RFQ S000000197 Legal Services.pdf

STATE OF ARKANSAS

DEPARTMENT OF TRANSFORMATION AND SHARED SERVICES

OFFICE OF STATE PROCUREMENT

501 Woodlane St., Ste. 220 Little Rock, Arkansas 72201-1023

REQUEST FOR QUALIFICATION

SOLICITATION DOCUMENT

SOLICITATION INFORMATION

Solicitation Number: S000000197 Solicitation Issued: November 9, 2022

Description: Legal Services

Department: Arkansas Department of Finance and Administration

SUBMISSION DEADLINE AND DELIVERY OF RESPONSE DOCUMENTS

Response Opening Date:

November 14, 2022 Response Opening Time:

3:00 PM, Central Time

Response submissions for this Request for Qualification must be submitted through ARBuy, the State’s eProcurement system. It can be accessed at https://arbuy.arkansas.gov. Responses received after the submission deadline may be rejected as untimely. See Section 1.2 for information regarding Live Response Openings.

TSS OFFICE OF STATE PROCUREMENT CONTACT INFORMATION

TSS OSP Buyer: Brandi Schroeder Buyer’s Direct Phone Number: 501-682-4169

Email Address: Brandi.schroeder@arkansas.gov TSS OSP’s Main Number: 501-324-9316

TSS OSP

Website:

https://www.transform.ar.gov/procurement/ https://arbuy.arkansas.gov/ https://www.transform.ar.gov/procurement/

SECTION 1 - GENERAL INSTRUCTIONS AND INFORMATION

• Do not provide responses to items in this section unless specifically and expressly required.

1.1 PURPOSE

The TSS Office of State Procurement (OSP) issues this Request for Qualifications (RFQ) on behalf of the Arkansas Department of Finance and Administration (“DFA” or “Department”) to obtain responses and establish a contract for legal services for the Arkansas Racing Division (“Division”), pursuant to Arkansas Code Annotate § 25-16-702(c).

Direct all questions, comments, or concerns you may have regarding this Solicitation to the TSS Office of State Procurement, not DFA or the Division.

1.2 LIVE RESPONSE OPENING

The response opening may be viewed online as follows:

Zoom Meeting Link: https://arkansas-gov.zoom.us/j/89680294139?pwd=RFZ1KzhRaG5aSU5aYmlYeEZheWVSdz09

Meeting ID: 896 8029 4139 Meeting Password: 052228 Dial-In Information: 877 853 5257 US Toll-free

888 475 4499 US Toll-free

1.3 TYPE OF CONTRACT

A. As a result of this RFQ, TSS OSP intends to award a contract to a single Contractor.

B. The anticipated starting date for any resulting contract is January 1, 2023, except that the actual contract start date may be adjusted unilaterally by the State for up to three (3) calendar months. By submitting a signed response to the RFQ, the Prospective Contractor represents and warrants that it will honor its response as being held open as irrevocable for this period.

C. The initial term of a resulting contract will be for one (1) year. Upon mutual agreement by the Contractor and Department, the contract may be renewed by TSS OSP for up to six (6) additional one-year terms or portions thereof, not to exceed a total aggregate contract term of seven (7) consecutive years.

1.4 SOLICITATION SCHEDULE

For informational purposes, TSS OSP is providing a Solicitation Schedule; however, dates listed and noted with an asterisk (*) are anticipated dates only and are subject to change at the discretion of the State.

TABLE A: TENTATIVE SOLICITATION SCHEDULE

ACTIVITY DATE

RFQ Release to Prospective Contractors November 9, 2022

Response Due Date November 14, 2022

Initial Response Evaluation* November 15, 2022

Interviews* November 16, 2022

Final Response Evaluations* November 16, 2022

Discussions Kick Off Meeting* November 17, 2022

Finalize Discussions* November 23, 2022

Post Anticipation to Award* November 28, 2022

Award Contract* January 1, 2023 https://arkansas-gov.zoom.us/j/89680294139?pwd=RFZ1KzhRaG5aSU5aYmlYeEZheWVSdz09

1.5 CLARIFICATION OF SOLICITATION

A. Prospective Contractors may contact the TSS OSP buyer with non-substantive questions at any time prior to the response opening.

B. An oral statement by TSS OSP will not be part of any contract resulting from this Solicitation and may not reasonably be relied on by any Prospective Contractor as an aid to interpretation unless it is reduced to writing and expressly adopted by TSS OSP.

1.6 DEFINITION OF TERMS

A. Unless otherwise defined herein, all terms defined in Arkansas Procurement herein have the same meaning herein.

B. “Prospective Contractor” means a responsible offeror who submits a response to this Solicitation.

C. The terms “Request for Qualifications,” “RFQ,” and “Solicitation” are used synonymously in this document.

D. “Requirement” means something required.

E. “Responsive Submission” means a submission in response to this Solicitation that conforms in all material respects to this RFQ.

F. “Shall” and “Must” mean the imperative and are used to identify requirements.

G. ‘Specification” means any technical or purchase description or other description of the physical or functional characteristics, or of the nature, of a commodity or service. “Specification” may include a description of any requirement for inspecting, testing, or preparing a commodity or service for delivery.

H. “State” means the State of Arkansas. When the term “State” is used herein to reference any obligation of the State under a contract that results from this Solicitation, that obligation is limited to the Department using such a contract.

1.7 PRICING

A. Prospective Contractor shall not include pricing in their response.

B. Pricing will be negotiated with the Contractor after the evaluation of responses.

C. Should the Prospective Contractor’s response contain any pricing, the response may be rejected.

1.8 RESPONSE DOCUMENTS

A. All responses must be submitted through ARBuy, the State’s eProcurement system. The system can be accessed at https://arbuy.arkansas.gov.

1. Prospective Contractors must be registered in ARBuy to submit responses.

B. Response Packet

1. Prospective Contractors shall utilize the Response Packet to submit their responses.

2. The following items are response submission requirements and must be submitted as part of a Prospective Contractor’s response (see Response Packet):

a. Signed Response Signature Page

b. Response to the Information for Evaluation sections

c. Proposed Subcontractors Form

i. The utilization of any proposed subcontractor is subject to approval by the Department.

d. Recommended Options Form. The Recommended Options form included in the Response Packet allows Prospective Contractors to identify any recommended options or optional service ideas that may benefit the State that were not included in the Requirements and the proposed solution.

https://arbuy.arkansas.gov/

e. Exceptions Form

f. Disclosure Information form

g. Copy of Prospective Contractor’s Equal Opportunity Policy

3. Responses within the Information for Evaluation and Exceptions sections must not contain the Prospective Contractor’s name or any other identifiers, including without limitation names of staff members, projects, clients, products, and addresses.

4. The following item(s), which must be submitted prior to a contract award to the Prospective Contractor, may also be included with the Prospective Contractor’s response:

a. EO 98-04: Contract and Grant Disclosure Form.

5. Response must be in the English language.

6. DO NOT include any other documents or ancillary information, such as a cover letter or promotional/marketing information.

C. Redacted Copy of the Response Packet

1. One (1) redacted (marked “REDACTED”) copy of the Prospective Contractor’s response. For more information on Proprietary, Confidential, and Exempt information, reference Section six (6) of the Solicitation Terms and Conditions document located on the TSS OSP website here.

1.9 ACCEPTANCE OF REQUIREMENTS

A. Unless a Prospective Contractor expressly and conspicuously identifies any exception or exceptions to any of the Requirements in the Requirements Section(s) of this Solicitation by listing them on the Exceptions Form (see Response Packet), Prospective Contractor understands and agrees its submission of a response to represent that its response meets all such Requirements.

B. A Prospective Contractor’s response may be rejected if a Prospective Contractor takes exception to any Requirements in the Requirements Section(s) of this Solicitation.

1.10 ADDITIONAL TERMS AND CONDITIONS

A. This RFQ incorporates all of the Solicitation Terms and Conditions located on the TSS OSP website here.

B. Any special terms and conditions included in this Solicitation shall override the Solicitation Terms and Conditions.

C. Unless a Prospective Contractor expressly and conspicuously identifies any exception or exceptions to any of the terms in the Services Contract (SRV-1) Fillable Form (found here) by listing them on the Exceptions Form (see Response Packet), Prospective Contractor agrees and shall adhere to all terms if selected as the successful Contractor. Items identified as non-negotiable may only be modified if the legal requirement is satisfied and approved by the State.

D. A Prospective Contractor’s response may be rejected if a Prospective Contractor takes exception to any terms or conditions in the documents listed in 1.10.A and 1.10.C.

https://www.transform.ar.gov/wp-content/uploads/2021/12/MASTER-Solicitation-Terms-and-Conditions-11-29-21.pdf https://www.transform.ar.gov/wp-content/uploads/2021/12/MASTER-Solicitation-Terms-and-Conditions-11-29-21.pdf https://www.transform.ar.gov/wp-content/uploads/2021/12/MASTER-Solicitation-Terms-and-Conditions-11-29-21.pdf https://www.transform.ar.gov/wp-content/uploads/2021/08/Services-Contract-SRV-1-Fillable-Form-V.2.pdf

SECTION 2 – REQUIREMENTS

• Do not provide responses to items in this section unless specifically and expressly required.

2.1 INTRODUCTION

DFA seeks to obtain a contract to provide comprehensive legal services to support the operations of the Arkansas Racing Division.

2.2 CURRENT ENVIRONMENT

The Division is governed by the Arkansas State Racing Commission (“Commission”) consisting of seven

(7) members appointed by the Governor for terms of five (5) years. The Commission has fifteen (15) employees and up-to thirty-one (31) extra help positions.

The Commission is responsible for the regulation of the thoroughbred and greyhound racing in the State of Arkansas. Greyhound racing will cease by December 31, 2022, but hearings could be held after this date.

Amendment 100 to the Arkansas Constitution authorized four (4) casinos in the State of Arkansas. The amendment also assigned the duties of administering and regulating casinos to the Commission.

2.3 OBJECTIVES AND GOALS

The Division is seeking attorney services that will be utilized in the day-to-day operations of the Commission that must include:

A. Researching, analyzing, interpreting, and applying legislation and case related information

B. Representing the Commission in all areas including hearings, appeals, and necessary court appearances

C. Participation and counsel during monthly Commission meetings

2.4 MINIMUM PROSPECTIVE CONTRACTOR QUALIFICATIONS

A. Prospective Contractors shall be licensed to practice law by the State Board of Law Examiners as established by Act 361 of 1917 and Act 88 of 1873.

1. At all times throughout the term(s) of a resulting contract, the Contractor shall be licensed to practice law by the State Board of Law Examiners as established by Act 361 of 1917 and Act 88 of 1873.

B. Prospective Contractors shall have experience in matters relating to horse and dog racing venues in all legal and court matters.

C. Prospective Contractors shall have experience in matters concerning the operation and regulation of casinos.

D. Prospective Contractors shall have experience with governmental operations and should have a working knowledge of the rules and regulations governing horse racing and greyhound racing, including medication rules and penalties.

E. Prospective Contractors shall have experience with Arkansas statutes and should have a working knowledge of federal and state statues, regulations, and precedents regarding horse racing, dog racing, and casinos.

F. Prospective Contractors shall have knowledge of the authority and responsibilities of the Arkansas State Racing Commission.

G. At the time of response submission, Prospective Contractors shall have professional liability insurance with a minimum limit of $1,000,000 per occurrence in full force and effect and shall maintain the professional liability insurance throughout the aggregate term of a resulting contract.

1. Contractors shall submit evidence of the professional liability insurance coverage on an ACORD Certificate of Liability Insurance form to DFA as requested throughout the contract term(s).

H. Within five (5) years prior to response submission, Prospective Contractors shall not have had an actual conflict of interest, irregular billing practices, or successful malpractice claim against principals or lead attorneys in the law firm or professional discipline actions against the law firm or individual attorneys in the law firm to such a degree that representation detrimentally interferes with the Commission’s operations and fiduciary duties.

I. Prospective Contractors shall not have had contracts or other working relationships terminated for cause by public sector clients, including DFA, in the past three (3) years for reasons relevant to Requirements of this RFQ.

2.5 GENERAL REQUIREMENTS

A. The Contractor shall provide all services under a resulting contract in compliance with all related federal and state laws, rules, regulations, and policies, including without limitation the Arkansas Rules of Professional Conduct, Rule 1.5. regarding the payment of attorney fees.

B. The Contractor shall be on call, available seven (7) days a week, for legal advice to both the Commission Chairman, the manager of the Division, or their designees.

C. As required to fully represent and counsel the Division, Commission, or both, or as otherwise requested by the Commission or Division, the Contractor shall, at minimum:

1. Provide legal research and advice on all horse racing, dog racing, and casino related matters

2. Provide advice and representation in matters including but not limited to administrative law, regulatory law, employment law, contract law, and property law.

3. Attend all Commission meetings and act as legal counsel representing the commission

a. Regular meetings are generally held in Little Rock or Hot Springs.

3. Conduct hearings and appeals of the rulings made by stewards/judges and casino personnel and shall appear in court

4. Draft, review, and implement relevant ordinance and policies

5. Research, analyze, interpret, and apply legislation and case related information

6. Prepare, present, review oral and written information and reports

7. Assist the Division and Commission with complying with the Freedom of Information Act

D. The Contractor shall prepare and present written and verbal summaries of the Contractor’s activities and performance to the Commission at each Commission meeting.

E. The Contractor shall not rely on Division or Commission staff for significant administrative support.

2.6 PERFORMANCE STANDARDS

A. State law requires that qualifying contracts for services include Performance Standards for measuring the overall quality of services that a Contractor shall provide.

B. The State may be open to negotiations of Performance Standards prior to contract award, prior to the commencement of services, or at times throughout the contract duration.

C. Performance Standards shall not be amended unless they are agreed to in writing and signed by both State and the Contractor.

D. Failure to meet the minimum Performance Standards as specified will result in the assessment of damages.

E. In the event a Performance Standard is not met, the Contractor will have the opportunity to defend or respond to the insufficiency. The State has the right to waive damages if it determines there were extenuating factors beyond the control of the Contractor that hindered the performance of services. In these instances, the State has final determination of the performance acceptability.

F. Should any compensation be owed to the Department due to the assessment of damages, Contractor shall follow the direction of the Department regarding the required compensation process.

SECTION 3 – SELECTION

• Do not provide responses to items in this section.

3.1 SELECTION PROCESS

A. TSS OSP will review each Response Packet to verify submission Requirements have been met.

Response Packets that do not meet submission Requirements will be rejected and will not be evaluated.

B. A Department-appointed Evaluation Committee will evaluate and score qualifying Responses.

Evaluation will be based on Prospective Contractor’s response to the Information for Evaluation section included in the Response Packet.

1. Members of the Evaluation Committee (Evaluators) will individually review and evaluate responses and complete an Individual Score Worksheet for each response. Individual scoring for each Evaluation Criteria will be based on the following Scoring Description.

SCORE DESCRIPTION

The response provides metrics clearly establishing that the Prospective Contractor is reliable and capable of fully performing the required services.

The response provides metrics suggesting that the Prospective Contractor’s level of performance may be acceptable, but it does not clearly establish that the Prospective Contractor is reliable and capable of fully performing the required services.

The response provides metrics clearly establishing that the Prospective Contractor is unreliable and incapable of fully performing the required services.

2. After initial individual evaluations are complete, the Evaluators will meet to discuss their individual ratings. At the initial consensus meeting, each Evaluator will be afforded an opportunity to discuss his or her rating for each evaluation criteria.

3. After Evaluators have had an opportunity to discuss their individual scores with the committee, the individual Evaluators will be given the opportunity to change their initial individual scores, if they feel that is appropriate.

4. The final individual scores of the Evaluators will be recorded on the Pre-Interview Consensus Score Sheets and averaged to determine the group or consensus score and rank for each response.

5. Other agencies, consultants, and experts may also examine documents at the discretion of the Department.

C. Prospective Contractors submitting qualifying Responses will be contacted by TSS OSP to schedule an interview.

1. Prospective Contractors shall attend the interview as scheduled by TSS OSP.

2. Evaluators will complete an Individual Score Worksheet for each interview. Evaluation will be based on Prospective Contractor’s responses to questions presented during the interview Individual scoring for each interview will be based on the Scoring Descriptions in 3.1.B.1.

3. During a final consensus meeting, after all interviews are complete, Evaluators will have the opportunity to discuss the interviews and change their individual interview scores on the Post- Interview Consensus Score Sheet, if they feel that is appropriate.

4. The final individual scores of the Evaluators will be recorded on the Post-Interview Consensus Score Sheets and averaged to determine the group or consensus score and rank for each response.

D. During the final consensus meeting, Evaluators will determine if moving forward with the highest-ranking Prospective Contractor is the most advantageous to the State.

E. Should the State request clarification and/or additional information Prospective Contractors’ responses, Prospective Contractors shall provide clarification and/or additional information as specified by the State.

F. TSS OSP will submit responses received from the interviewed Perspective Contractors, along with the Evaluation Committee’s recommendation to the Department for review and approval to move into Discussions.

G. The State will move forward into Discussions with the highest-ranking Prospective Contractor based on the Response Score for each response unless the highest-ranking Prospective Contractor’s response is determined to not be the most advantageous response to the State.

3.2 EXPLANATION OF THE SUBSECTIONS OF THE RESPONSE

A. Experience

1. The Experience subsection included in the Response Packet allows Prospective Contractors to differentiate themselves based on their experience, technical capability, and understanding of the State’s specific needs.

2. Prospective Contractors should identify expertise in the form of a claim and provide relevant experience to support each claim.

3. Prospective Contractors should use verifiable metrics (number of accounts, size of accounts, years of experience, customer satisfaction ratings) to support each claim.

B. Solution

1. The Solution subsection included in the Response Packet allows Prospective Contractors to differentiate themselves based on their proposed solution and/or approach to solve the State’s specific needs.

2. Prospective Contractors should provide a high-level overview of the Prospective Contractor’s proposed solution and/or approach to services using the Requirements outlined in the RFQ.

3. Proposed solutions should be non-technical and include the Prospective Contractor’s recommendations for meeting the objectives and Requirements of the RFQ.

4. Additional service options and recommendations above and beyond those included in proposed solution should be included in the Recommended Options Form.

C. Risk

1. The Risk subsection included in the Response Packet allows Prospective Contractors to identify and prioritize major risks that they reasonably foresee could potentially prevent or impair the Prospective Contractor’s delivery of the solution as offered in the response or to otherwise fail to meet the State’s desired outcome, specifications, and performance standards, and how they will mitigate, manage, and/or minimize each risk listed.

a. Prospective Contractors should include sources, causes, or actions that are both within and beyond the control of the Prospective Contractors that they reasonably foresee may cause cost increases, delays, amendments, or dissatisfaction to the State.

b. Risks should be described in simple, clear, and non-technical terms.

c. Prospective Contractor should explain how the Prospective Contractor will mitigate, manage, and/or minimize each risk listed.

i. The Documented Performance cell should include details such as how many times any identified risk was previously mitigated and the impact on the Prospective Contractor’s performance in terms of time, cost, and client satisfaction.

D. Interview

1. The Interview will allow Prospective Contractors to further demonstrate their experience in providing the services outlined in the RFQ.

a. Each Prospective Contractor meeting the submission requirements will be contacted by TSS OSP to schedule an interview. Prospective Contractors shall attend the interview as scheduled by OSP.

b. Prospective Contractors shall identify one (1) Project Lead at the time of interview confirmation who shall attend the interview as part of the evaluation process.

c. The Evaluation Committee will interview the Prospective Contractor’s identified Project Lead using a pre-determined set of interview questions. Follow up questions may be asked based on responses given by the Project Lead.

3.3 RESPONSE SCORE

A. The Information for Evaluation section has been divided into subsections.

1. In each subsection, items/questions have each been assigned a maximum point value of ten (10) points. The total point value for each subsection is reflected in the table below as the Maximum Raw Points Possible.

2. The Department has assigned Weighted Percentages to each subsection according to its significance.

INFORMATION FOR EVALUATION

SUBSECTIONS

MAXIMUM

RAW

POINTS

POSSIBLE

SUBSECTION’S

WEIGHTED

PERCENTAGE

* MAXIMUM

WEIGHTED

SCORE

POSSIBLE

Experience 10 30% 300

Solution 10 20% 200

Risk 10 20% 200

Interview 10 30% 300

Total Score 40 100% 1000

*Subsection’s Percentage Weight x Total Maximum Weighted Score = Maximum Weighted Score Possible for the subsection.

B. The response’s weighted score for each subsection will be determined using the following formula:

(A/B)*C =D

A = Actual Raw Points received for subsection in evaluation

B = Maximum Raw Points possible for subsection

C = Maximum Weighted Score possible for subsection

D = Weighted Score received for subsection

C. The response’s weighted scores for subsections will be added to determine the Total Score for the response.

D. Responses that do not receive a minimum Total Score of 430 will not be subject to further consideration in the Solicitation process.

3.4 DISCUSSIONS

A. During the Discussions Kick Off Meeting, the Prospective Contractor shall provide the following documents to the State:

1. A detailed scope of work clearly identifying the Prospective Contractor’s understanding, implementation, and performance of services required in this RFQ, including all activities required by the Contractor and all activities expected by the State/Participating Entities.

2. A Risk Management Plan intended to mitigate any risks, including but not necessarily limited to, the risks identified in the Risk Plan submitted in the Prospective Contractor’s Response Packet.

3. A proposed financial summary, including:

a. Recommended Options Form submitted in the Prospective Contractor’s Response Packet

b. A proposed pricing structure and payment schedule

4. Proposed project management and reporting templates.

B. During the Discussions Kick Off Meeting, the Prospective Contractor shall address questions and/or concerns the State may have to the satisfaction of the State.

C. During Discussions, the Prospective Contractor shall revise the discussions documents until agreement is made and the State has provided final approval.

1. The Prospective Contractor shall attend follow up Discussions meeting as determined necessary by the State. Reasonable effort will be made to accommodate scheduling conflicts.

D. During Discussions, the Prospective Contractor shall present a final draft of the Discussions documents to the State, including, at minimum:

1. A summary of all plans and scope of work developed during the discussions process and mutually agreed upon by the State and the Prospective Contractor.

2. A detailed scope of work clearly identifying the Prospective Contractor’s implementation and performance of services required in this RFQ, including all provisions negotiated and agreed upon by the State and the Prospective Contractor since the Discussions Kick Off Meeting.

3. Description of deliverables in terms of simplified metrics.

4. The Risk Management Plan.

5. Project management and reporting templates.

6. Financial summary, including:

a. A list of agreed upon and accepted recommended options (with impact to price).

b. Pricing structure and payment schedule.

7. Contact information for the Prospective Contractor’s key personnel.

E. During Discussions, the Prospective Contractor shall present the final drafts of the items and shall summarize the coordination and planning completed during the discussion process.

F. Once approved by the State, final drafted documents will become part of the resulting contract.

G. The Prospective Contractor may determine which key personnel will attend the Discussions meetings.

3.5 PROSPECTIVE CONTRACTOR ACCEPTANCE OF EVALUATION TECHNIQUE

The submission of a Response Packet signifies the Prospective Contractor’s understanding and agreement that some subjective value judgments will be made during the evaluation and scoring of the Responses.