respondents to clarify any questions or
considerations based on the information included in Non-Binding Offers during the evaluation
process, and consider any supplementary information from interviews/presentations in the evaluation.
At its sole discretion, the City may reject any or all responses. Further, the City reserves the right to
alter or abandon this RFQ at any time.
15 Proposal Bond
At the start of Phase 2, each Shortlisted Respondent will furnish within a period of 7 days of being shortlisted
a Proposal Bond payable to the City of New Orleans in an amount of [TBD] as a surety that the Binding
Proposal will not be withdrawn for 180 days after the Binding Proposal opening in Phase 2. A Proposal Bond
must be secured from and executed by a surety duly licensed to do business in the State of Louisiana. Failure
to furnish the bond, including power of attorney, if required, will result in rejection of the Proposal. If a
Proposal Bond is not furnished, the City may replace the Respondent on the shortlist.
16 Ownership and Confidentiality
All Non-Binding Offers and/or documentation submitted therewith are City property for all
purposes. Respondents will clearly mark documents or information claimed exempt from public records
disclosure and specifically justify the exemption, as set forth in Louisiana Public Records Law including but
not limited to Revised Statutes RS 44:3.2 Proprietary and trade secret information. The City will not credit
any blanket exemption claims lacking specific justification. The City does not guarantee the confidentiality of
submissions and the determination of whether such information is in fact proprietary or trade secret
information shall be made by the custodian of the City.
17 Effect
This RFQ and any related discussions or evaluations by anyone create no rights or obligations whatsoever.
The City may cancel or modify this solicitation at any time at will, with or without notice. The contract
executed by the City and the selected Respondent, if any, is the exclusive statement of rights and obligations
extending from this solicitation.
18 Point of Contact and Questions
All correspondence and other communications regarding this procurement should be directed to the attention
of: Nathaniel Celestine, Assistant Purchasing Administrator at procurement@nola.gov.
Page 11
committees, contract negotiations, or communications at any time with any City employee or elected official
regarding matters not concerning this RFQ. Breaking the established prohibition on communication may
result in a disqualification of the Non-Binding Offer.
19 Non-Binding Offer Review
In accordance with the Mayors Executive Order, MJL-10-05, the review committee will evaluate each NonBinding Offer submitted. The City will make every effort to administer the Non-Binding Offer process in
accordance with the terms and dates discussed in the RFQ. However, the City reserves the right to modify the
qualification process and dates as deemed necessary.
20 Insurance
NOPB has specific insurance requirements mandated by the Bridge Maintenance Agreement as well as
liability insurance requirements, both of which will be posted on the purchasing website at
http://www.purchasing.nola.gov via addendum.
END OF DOCUMENT
Page 12
This form must be prepared for each entity that is part of a Respondent team.
Requested Information
Description
Entity Name
Entity
Type
(corporation,
partnership, association etc.)
Parental relationships and affiliates
Operating railroad and/or railroad line Please describe experience operating short line railroads, general
ownership
railroad experience, and/or experience working in concert with or
hiring short line railroad operators for business purposes.
Minimum number
experience
of
years
Fines
Page 14
USD $
A
Contract Year
2017
2018
2019
2020
2021
2022
2023
2024
2025
2026
2027
2028
2029
2030
2031
2032
2033
2034
2035
2036
2037
2038
2039
2040
2041
2042
2043
2044
2045
2046
2047
2048
2049
2050
2051
2052
2053
Upfront
Payment/
Concession Fee
Annual Lease
Payment
(not adjusted for
CPI)
Total Real
Committed Cash
Flows to NOPB
(=B+C)
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Page 15
USD $
A
Contract Year
2054
2055
2056
2057
Total Real Cash
Flows
Upfront
Payment/
Concession Fee
Annual Lease
Payment
(not adjusted for
CPI)
Total Real
Committed Cash
Flows to NOPB
(=B+C)
$
$
$
$
$
$
$
$
Page 16
Interchange Location
Avondale (outbound)
Southport Junction (inbound)
Gentilly Yard
France Yard
Mays Yard
West Yard or as otherwise designated
Oliver Yard (73 ft. restriction)
Avondale (outbound)
Southport Junction (inbound)
Locomotive Power
Foreign locomotives
Foreign locomotives
NOPB locomotives
Foreign locomotives
Foreign locomotives
Foreign locomotives
NOPB also serves approximately 20 local customers along the Mississippi River and Industrial Canal along the
Port of New Orleans.
NOPB provides priority storage for its local customers and additional storage of up to 400 cars for storage-only
customers.
NOPB publishes its standard Tariff schedule on its website (www.nopb.com). NOPB has negotiated tariffs in its
contracts with its customers.
Miles
26
9
40
75
Below is a summary of trackage rights of other railroad over NOPBs tracks and NOPBs trackage rights.
NOPB has an agreement with CSX to operate over its Industrial Canal bridge to access local customers on the
East side of the Industrial Canal for a per car fee as well as track and signal maintenance costs for the
interlocker at the Industrial Canal.
A sizeable portion of NOPB operations in Orleans Parish is located on Port of New Orleans property. The
Port of New Orleans granted NOPB a servitude along the length of the Industrial Canal, including a lease of
Claiborne Yard, when the Industrial Canal was constructed in 1918. The City of New Orleans expectation is
that any selected private partner or entity may be required to work directly with the Port of New Orleans, or in
combination with the NOPB and the City to negotiate any use agreements necessary to continue operations for
the benefit of the Port of New Orleans.
BNSF has non-exclusive trackage rights from the Huey P. Long Bridge to the Interchange with CSX.
UP has non-exclusive trackage rights from the Huey P. Long Bridge to Cotton Warehouse Yard.
Page 17
CN has non-exclusive trackage rights from the IC interchange to the Intermodal Terminal located on the Port
of New Orleans (approximately one mile east of Cotton Warehouse Yard). The CN also has rights to Milan
Wharf, Louisiana Wharf, and Hayes Dock Side Warehouse. The CN owns the track from Southport Junction
to Oak St as well as part of the NOPB main track that runs through Cotton Warehouse Yard.
France Yard
Southport
Claiborne Yard
Pauline Yard
Race Yard
Bulk South Yard
Description
Main classification yard. Provides
access to Port of New Orleans and
industries; partially located on Port
property.
Switching yard for staging and
working local industries along the
Industrial Canal.
Interchange location for UP &
BNSF traffic with 2 main tracks &
1 siding in Jefferson Parish
Storage yard on Port property
Storage yard in Orleans Parish
Storage yard in Orleans Parish
Potential opportunity to grow
storage yard on Port property
240 cars
n/a
304
102
84
90
Page 18
40
Office/Facility
Cotton Warehouse Yard Office
and Railcar Repair Shop
Main Administrative Office Bldg
Roundhouse Engine Terminal and
Locomotive Turntable
Register Room Bldg
Training Center Bldg
Bridge Administrative Office Bldg
and Sawmill
France Yard Office (trailer)
Claiborne Yard Office (trailer)*
Square Footage
1,500
10,000
43,000
3,000
3,000
24,000
720
1440
Vehicles
YEAR
2014
2014
2006
2002
2004
2014
2007
2011
2007
2007
2008
2008
2014
2007
2006
2007
2007
2014
2014
2014
2006
2014
2008
2005
2015
2014
2015
2002
MAKE
FORD
FORD
FORD
FORD
FORD
FORD
INTL
FORD
INTL
INTL
FORD
FORD
CHEVY
FORD
CHEVY
FORD
INTL
FORD
FORD
RAM
FORD
RAM
GMC
INTL
FORD
CHEVY
FORD
CHEVY
MODEL
F-150
EXPEDITION
F-250 CREW CAB
F-250 CREW CAB
F-250 CREW CAB
F-350 CREW CAB
DUMP
F-550
7400
7400
F-750
F-750
TAHOE
F-750
SILVERADO
F-150
7400
F-150
F-150
1500
F-450
1500
YUKON
7600 6x4
EXPEDITION
3500
EXPEDITION
SUBURBAN
VIN
1FTMF1CM1EKE65824
1FMJU1F57EEF56569
1FTSW20P06EC23893
1FTNW20L92ED37945
1FTNW20L44EC64972
1FT8W3A63EEA22820
1HTWGAAR87J453153
1FDUF5GT5BEC53328
1HTWGAARX7J523560
1HTWGAAR87J517580
3FRXF75DX8V671635
3FRXF75D18V671636
1GNSC4E03ER211896
3FRXW75P87V483205
1GCHC24U76E132865
1FTPW12VX7FA41643
1HTWGAAR37J523559
1FTMF1CM5EKD76810
1FTMF1CM9EKD76809
1C6RR7KT0ES479746
1FDXF46P06EB82010
1C6RR7KT2ES479747
1GKFC13J28R260570
1HTWYAHT75J045531
1FMJU1FT3FEF44967
1GC3KZCG2EF103364
1FMJU1FT5FEF44971
3GNGC264626294215
Page 19
2015
2005
2004
2006
2008
2009
2016
2016
2016
2016
2016
FORD
DODGE
FORD
INTL
FORD
GMC
FORD
FORD
DODGE
DODGE
FORD
EXPEDITION
1500 RAM QUAD
F-650 CREW CAB
BUCKET
F-350
YUKON
EXPEDITION
EXPEDITION
RAM QUAD PU
RAM QUAD PU
EXPEDITION
1FMJU1FT6FEF50617
1D7HA18D95JG11407
1FRNW65N14VG57367
1HTMMAAN46H213276
1FDWW30518EE11522
1GKFC33J69R134788
1FMJU1FT1GEF56634
1FMJU1FT0GEF56639
1C6RR6FT1GS126777
1C6RR6FTXGS126776
1FMJU1FT5GEF56636
Work Equipment
YEAR
2005
2006
2005
2008
2008
2012
2009
2009
2003
MAKE
JCB
JCB
TOYOTA
JOHN DEERE
JOHN DEERE
CASE
CASE
CASE
CASE
DOOSAN
KERSHAW
KERSHAW
MODEL
LOAD-ALL
LOAD-ALL
FORKLIFT
TRACTOR
TRACTOR
BACKHOE
BACKHOE
BACKHOE*
BACKHOE*
BALLAST REGULATOR
TAMPER #8
S210W-V EXCAVATOR
BRIDGE CRANE 3*
BRIDGE CRANE 2
KERSHAW
BRIDGE CRANE 4
KERSHAW
KERSHAW
BRIDGE CRANE 5
BRIDGE CRANE 6
TRACKMOBILE EQ041578-1
2016
CAT
420F2IT
2016
CAT
420F2IT
*Out of Service
Utility Equipment
YEAR
1997
2008
2008
1999
2002
2003
2008
MAKE
TRAILER
TRAILER
TRAILER
TRAILER
TRAILER
TRAILER
TRAILER
MODEL
PULLERS PRIDE
INTERSTATE
INTERSTATE
ROADRUNNER
BAKER TRAILER
AZ-TEX
STREME
Page 20
Locomotives
YEAR
1998
1999
1998
2000
1971
1971
1971
1971
1971
1971
1997
MAKE
Motive Power
Motive Power
Motive Power
EMD
EMD
EMD
EMD
EMD
EMD
EMD
Motive Power
MODEL
MP 2000D
MP 2000D
MP 1500D
SW 1000
SW 1500
SW 1500
SW 1500
GP 40
GP 40
GP 40
MP 1500D
Page 21
All core NOPB rail operating assets (Rail Assets): Rail Assets
include NOPB right-of-way, civil structures, track, switches,
interchanges, communication and signaling, rolling stock, locomotives,
offices, real estate and real property, operating buildings, storage yards,
car shops, equipment, machinery, information technology systems, and
tools.
The Rail Assets are inclusive of:
The 26.5-mile NOPB Main Track, which is broken into three
distinct segments: the Huey P. Long Bridge to the IC Interchange,
the IC Interchange to the Cotton Warehouse Yard, and the Cotton
Warehouse Yard to the east connection with the CSX at Almonaster
Bridge.
All terminals, yards and other tracks are tracks within specific
defined yard limits. These include Cotton Warehouse Yard, France
Yard, Southport, Claiborne Yard, Pauline Yard, Race Yard, Bulk
Terminal, Locomotive Shop, Car Shop CWH Yard.
Three historic rail cars, of which two are restored and operational
and one is partially refurbished but not operational.
Operator has inspected and accepts the NOPB Rail Assets in its present
condition and agrees that no representations or warranties with regard
to condition and fitness for use of the NOPB Rail Assets have been
made [include exceptions/carve outs].
Governance
Governance and Oversight
Please see:
La. R.S. 33:4530 et seq.; Home Rule Charter for the City of New
Orleans Sec. 5-201 et seq.; Code of Ordinances for the City of New
Orleans Sec. 2-291 et seq.
Operator Rights and Obligations
Term
The term of this Agreement shall be 40 years beginning on [DATE] to,
including, [DATE].
Operating Responsibilities
(Operations)
The City and Operator may mutually agree to extend the term of the
Agreement.
The NOPB shall grant the Operator full rights and responsibilities of
the Rail Assets to provide common carrier services, locomotive and rail
car repair, storage, and other related services currently conducted on
NOPB Rail Assets (Operations).
The Operator will be assigned the existing contracts, if permitted by
the Agreement or other applicable law, which NOPB has with Class I
Railroads and other third parties. These contracts will remain in force
until their expiration, and at such time the Operator can execute new
contracts subject to the requirements and limitations of this Agreement.
The Operator will assume NOPBs responsibilities for the Huey P.
Long Bridge as set out in NOPBs Joint Maintenance Agreement with
the State of Louisiana and the Amended Bridge Contract and Amended
Track Contract (Bridge Maintenance Agreements) with BNSF and
UP. The Operator shall be compensated for its costs for inspecting and
maintaining the Bridge as set out in the Bridge Maintenance
Agreements.
Provision of Personnel,
Equipment, and Facilities
Neutral Carrier
Change in Control
RFQ No. 2101-02138
Capital Improvements
Performance Requirements
Tariffs
RFQ No. 2101-02138
enforce payment of fees and charges for all operations including fees
and charges for switching, storage, and rail car repair (collectively,
User Fees).
Fees for switching shall be subject to a cap equal to a fixed amount that
shall be set forth by the NOPB Commission (NOPB Tariff Cap).
Such NOPB Tariff Cap shall be adjusted for CPI [CPI as defined in
Agreement] at the end of each year.
The Operator can request a review of the NOPB Tariff Cap by the
NOPB Commission at the end of each year to make adjustments to the
NOPB Tariff Cap. The NOPB Commission, at its sole discretion, can
decide to adjust the NOPB Tariff Cap.
The Operator will assign the existing contracts, as permissible by the
contract or other applicable law that NOPB has with Class I Railroads
and other third parties. These contracts will remain in force until their
expiration, and at such time the Operator can execute new contracts
subject to the requirements and limitations of this Agreement.
Upfront Payment
Rent/Lease Payment
Labor
Assignment
Insurance
The Operator shall be compensated for its costs for inspecting and
maintaining the Bridge as set out in the Bridge Maintenance
Agreements.
The City is seeking a minimum upfront payment of $20 million at
Financial Close from the Operator.
Operator will make a minimum annual lease payment of $1 million to
the NOPB. The annual lease payment will be subject to escalation
based on [CPI as defined per the agreement].
Hand Back requirements to be defined based on industry-standard
performance requirements to meet the Citys expected performance
requirements for the Rail Assets at the end of the Agreement Term.
Operator shall establish a Hand Back Reserve of [$X] [X] years prior
to the expiration of the Agreement.
Operator shall recognize current NOPB employee rights, which
includes maintaining the rights of the employees of NOPB under
existing labor contracts and applicable law.
Operator shall make best efforts to retain employees of NOPB.
Operator shall not assign its Operating Rights to any entity without
prior written approval by the NOPB Commission.
NOPB has specific insurance requirements mandated by the Bridge
Maintenance Agreement as well as liability insurance requirements,
both of which will be posted on the purchasing website at
http://www.purchasing.nola.gov via addendu
Page 25
Other Items
Compensation Events
Conditions Precedent
Representations and
Warranties
Limitation on Liability
Indemnification
Step-In Rights
Termination for Convenience
In the case of a Termination for Convenience event, all Rail Assets will
revert to the City and the NOPB Commission.
To be defined based on market standards in the Agreement.
In the event of an occurrence beyond the reasonable control of
Operator, including but not limited to, an act of God, a flood, act of
terrorism, or a major explosion or fire, which prevents or materially
impairs Operators ability to provide rail service (Force Majeure)
Page 26
Operator will comply with, and shall cause its officers, employees and
any other persons over whom it has control to comply with, all
municipal, state and federal laws, ordinances, and rules and regulations
applicable to the work of Operator pursuant to the Agreement and is
responsible for any violation of same.
To be defined based on market standards in the Agreement.
Page 27
further, under the provisions of R.S. 23:1034 anyone employed by the Contractor shall not be considered
an employee of the City for the purpose of Workers Compensation coverage.
3.
AMENDMENT. The Agreement shall not be modified except by written amendment executed
by duly authorized representatives of the parties.
4.
ASSIGNABILITY. The Contractor shall not assign any interest in this Agreement and shall not
transfer any interest in the same without prior written consent of the City.
5.
A. The Contractor will submit to any City audit, inspection, and review and, at the Citys
request, will make available all documents relating or pertaining to this Agreement maintained by or
under the control of the Contractor, its employees, agents, assigns, successors and subcontractors, during
normal business hours at the Contractors office or place of business in Louisiana. If no such location is
available, the Contractor will make the documents available at a time and location that is convenient for
the City.
B. The Contractor will abide by all provisions of City Code 2-1120, including but not limited
to City Code 2-1120(12), which requires the Contractor to provide the Office of Inspector General
with documents and information as requested. Failure to comply with such requests shall constitute a
material breach of the Agreement. The Contractor agrees that it is subject to the jurisdiction of the
Orleans Parish Civil District Court for purposes of challenging a subpoena.
6.
CHOICE OF LAWS. This Agreement shall be construed and enforced in accordance with the
laws of the State of Louisiana, without regard to its conflict of laws provisions.
7.
CONFLICT OF INTEREST. In the interest of ensuring that efforts of the Contractor do not
conflict with the interests of the City, and in recognition of the Contractors responsibility to the City,
the Contractor agrees to decline any offer of employment if its independent work on behalf of the City is
likely to be adversely affected by the acceptance of such employment. The initial determination of such
a possibility rests with the Contractor. It is incumbent upon the Contractor to notify the City and
provide full disclosure of the possible effects of such employment on the Contractor's independent work
in behalf of the City. Final decision on any disputed offers of other employment for the Contractor shall
rest with the City.
8.
CONSTRUCTION OF AGREEMENT. Neither party will be deemed to have drafted the
Agreement. The Agreement has been reviewed by all parties and will be construed and interpreted
according to the ordinary meaning of the words used so as to fairly accomplish the purposes and
intentions of all parties. No term of the Agreement will be construed or resolved in favor of or against
the City or the Contractor on the basis of which party drafted the uncertain or ambiguous language. The
headings and captions of the Agreement are provided for convenience only and are not intended to have
effect in the construction or interpretation of the Agreement. Where appropriate, the singular includes
the plural, and neutral words and words of any gender include the neutral and other gender.
9.
CONVICTED FELON STATEMENT. The Contractor complies with City Code 2-8(c) and
no principal, member, or officer of the Contractor has, within the preceding five (5) years, been
convicted of, or pled guilty to, a felony under state or federal statutes for embezzlement, theft of public
funds, bribery, or falsification or destruction of public records.
10.
COUNTERPARTS. This Agreement may be executed in one or more counterparts, each of
which shall be deemed to be an original copy of this Agreement, but all of which, when taken together,
shall constitute one and the same agreement.
11.
DECLARED DISASTER.
Page 28
A. In General. The Contractor agrees to abide by the City Code sections 70-496, et seq., to use
its best efforts to carry out all applicable requirements of the Citys DBE Program for the administration
of this Agreement, as set forth in the City Code and any applicable rules adopted thereunder. The Citys
Office of Supplier Diversity (OSD) oversees the DBE Program and assigns a DBE Compliance
Officer (DBECO) to ensure compliance.
B. Monitoring. To ensure compliance with DBE requirements during the term of this
Agreement, the DBECO will monitor the Contractor use of DBE subcontractors/suppliers (DBE
Entities) through the following actions:
1.
2. Electronic payment tracking via the Contract Compliance Monitoring System or other
means as approved by the OSD;
3.
4.
5.
The DBECO may schedule inspections and on-site visits with or without prior notice to the
Contractor or DBE Entities.
C. Cooperation. The Contractor shall:
1. Designate an individual as the DBE Liaison who will monitor the Contractors DBE
participation as well as document and maintain records of Good Faith Efforts with
DBE Entities.
2. Execute written contracts with DBE Entities that meet the applicable DBE goals.
a. The Contractor shall provide the DBECO with copies of said contracts within
thirty (30) days from the date this Agreement is fully executed between the City
and the Contractor.
b. The Contractor shall agree to promptly pay subcontractors, including DBE
Entities, in accordance with law.
RFQ No. 2101-02138
Page 29
3. Establish and maintain the following records for review upon request by the OSD:
a. Copies of written contracts with DBE Entities and purchase orders;
b. Documentation of payments and other transactions with DBE Entities;
c. Appropriate explanations of any changes or replacements of DBE Entities, which
may include a record of Post-Award Good Faith Efforts for each certified firm
that the Contractor does not use in accordance with the approved DBE
participation submission;
d. Any other records required by the OSD.
The Contractor is required to maintain such records for three (3) years after completion or
closeout of this Agreement. Such records are necessary to determine compliance with their DBE
obligations.
4. Post monthly payments and submit regular reports to the DBECO as required via the
online Contract Compliance Monitoring System or other means approved by the OSD.
a. The Contractor shall submit the initial report outlining DBE participation within
thirty (30) days from the date of notice to proceed (or equivalent document)
issued by the City to the Contractor. Thereafter, DBE Utilization reports shall
be due on or before the fifteenth (15th) day of each month until all DBE
subcontracting work is completed.
b. Reports are required even when no activity has occurred in a monthly period.
c. If the established percentage is not being met, the monthly report shall include a
narrative description of the progress being made in DBE participation.
d. The Contractor may also be required to attach or upload copies of canceled
checks or bank statements that identify payer, payee and amount of transfer to
verify payment information as indicated on the form.
5. Conform to the established percentage as approved by the OSD.
a. The total dollar amount of the Agreement shall include approved change orders
and amendments. For a requirements contract, the total dollar amount shall be
based in actual quantities ordered.
b. No changes to the established percentage and DBE Entities submitted on DBE
Compliance Form-1 shall be allowed without approval by the OSD.
c. The City will not adjust the contract for any increase in cost due to replacement of
DBE Entities.
D. Post-Award Modification. The OSD may grant a post-award modification request if:
a. for a reason beyond the Contractors control, the Contractor is unable to use the
certified DBE entity submitted on DBE Compliance Form-1 to perform the
specified work. The Contractor must notify the OSD of the intent for removal
and substitution of a certified DBE immediately upon determination of that the
DBE submitted on Compliance Form -1 is unable to perform the specified work.
In such case, the Contractor shall use and document Good Faith Efforts to find
a similarly qualified and certified DBE entity to perform such specified work.
The same criteria used for establishing Good Faith Efforts in maximizing the
participation of DBE Entities prior to awarding the Agreement will also apply to
RFQ No. 2101-02138
Page 30
Page 31
18.
INCORPORATION INTO SUBCONTRACTS. The Contractor will incorporate these
Agreement Terms and Conditions into all subcontracts, by reference or otherwise, and will require all
subcontractors to comply with these provisions.
19.
INDEPENDENT CONTRACTOR STATUS. The Contractor is an independent contractor and
shall not be deemed an employee, servant, agent, partner, or joint venture of the City and will not hold
itself or any of its employees, subcontractors or agents to be an employee, partner, or agent of the City.
20.
LIMITATIONS OF THE CITYS OBLIGATIONS. The City has no obligations not
explicitly set forth in this Agreement or any incorporated documents or expressly imposed by law.
21.
LIVING WAGES. To the fullest extent permitted by law, the Contractor agrees to abide by
City Code sections 70-801, et seq., which requires payment of a wage to covered employees equal to the
amounts defined in the Code (Living Wage). If the Contractor fails to comply with the requirements
of the Living Wage during the term of the Agreement, said failure may result in termination of the
Agreement or the pursuit of other remedies by the City.
22.
NO THIRD PARTY BENEFICIARIES. The Agreement is entered into for the exclusive
benefit of the City and the Contractor, and the City and the Contractor expressly disclaim any intent to
benefit anyone not a party to this Agreement.
23.
NON-DISCRIMINATION. In the performance of this Agreement, the Contractor will not
discriminate on the basis, whether in fact or perception, of a person's race, color, creed, religion, national
origin, ancestry, age, sex (gender), sexual orientation, gender identity, domestic partner status, marital
status, physical or mental disability, or AIDS- or HIV-status against (1) any employee of the City
working with the Contractor in any of Contractors operations within Orleans Parish or (2) any person
seeking accommodations, advantages, facilities, privileges, services, or membership in all business,
social, or other establishments or organizations operated by the Contractor. The Contractor agrees to
comply with and abide by all applicable federal, state and local laws relating to non-discrimination,
including, without limitation, Title VI of the Civil Rights Act of 1964, Section V of the Rehabilitation
Act of 1973, and the Americans with Disabilities Act of 1990.
24.
NON-EXCLUSIVITY. This Agreement is non-exclusive and the Contractor may provide
services to other clients, subject to the Citys approval of any potential conflicts with the performance of
this Agreement and the City may engage the services of others for the provision of some or all of the
work to be performed under this Agreement.
25.
NON-SOLICITATION. The Contractor has not employed or retained any company or person,
other than a bona fide employee working solely for him, to solicit or secure the subject Agreement. The
Contractor has not paid or agreed to pay any person, other than a bona fide employee working for him,
any fee, commission, percentage, gift, or any other consideration contingent upon or resulting from the
subject Agreement.
26.
NON-WAIVER. The failure of the City to insist upon strict compliance with any provision of
the Agreement, to enforce any right or to seek any remedy upon discovery of any default or breach of
the Contractor at such time as the initial discovery of the existence of such noncompliance, right, default
or breach shall not affect or constitute a waiver of the Citys right to insist upon such compliance,
exercise such right or seek such remedy with respect to that default or breach or any prior
contemporaneous or subsequent default or breach.
27.
OWNERSHIP INTEREST DISCLOSURE. The Contractor will provide a sworn affidavit
listing all natural or artificial persons with an ownership interest in the Contractor and stating that no
other person holds an ownership interest in the Contractor via a counter letter. For the purposes of this
provision, an ownership interest shall not be deemed to include ownership of stock in a publicly
traded corporation or ownership of an interest in a mutual fund or trust that holds an interest in a
RFQ No. 2101-02138
Page 32
publicly traded corporation. If the Contractor fails to submit the required affidavits, the City may, after
thirty (30) days written notice to the Contractor, take such action as may be necessary to cause the
suspension of any further payments until such the required affidavits are submitted.
28.
OWNERSHIP OF RECORDS. Upon final payment, all data collected and all products of
work prepared, created or modified by Contractor in the performance of this Agreement, including
without limitation any and all notes, tables, graphs, reports, files, computer programs, source code,
documents, records, disks, original drawings or other such material, regardless of form and whether
finished or unfinished, but excluding the Contractors personnel and administrative records and any
tools, systems, and information used by the Contractor to perform the services under this Agreement,
including computer software (object code and source code), know-how, methodologies, equipment, and
processes and any related intellectual property (collectively, Work Product) will be the exclusive
property of City and the City will have all right, title and interest in any Work Product, including
without limitation the right to secure and maintain any copyright, trademark, or patent of Work Product
in the Citys name. No Work Product may be reproduced in any form without the Citys express written
consent. The City may use and distribute any Work Product for any purpose the City deems appropriate
without the Contractors consent and for no additional consideration to the Contractor.
29.
PROHIBITION AGAINST FINANCIAL INTEREST IN AGREEMENT. No elected
official or employee of the City shall have a financial interest, direct or indirect, in the Agreement,
including through any financial interest held by the spouse, child, or parent. Any willful violation of this
provision, with the expressed or implied knowledge of the Contractor, will render this Agreement
voidable by the City and shall entitle the City to recover, in addition to any other rights and remedies
available to the City, all monies paid by the City to the Contractor pursuant to this Agreement without
regard to the Contractors satisfactory performance.
30.
PROHIBITION ON POLITICAL ACTIVITY. None of the funds, materials, property, or
services provided directly or indirectly under the terms of this Agreement shall be used in the
performance of this Agreement for any partisan political activity, or to further the election or defeat of
any candidate for public office.
31.
REMEDIES CUMULATIVE. No remedy set forth in the Agreement or otherwise conferred
upon or reserved to any party shall be considered exclusive of any other remedy available to a party.
Rather, each remedy shall be deemed distinct, separate and cumulative and each may be exercised from
time to time as often as the occasion may arise or as may be deemed expedient.
32.
SEVERABILITY. If a court of competent jurisdiction finds any provision of the Agreement to
be unenforceable as written, the unenforceable provision should be reformed, if possible, so that it is
enforceable to the maximum extent permitted by law, or, if reformation is not possible, the
unenforceable provision will be fully severable and the remaining provisions of the Agreement will
remain in full force and effect and will be construed and enforced as if the unenforceable provision was
never a part the Agreement.
33.
SUBCONTRACTOR REPORTING. The Contractor will provide a list of all natural or
artificial persons who are retained by the Contractor at the time of the Agreements execution and who
are expected to perform work as subcontractors in connection with the Contractors work for the City.
For any subcontractor proposed to be retained by the Contractor to perform work on the Agreement with
the City, the Contractor must provide notice to the City within thirty (30) days of retaining that
subcontractor. If the Contractor fails to submit the required lists and notices, the City may, after thirty
(30) days written notice to the Contractor, take any action it deems necessary, including, without
limitation, causing the suspension of any payments, until the required lists and notices are submitted.
34.
SURVIVAL OF CERTAIN PROVISIONS. All representations and warranties and all
obligations concerning record retention, inspections, audits, ownership, indemnification, payment,
RFQ No. 2101-02138
Page 33
remedies, jurisdiction, venue, choice of law, and warranties shall survive the expiration, suspension, or
termination of the Agreement and continue in full force and effect.
35.
SUSPENSION. The City may suspend this Agreement at any time and for any reason by giving
two (2) business days written notice to the Contractor. The Contractor will resume work upon five (5)
business days written notice from the City.
36.
TERMS BINDING. The terms and conditions of the Agreement are binding on any heirs,
successors, transferees, and assigns.
37.
WAIVER OF BENEFITS. The Contractor, as an independent contractor, will not receive from
the City any sick and annual leave benefits, medical insurance, life insurance, paid vacations, paid
holidays, sick leave, pension, or Social Security for any services rendered to the City under this
Agreement.
Page 34
Page 35
a. Whether the business entity has the skill and expertise to perform the work for which it is being
utilized and possesses all necessary licenses;
b. Whether the firm is in the business of performing, managing, or supervising the work for which it has
been certified and is being utilized;
c. Whether the DBE subcontractor is performing a real and actual service that is a distinct and verifiable
element of the work called for in a contract; and
d. Whether the DBE subcontractor performed at least thirty percent (30%) of the cost of the subcontract
(including the cost of materials, equipment or supplies incident to the performance of the subcontract)
with their own forces.
4
DBE DIRECTORY
Contractors may only utilize certified SLDBE and/or Louisiana Unified Certification Program (LAUCP) DBE
firms from the following lists to meet the Citys DBE Program goals.
a. Contractors agree to utilize the Citys SLDBE directory of certified firms as a first source when
searching for certified DBE business entities. The SLDBE directory includes entities certified through
Sewerage and Water Board of New Orleans, New Orleans Aviation Board and Harrahs New Orleans.
The SLDBE directory is available at www.nola.gov.
b. The Louisiana Unified
www.dotd.louisiana.gov.
Certification
Program
(LA
UCP)
directory
is
available
at
Information on locating these directories may also be requested from the OSD at supplierdiversity@nola.gov.
5
Page 36
1. Bidder/Respondent listed all certified DBE firms that received written notification of work items to
be subcontracted and documented the certified firms response.
2. Bidder/Respondent included copies of the written notice(s) sent to certified firms.
d. NEGOTIATE IN GOOD FAITH:
1. Bidder/Respondent provided an explanation for any rejected DBE bid or price quotation.
2. Bidder/Respondent included a copy of the written rejection notice including the reason for rejection
to the rejected DBE firm.
If a Bidder/Respondent fails to submit documented Good Faith Efforts as outlined, the bid shall be considered
non-responsive.
The OSD may take into account the performance of other Bidders/Respondents in meeting the contract DBE
participation goal and may, if deemed advisable, request further information, explanation or justification from
any Bidder/Respondent. For example, Bidders past performance on similar contracts with similar scopes
and/or a Respondents prior history utilizing DBEs will also be taken in consideration when determining
Good Faith Efforts.
Good Faith Efforts shall be monitored throughout the life of the contract and evaluated on a case-by-case
basis in making a determination whether a Bidder or Respondent is in compliance with the Good Faith Effort
policy.
To obtain a copy of the Good Faith Effort Policy contact OSD at supplerdiversity@nola.gov.
6
CONTRACTOR COOPERATION
The Contractor shall:
a. Designate an individual as the DBE Liaison who will monitor the Contractors DBE participation as
well as document and maintain records of Good Faith Efforts with DBE subcontractors/suppliers
(DBE Entities).
Page 37
b. Execute written contracts with DBE Entities that meet the applicable DBE goals.
1. The Contractor shall provide the DBE Compliance Officer (DBECO) with copies of said contracts
within thirty (30) days from the date the Agreement is fully executed between the City and the
Contractor.
2. The Contractor shall agree to promptly pay subcontractors, including DBE Entities, in accordance
with law.
c. Establish and maintain the following records for review upon request by the OSD:
1. Copies of written contracts with DBE Entities and purchase orders;
2. Documentation of payments and other transactions with DBE Entities;
3. Appropriate explanations of any changes or replacements of DBE Entities, which may include a
record of Post-Award Good Faith Efforts for each certified firm that the Contractor does not use in
accordance with the approved DBE participation submission; and
4. Any other records required by the OSD.
The Contractor is required to maintain such records for three (3) years after completion or closeout of the
Agreement. Such records are necessary to determine compliance with their DBE obligations.
d. Post monthly payments and submit regular reports to the DBECO as required via the online Contract
Compliance Monitoring System or other means approved by the OSD.
1. The Contractor shall submit the initial report outlining DBE participation within thirty (30) days from
the date of notice to proceed (or equivalent document) issued by the City to the Contractor.
Thereafter, DBE Utilization reports shall be due on or before the fifteenth (15th) day of each month
until all DBE subcontracting work is completed.
2. Reports are required even when no activity has occurred in a monthly period.
3. If the established percentage is not being met, the monthly report shall include a narrative description
of the progress being made in DBE participation.
4. The Contractor may also be required to attach or upload copies of canceled checks or bank statements
that identify payer, payee and amount of transfer to verify payment information as indicated on the
form.
e. Conform to the established percentage as approved by the OSD.
1. The total dollar amount of the Agreement shall include approved change orders and amendments.
For a requirements contract, the total dollar amount shall be based in actual quantities ordered.
2. No changes to the established percentage and DBE Entities submitted on DBE Compliance Form-1
shall be allowed without approval by the OSD.
3. The City will not adjust the contract for any increase in cost due to replacement of DBE Entities.
8
POST-AWARD MODIFICATION
The OSD may grant a post-award modification request if:
a. for a reason beyond the Contractors control, the Contractor is unable to use the certified DBE entity
submitted on DBE Compliance Form-1 to perform the specified work. The Contractor must notify
the OSD of the intent for removal and substitution of a certified DBE immediately upon determination
of that the DBE submitted on Compliance Form -1 is unable to perform the specified work. In such
case, the Contractor shall use and document Good Faith Efforts to find a similarly qualified and
certified DBE entity to perform such specified work. The same criteria used for establishing Good
Faith Efforts in maximizing the participation of DBE Entities prior to awarding the Agreement will
also apply to the substitution of DBE subcontractors during the performance of the Agreement; or
Page 38
b. the Contractor reasonably believes that, due to a change of scope, execution of the work in accordance
with the directions from the City is unlikely to meet the established percentage or terms. In such case,
the Contractor shall use and document Good Faith Efforts to achieve a reasonable amount of DBE
participation on the remaining work on the Agreement.
9
10 FAILURE TO COMPLY
If the DBECO determines in good faith that the Contractor failed to carry out the requirements of the DBE
Program, such failure may be deemed a material breach of this Agreement. This material breach may result in
the termination of the Agreement and/or the pursuit of any other remedies available to the City under any
applicable law, ordinance, or rule, including, but not limited to those set forth in the Citys Policy
Memorandum for the DBE Program.
All DBE Compliance forms are maintained by the OSD and are subject to change.
Please contact the OSD at supplierdiversity@nola.gov to request a copy of all DBE referenced
documents.
Page 39
(Attached)
Page 40
Office of
Diversity
OFFICE
OFSupplier
SUPPLIER
DIVERSITY
RESPONDENTS: This completed form must be furnished to the Bureau of Purchasing with your proposal. You must complete every section of the form or your proposal will be
BUSINESS
ENTERPRISE
(DBE)
deemed non-responsive. If a section is not applicable to yourDISADVANTAGED
proposal, you must explain
why it is not
applicable or your
proposal will be deemed non-responsive. You must
submit your response on the DBE Responsiveness Form 3 or your proposal will be deemed non-responsive. You may use additional pages as warranted.
RFP/RFQ/Solicitation #: __________________________
Date: _____/_____/______
Description: ________________________________________________________________________________________________________________________________________
Name of Respondent: _________________________________________________________________________________________
Please check the appropriate space:
The proposer is committed to the contract goal of _____ % DBE utilization. (If selected, you must complete and submit DBE Compliance Form 1 in order to be awarded a contract.)
The proposer is unable to meet the DBE contract goal, however is committed to a minimum of _______% DBE utilization and will submit documentation demonstrating good faith efforts.
(If selected, you must complete and submit DBE Compliance Form 1 and/or DBE Compliance Form-2 along with all required supporting documentation in order to be awarded a contract.)
SECTION I - DBE COMMITTEMENT TO CONTRACT GOAL: You must list all DBE firms that you have identified to participate on the contract. PLEASE NOTE: Every DBE
firm listed must be utilized on the project. To remove and/or replace a DBE firm you must submit a DBE Removal/Substitution Request Form 4 and receive approval
from the Office of Supplier Diversity to remove and/or replace the firm.
DBE FIRM & NAME of DBE
PHONE
SOURCE OF
CERTIFICATION
SCOPE OF WORK
TO BE PERFORMED BY THE DBE
ESTIMATED VALUE of
PROPOSED DBE
CONTRACT
(If Known)
(SLDBE or
LAUCP)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
TOTALS
$
$
$
$
$
$
$
$
$
$
$
Page 1 of 3
DBE Compliance Form-2 Revised 12/2016
ESTIMATED % OF
TOTAL CONTRACT
%
%
%
%
%
%
%
%
%
%
%
Office of
Diversity
OFFICE
OFSupplier
SUPPLIER
DIVERSITY
EQUAL BUSINESS OPPORTUNITY PROGRAMS
CITY
OF NEW ORLEANS
DATE
SECTION III - SPECIFIC PORTIONS OF WORK IDENTIFIED FOR DBE SUBCONTRACTOR: You must list all selected scopes or portions of work that you identified to be
performed by DBE(s) and the estimated percentage value of each scope of work identified in order to increase the likelihood of meeting the contract goal for this
project.
SCOPE OR PORTIONS OF WORK IDENTIFIED FOR DBE PARTICIPATION
ESTIMATED % OF
CONTRACT VALUE
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
TOTAL
Page 2 of 3
DBE Compliance Form-2 Revised 12/2016
Office of
Diversity
OFFICE
OFSupplier
SUPPLIER
DIVERSITY
PROJECT NAME
COMPLETION
DATE
SECTION V - OTHER: Please provide narrative details of any other efforts your firm will conduct to attain the DBE goal.
Page 3 of 3
DBE Compliance Form-2 Revised 12/2016
DBE PARTICIPATION
ACHIEVED
OSD
VERIFICATION
According to Section 2-8 of the Code of the City of New Orleans, Louisiana 1995, the City may not enter into or
make payments under a contract, grant or cooperative endeavor agreement with any person, corporation, or entity
delinquent in City taxes. This form supplies the needed tax clearance. This clearance is issued without prejudice
to any tax liabilities discovered by audit.
Please refer to the instructions on the back of this form
BUSINESS NAME:
OWNERS NAME:
TYPE OF BUSINESS:
BUSINESS ADDRESS:
PERSONAL PROPERTY TAX
NUMBER:
MAILING ADDRESS:
CONTACT TELEPHONE:
SALES TAX/OCCUPATIONAL
LICENSE NUMBER:
FAX NUMBER:
E-MAIL ADDRESS:
PRINT NAME:
TITLE:
AUTHORIZED SIGNATURE:
DATE SIGNED:
I certify that I have the authority to execute this form with respect to the tax matters covered and that the
above is true and correct. The City of New Orleans is authorized to inspect and/or receive confidential tax
information.
BUREAU OF REVENUE (Room 1W15)
BUREAU OF TREASURY (Room 1W37)
This clearance covers Occupational License and
This clearance covers Ad Valorem taxes for Real Estate
Sales/Use taxes.
and Business Property taxes.
I hereby assert that after review of the taxpayers I hereby assert that after review of the taxpayers
records of this date that the taxpayer IS NOT records of this date that the taxpayer IS NOT
delinquent in any taxes owed to the city. This clearance delinquent in any taxes owed to the city. This clearance
covers the period today through March 1, 20_____. covers the period today through March 1, 20_____.
The above clearance may be revoked for failure to pay
sales tax.
_______________________________________
_______________
COLLECTOR OF REVENUE
DATE
_____________________________________
_______________
TREASURY CHIEF
DATE
I attest that the taxpayer named above is not delinquent in any taxes owed to the city.
________________________________ ___________
DIRECTOR OF FINANCE
DATE
Businesses are required to be current in payment of all Real Estate Tax and Personal Property Tax.
A business can visit the City of New Orleans website, www.nola.gov at the Bureau of Treasury webpage to
pay outstanding Real Estate and Personal Property taxes due.
A business can mail outstanding tax payments to City of New Orleans, Bureau of the Treasury 1300 Perdido
St., Room 1W38, New Orleans, La. 70112.
All businesses are required to have a City of New Orleans Sales Tax number.
If the business is located within Orleans Parish, an Occupational License is also required. If the business is
domiciled outside of Orleans Parish, a registration is required to be completed to obtain a Revenue account
number.
If a business is not registered, a New Business Application must be completed. The application can be found
on the City of New Orleans website, www.nola.gov, at the Bureau of Revenue webpage. Under Online
Revenue Documents, an application can be downloaded and returned to the City of New Orleans, Bureau of
Revenue, 1300 Perdido St., Room 1W15, New Orleans, LA 70112. Any questions may be forwarded to
Revenue Administration, 658-1695 or 658-1666.
Non-profit organizations must comply with the Occupational License requirements by completing a New
Business Application. The application can be found on the City of New Orleans website, www.nola.gov, at
the Bureau of Revenue webpage. Under Online Revenue Documents, an application can be downloaded and
returned to the City of New Orleans, Bureau of Revenue, 1300 Perdido St., Room 1W15, New Orleans, LA
70112. Any questions may be forwarded to Revenue Administration, 658-1695 or 658-1666.
Once exempt status is confirmed for the non-profit organization, the organization is exempt from
Occupational License fees.
Page 42
STATE OF LOUISIANA
PARISH OF
Before me, the undersigned authority, came and appeared
first duly sworn, deposed and said that:
1. He/She is the
who,
being
2. The Respondent submits the attached offer in response to City of New Orleans RFQ
#_________________.
3. The Respondent hereby identifies the following persons, natural or artificial, who are retained by
Respondent at the time the attached offer is submitted and who are expected to perform work as
subcontractors in connection with the Respondents work for the City. Respondent hereby acknowledges
and agrees that when new subcontractors not previously named are added to the project, they must be
promptly identified to the City User Department within 48 hours of the change. The official change may
not take place unless and until the City provides its written approval.
____________________________________
Person(s) and Company Name (if applicable
____________________________________
Respondent Representative (Signature)
____________________________________
(Print or type name)
____________________________________
(Address)
Sworn to and subscribed before me, _______________, Notary Public, this _____day of ______, 201___.
__________________________
Notary Public (signature)
Notary ID#/Bar Roll #
Page 43
STATE OF LOUISIANA
PARISH OF
Before me, the undersigned authority, came and appeared
first duly sworn, deposed and said that:
1. He/She is the
who,
being
2. The Respondent submits the attached offer in response to City of New Orleans RFQ
#_________________.
3. The Respondent hereby confirms that a conflict(s) of interest exists/does not exist/may exist in connection
with this solicitation which might impair Respondents ability to perform if awarded the contract,
including any familial or business relationships that the Respondent, the proposed subcontractors, and
their principals have with city officials or employees. (If a conflict(s) of interest exists and/or may exist,
describe in a letter the nature of the conflict, the parties involved and why there is a conflict. Attach said
letter to this form).
____________________________________
Respondent Representative (Signature)
____________________________________
(Print or type name)
____________________________________
(Address)
Sworn to and subscribed before me, _______________, Notary Public, this _____day of ______, 20___.
____________________________________
Notary Public (signature)
Notary ID#/Bar Roll #
Page 44
Page 45