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The Electric Reliability Council of Texas, Inc. (ERCOT)
Contract Administration and Procurement
Request for Proposal
For
EMPLOYMENT
BACKGROUND CHECK AND DRUG SCREENING
Date of Release: September 4, 2012
1 GENERAL INFORMATION 3
1.1 RFP Objective 3
1.2 ERCOT Background 3
1.3 Strategic Elements 3
1.4 Basic Philosophy: Contracting for Results 4
1.5 Legal and Regulatory Constraints 4
1.6 ERCOT Point of Contact 5
1.7 Procurement Timeline 5
1.8 Communications Regarding This Procurement 5
1.9 RFP Cancellation/Non-Award 6
1.10 Right to Reject Proposals 6
2 SCOPE AND REQUIREMENTS 7
2.1 Project Scope Overview 7
2.2 Qualifications 10
2.3 General Requirements 11
3 GENERAL INSTRUCTIONS AND RESPONSE REQUIREMENTS 11
3.1 Notice of Intent to Propose 11
3.2 Vendor Questions and Comments 11
3.3 Modification or Withdrawal of Proposal 12
3.4 News Releases 12
3.5 Incomplete Proposals 12
3.6 ERCOT Use of Vendor Ideas 12
3.7 Additional Information 12
3.8 Instructions for Submitting Proposals 13
3.9 Format and Content 13
3.10 Multiple Responses 17
3.11 Joint Proposals 17
4 Evaluation 19
4.1 Evaluation of Proposals 19
4.2 Evaluation Criteria 19
4.3 Oral Presentations and Site Visits 19
4.4 Discussions with Respondents 19
5 Attachments 20
5.1 Attachment A- ERCOT Standard Agreement 20
5.2 Attachment B – Non-Disclosure Agreement 20
5.3 Attachment C- Vendor Information Form and W-9 Form 20
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Section 1 – General Information
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1 GENERAL INFORMATION
1.1 RFP Objective
The objective of ERCOT in this procurement RFP is to identify a qualified vendor to perform employment background checks and drug screening. .
1.2 ERCOT Background
1.2.1 Overview of the Electric Reliability Council of Texas, Inc.
The Electric Reliability Council of Texas (ERCOT) manages the flow of electric power to approximately 23 million Texas customers –representing 85 percent of the state’s electric load and 75 percent of the Texas land area. As the Independent System Operator for the region, ERCOT schedules power on an electric grid that connects 40,500 miles of transmission lines and more than 550 generation units. ERCOT also manages financial settlement for the competitive wholesale bulk-power market and administers customer switching for 6.6 million premises in competitive choice areas. ERCOT is a membership-based 501(c)(4) nonprofit corporation, governed by a board of directors and subject to oversight by the Public Utility Commission of Texas and the Texas Legislature. Additional information about ERCOT can be found on its website at: http://www.ercot.com/.
1.3 Strategic Elements
1.3.1 Contract Term
ERCOT intends to award a 1 year contract resulting from this solicitation beginning on February 1, 2013 with an option to renew for an additional 1 to 2 years..
Any contract issued as a result of this solicitation is subject to cancellation, without penalty, either in whole or in part, for breach of contract. Such contract may also be canceled by ERCOT for convenience upon a thirty (30) day written notice.
1.3.2 Contract Elements
The term “contract” means the contract awarded as a result of this RFP and all exhibits attached hereto. At a minimum, the following documents will be incorporated into the contract: this RFP and all attachments and exhibits; any modifications, addendum or amendments issued in conjunction with this RFP; and the successful Respondent’s proposal. Respondent, if selected, must execute ERCOT’s Master Agreement, attached hereto as Attachment A., The actual work to be performed and the compensation for such work will be documented in a Statement of Work. If the Respondent already has a Master Agreement with ERCOT, only a new Statement of Work will be required.
1.4 Basic Philosophy: Contracting for Results
ERCOT’S fundamental commitment is to contract for value and successful results. A successful result is defined as the generation of defined, measurable, and beneficial outcomes that support ERCOT’s Missions, Objectives, and Goals, and satisfies all defined contract requirements.
1.5 Legal and Regulatory Constraints
1.5.1 Conflicts of Interest
ERCOT seeks to ensure a level playing field in the award of the contract. ERCOT has implemented an aggressive policy concerning actual or potential conflicts of interest to ensure fair and open competition, and has included language concerning actual and potential conflicts of interest in Section 8 of the Master Agreement (Attachment A). Respondents must carefully review and understand this language when developing proposals.
1.5.2 Former Employees of ERCOT
The Respondent must disclose any past employment of its employees and agents, or its subcontractors’ employees and agents, by ERCOT, including the individual’s name and the date such individual’s employment at ERCOT ended.
1.5.3 Interpretive Conventions
Whenever the terms “shall,” “must,” “or “is required” are used in this RFP in conjunction with a specification or performance requirement, the specification or requirement is mandatory on the potential vendor. ERCOT may, at its sole discretion, reject any proposal that fails to address or meet any mandatory requirement set forth herein/.
Whenever the terms “can,” “may,” or “should” are used in this RFP in conjunction with a specification or performance requirement, the specification or performance requirement is a desirable, but not mandatory, requirement.
1.6 ERCOT Point of Contact
The sole point of contact for inquiries concerning this RFP is:
Defonza Mcilwain
2705 West Lake Drive
Taylor, Texas 76574
(512) 248-3014
Fax: (512) 248-3118
All communications relating to this RFP must be directed to ERCOT contact person named above. All other communications between a respondent and ERCOT staff concerning this RFP are prohibited. In no instance is a respondent to discuss cost information contained in a proposal with the ERCOT point of contact or any other staff prior to proposal evaluation. Failure to comply with this section may result in ERCOT’s disqualification of the proposal.
1.7 Procurement Timeline
Procurement Timeline /RFP Release Date / 09/04/2012
Notice of Intend to Propose Due / 09/17/2012
Vendor Questions Due / 09/24/2012
Response to Vendor Questions Posted / 10/01/2012
Vendor Proposals Due / 10/15/2012
Vendor Presentations / 11/05/2012 to 11/16/2012
Anticipated Contract Award / 12/10/2012
Anticipated Contract Start Date / 1.1.1 02/01/2013
1.8 Communications Regarding This Procurement
ERCOT reserves the right to amend this RFP at any time prior to the proposal submission deadline. Any changes, amendments, or clarifications will be made in the form of responses to vendor questions, amendments, or addendum issued by ERCOT and sent to the point of contact listed on the notice of intent to propose. Vendors not submitting the Notice of Intent to Propose will not receive changes, amendments or answers to questions regarding this Request For Proposal.
1.9 RFP Cancellation/Non-Award
ERCOT reserves the right to cancel this RFP, or to make no award of a contract pursuant to this RFP.
1.10 Right to Reject Proposals
ERCOT may, in its discretion, reject any and all proposals, submitted in response to this RFP.
1.11 No Reimbursement for Costs of Proposals
ERCOT will not reimburse any respondent for costs of developing a proposal in response to this RFP.
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Section 3 – General Instructions
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2 SCOPE AND REQUIREMENTS
2.1 Project Scope Overview
The Human Resource (HR) department works with ERCOT management to effectively facilitate the hiring, integration and movement of employees within the organization. This includes managing current and future position openings by applying the processes, systems, and controls that ensure appropriate selection of staff.
This RFP is intended to support ERCOT’s mandatory compliance with NERC CIP-004, to further ERCOT’s interest in promoting and maintaining a safe and secure working environment for personnel, and to provide meaningful actions to protect critical cyber assets. ERCOT requires several types of reviews as appropriate for the position or level of security access granted.
The types of screens, checks and reviews included the following:
· Pre-Employment: identity verification, education verification, employment verification, motor vehicle reporting, and criminal background checks.. A “criminal background check” shall mean the identification of any misdemeanor and felony conviction of applicants and existing personnel in every identified county of residence for a seven (7) year period.
· Pre-Employment drug screening (10 panel urinalysis test) .
· Random onsite drug screening for current employees at Taylor and Austin locations. (Third Party vendor can be used if approved by ERCOT)
· Driving reports for current employees on an as needed basis.
· Criminal background check and identify verification to be performed when an employee nears his/her seven year anniversary date with ERCOT.
The supplier must be able to efficiently support the ERCOT anticipated volume of employment screens and checks. Below is a table representing the volume of the last three year period. ERCOT makes no representation or guarantees for future volumes.
Previous Years / Pre-Employment Drug Screening & Background Check / Random Drug Test for existing employees / Motor Vehicle Driving Report / 7 Year Background Check and Identity Verification2010 / 70 / 203 / 230 / 70
2011 / 62 / 132 / 2 / 62
2012 (data as of 8/15/12) / 50 / 120 / 52 / 50
2.1.1 Screening Services
Describe the ability of your company to provide international background checks. If you are able to provide this service, is your company Safe Harbor Certified?
Please include information pertaining to average turnaround time for the services below and how this information is obtained:
a) Social Security Verifications
b) Multi-jurisdictional criminal history record checks
c) Sex-offender registries
d) County criminal history courthouse searches
· Are the county searches conducted physically at the county courthouse or through an electronic database?
e) Federal District Criminal searches
f) National security source searches
g) Motor Vehicle Driving Records Searches
h) Pre-employment Drug Screening Services (10 panel urinalysis test)
i) Employment Verifications (up to 3 previous employers)
j) Education Verifications (highest level completed)
k) Credit reports
l) Professional License Verification
How are additional names or aliases handled? Is there an additional charge for researching that information?
2.1.2 Customer Service
Respondents must describe their hours of operation and service availability. Include an issue escalation point of contact list for your organization and describe your resolution process.
2.1.3 Technology
Provide a description of your online ordering and retrieval process. Include any demo codes, if these are available.
Describe any technical features that you’ve created to provide greater efficiency to a client.
What notifications do you provide throughout the background screening process?
2.1.4 Compliance
Describe your measures to ensure legal compliance pertaining to employment screening (i.e. FCRA, EEOC, etc.).
Do you offer adverse action letter fulfillment / solutions to clients? If yes, please describe the available resources, procedures, and extra charges involved.
How will your company assist our organization in staying abreast of legal requirements on the federal and state levels?
Describe your process for resolving consumer disputes.
2.1.5 Data Security
Describe your system, physical site, and personnel security policies.
What measures do you take to protect sensitive consumer information?
2.1.6 Drug Screening & Laboratory Services
How would collection site identification be handled for pre-employment drug screens?
How do you handle onsite collection & reporting needs for random drug screen programs? We typically schedule 2-3 randomdrug screens per year at our Taylor and Austin locations.
What is your process for handling post-accident collection needs?
Who conducts the donor interview for non-negative tests?
What liability insurance does your organization have for your MROs?
2.1.7 Reporting Requirements
Please describe your system’sreporting capabilities and provide sample reports for both background check and drug screen results. Please include if reports are able to be customized.
2.1.8 Other Information
Describe any additional value added service offerings not previously mentioned in our requirements.
What differentiates your organization from others in your industry?
2.2 Qualifications
All vendors must have the capability to provide ERCOT the following level of service to be considered for this program.
2.2.1 Ability to conduct on-site random drug testing at Taylor and Austin locations. Vendor can use third- party drug-testing company provided that they are approved by ERCOT.
2.2.2 Ability to conduct international background checks.
2.2.3 Ability for ERCOT to systematically track online progress of background check and drug testing.
2.3 General Requirements
2.3.1 In their responses to this RFP, respondents must describe in detail the methodology and approach to meeting the requirements of this RFP.
2.3.2 The awarded supplier must provide an Account Manager or lead who has decision-making authority and will assume responsibility for coordination, control, and performance of this effort.
2.3.3 Any changes to key personnel (i.e. Account Manager) associated with the subsequent contract must be submitted in writing and approved in writing by ERCOT.
2.3.4 The awarded supplier must comply with the Fair Credit Reporting Act as most recently amended.
3 GENERAL INSTRUCTIONS AND RESPONSE REQUIREMENTS
3.1 Notice of Intent to Propose
A prospective vendor may submit a Notice of Intent to Propose to the ERCOT Point of Contact identified in Section 1.6 no later than 5:00PM Central Time on September 17, 2012. The Notice of Intent should be delivered via email. Only vendors who submit a Notice of Intent to Propose will receive the answers to questions from all vendors, and / or any clarifications, amendments, and addenda to the Request For Proposal.
3.2 Vendor Questions and Comments
All questions and comments regarding this RFP must be submitted electronically to the e-mail address contained in Section 1.6 (ERCOT Point of Contact). All questions must reference the appropriate RFP page and section number. In order to receive a response, vendor questions and comments must be received no later than the deadline set forth in Section 1.7 (Procurement Timeline). Inquiries received after the due date may be reviewed by ERCOT but will not receive a response. Answers to vendor questions will be e-mailed to the point of contact listed on the Notice of Intent to Propose.
A respondent must inquire in writing as to any ambiguity, conflict, discrepancy, exclusionary specification, omission or other error in this RFP prior to submitting a proposal. If a respondent fails to notify ERCOT of any error, ambiguity, conflict, discrepancy, exclusionary specification or omission, the respondent shall submit a proposal at its own risk and, if awarded the contract, shall have waived any claim that the RFP and Master Agreement were ambiguous and shall not contest ERCOT’s interpretation. If no error or ambiguity is reported by the deadline for submitting written questions, the respondent shall not be entitled to additional compensation, relief or time by reason of the error or its later correction.