Compliance__Submittal_Forms.pdf

PDF 1 MB Posted

Attached to
Cybersecurity Governance, Risk, and Compliance Solution
Solicitation number
PR9041
Issued by
Florida

About this file

This is a Compliance Submittal Forms document for the Orlando Utilities Commission (OUC), a Florida-based utility provider seeking proposals for a Governance, Risk, and Compliance (GRC) solution. The document outlines the required submittal forms and compliance documentation that prospective vendors must complete and submit as part of their proposal response. The submission requirements establish the procedural framework for vendors to demonstrate their qualifications, experience, and ability to implement a comprehensive GRC solution designed to strengthen OUC's enterprise risk management capabilities across its electric and water utility operations. Vendors must adhere to all specified form requirements and submission guidelines outlined in this document to ensure their proposals are considered responsive and eligible for evaluation.

The forms establish compliance standards and documentation thresholds that potential vendors must meet to participate in the competitive procurement process. This submittal document serves as a gating mechanism to ensure all proposals meet OUC's administrative and procedural requirements before advancing to technical and financial evaluation phases. Vendors should carefully review all required forms, complete them in their entirety according to instructions provided, and submit them by the established deadline to qualify for consideration in the GRC solution procurement.

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DISPUTE DISCLOSURE for Solicitation #:_____________

Answer the following questions by placing an "X" in the appropriate "YES" or "NO" box. If you answer "YES", please explain In the space provided, or via attachment.

Has your firm, or any of its officers, received a reprimand of any nature or been suspended by the Department of Professional Regulation or any other regulatory agency or professional association within the last five (5) years?

YES NO

Has your firm, or any member of your firm, been declared in default, terminated or removed from a contract or job related to the services your firm provides in the regular course of business within the last five (5) years?

YES NO

Has your firm had filed against it or filed any requests for equitable adjustment, contract claims or litigation in the past five (5) years that is related to the services your firm provides in the regular course of business?

YES NO

If yes, state the nature of the request for equitable adjustment, contract claim or litigation, a brief description of the case, the outcome or status of suit and the monetary amounts or extended contract time involved.

I hereby certify that all statements made are true and agree and understand that any misstatement or misrepresentation or falsification of facts shall be cause for forfeiture of rights for further consideration of this project.

Firm Date

Authorized Signature Officer Title

Printed or Typed Name

Dispute Disclosure Form_v.1_160708

SWORN STATEMENT UNDER SECTION 287.133 (3) (a) and 287.135, FLORIDA STATUTES, ON PUBLIC ENTITY CRIMES AND SCRUTINIZED

COMPANIES

(To be signed in the presence of a notary public or other officer authorized to administer oaths.)

STATE OF ________________

COUNTY OF _______________

Before me, the undersigned authority, personally appeared ______________________ who, being by me first duly sworn, made the following statement:

1. The business address of __________________________________________ is _____________________________________________________________

2. My relationship to _______________________________________________ is _____________________________________________________________

[Relationship such as sole proprietor, partner, president, vice president].

3. I understand that any company listed on the Scrutinized Companies with Activities in Sudan List or the Scrutinized Companies with Activities in the Iran Petroleum Section as defined by Florida Statute 215.473 may not bid on, submit a proposal for, or enter into or renew a contract with an agency or local governmental entity for goods or services of $1 million or more. If found to be on the list, I understand that any contract with the governmental agency or entity will be terminated and that civil penalties as outlined in Florida Statute

287.135 will apply.

4. I understand that a public entity crime as defined in Section 287.133 of the Florida Statutes includes a violation of any state or federal law by a person with respect to and directly related to the transaction of business with any public entity in Florida or with an agency or political subdivision of any other state or with the United States, including, but not limited to, any bid or contract for goods or services to be provided to any public entity or such an agency or political subdivision and involving antitrust, fraud, theft, bribery, collusion, racketeering, conspiracy, or material misrepresentation.

5. I understand that "convicted" or "conviction" is defined by the statute to mean a finding of guilt or a conviction of a public entity crime, with or without an adjudication of guilt, in any federal or state trial court of record relating to charges brought by indictment or information after July 1, 1989, as a result of a jury verdict, nonjury trial, or entry of a plea of guilty or nolo contendere.

Public Entity Crimes Form_v.1_160708 1

6. I understand that "affiliate" is defined by the statute to mean (1) a predecessor or successor of a person or a corporation convicted of a public entity crime, or

(2) an entity under the control of any natural person who is active in the management of the entity and who has been convicted of a public entity crime, or (3) those officers, directors, executives, partners, shareholders, employees, members, and agents who are active in the management of an affiliate, or (4) a person or corporation who knowingly entered into a joint venture with a person who has been convicted of a public entity crime in Florida during the preceding 36 months.

7. Neither the bidder or Contractor nor any officer, director, executive, partner, shareholder, employee, member or agent who is active in the management of the bidder or Contractor nor any affiliate of the bidder or Contractor has been convicted of a public entity crime subsequent to July 1, 1989.

[Draw a line through paragraph 7 if paragraph 8 below applies.]

8. There has been a conviction of a public entity crime by the bidder or Contractor, or an officer, director, executive, partner, shareholder, employee, member or agent of the bidder or Contractor who is active in the management of the bidder or Contractor or an affiliate of the bidder or Contractor. A determination has been made pursuant to Section 287.133(3) by order of the Division of Administrative Hearings that it is not in the public interest for the name of the convicted person or affiliate to appear on the convicted vendor list.

The name of the convicted person or affiliate is

_______________________________________. A copy of the order of the Division of Administrative Hearings is attached to this statement.

[Draw a line through paragraph 8 if paragraph 7 above applies.]

Signed by: ____________________________________

Printed Name: _________________________________

Sworn to and subscribed before me in the state and county first mentioned above on the ________ day of ___________________________ 20______.

Notary Public

(Affix Seal)

Type or Printed Name My Commission Expires

Public Entity Crimes Form_v.1_160708 2

EXCEPTIONS for Solicitation #:_____________

The undersigned Proposer/Bidder, having read and examined the specifications and documents for the designated services and understanding the general conditions for contract under which services will be performed, does hereby propose to furnish all labor, equipment, and material to provide the services set forth in the Proposal.

The undersigned hereby declares that the following listing states any clarifications, any and all variations from and exceptions to the requirements of the specifications and documents.

The undersigned further declares that the “work” will be performed in strict accordance with such requirements, and understands that any exceptions to the requirements of the specifications and documents may render the Proposer's proposal non-responsive.

No exceptions will be allowed after the proposal is submitted.

Please check one:

None

Exceptions:

(If more space is needed, please indicate exceptions here and attach additional pages as needed)

Exceptions Form_v.1_160708

ADDENDA for Solicitation #:_____________

The undersigned Proposer/Bidder acknowledges receipt of the following Addenda, which have been considered in preparing this Proposal.

Addendum No. 1 Dated

Addendum No. 2 Dated

Addendum No. 3 Dated

Addendum No. 4 Dated

Subcontractor_Potential Cost Saving Form_v.2_161115

For Solicitation #:_____________

SUBCONTRACTORS

Below or on an attached sheet, list your proposed Subcontractors for this project. If you are not sure of the Subcontractor’s identity at the time of the proposal, state which portion of the project you will be subcontracting. Also by each Subcontractor state if they are a Minority or Women owned business. Second tier reporting of Minority or Women owned business is required to be reported on a quarterly basis.

POTENTIAL COST SAVING ALTERNATIVE

(Use additional paper, if necessary)

ECONOMIC DEVELOPMENT OPPORTUNITIES

Should Contractor be awarded the work in this solicitation, please provide information on any Economic Development Opportunities that Contractor may bring, such as the creation of new jobs or purchasing or leasing of new building space, which could benefit the local Orlando area or the State of Florida:

For Solicitation #:_____________

COMPLIANCE UNDER SECTION 255.05,

FLORIDA STATUTES ON PAYMENT AND PERFORMANCE BOND

1. I understand that any person entering into a formal contract with the state or any county, city, or political subdivision thereof, or other public authority or private entity, for the construction of a public building, for the prosecution and completion of a public work, or for repairs upon a public building or public work shall be required, before commencing the work or before recommencing the work after a default or abandonment, to execute, deliver to the public owner, and record in the public records of the county where the improvement is located, a payment and performance bond with a surety insurer authorized to do business in this state as surety.

2. I understand that when such work is done and the contract is for more than

$200,000, a payment and performance bond must be executed.

3. I understand that in lieu of the bond required, a supplier may file with the state, county, city, or other political authority an alternative form of security in the form of cash, a money order, a certified check, a cashier’s check, an irrevocable letter of credit, or a security of a type listed in Part II of Chapter 625.

If you will be submitting an alternative form of security, please indicate which form you will be submitting:

___ Cash ___ Money order ___ Certified check ___ Cashier’s check ___ Irrevocable letter of credit ___ Security of a type listed in Part II of Chapter 625

4. I understand that the amount of the payment and performance bond or any of the acceptable alternative forms of security shall equal the contract price.

5. I understand that failure to provide when required: (a) a payment and performance bond or (2) alternate payment and performance security permissible under Section 255.05, Florida Statutes shall cause an automatic rejection of the proposal.

Firm Date

Authorized Signature Officer Title

Printed or Typed Name

Payment and Performance Bond Form_v.1_160708 mojic240 Typewritten Text mojic240 Typewritten Text mojic240 Typewritten Text mojic240 Typewritten Text mojic240 Typewritten Text

For Solicitation:
Cash:
Money order:
Certified check:
Cashiers check:
Irrevocable letter of credit:
Security of a type listed in Part II of Chapter 625:
EXCEPTIONS for Solicitation:
undefined_2:
Exceptions:
undefined_3:
undefined_4:
undefined_5:
undefined_6:
undefined_7:
undefined_8:
undefined_9:
STATE OF:
COUNTY OF:
Before me the undersigned authority personally appeared:
Company name:
Text3:
Company Name:
Text5:
Division of Administrative Hearings is attached to this statement:
above on the 1:
above on the 2:
20:
undefined:
Type or Printed Name:
My Commission Expires:
Printed Name:
DISPUTE DISCLOSURE for Solicitation:
association within the last five 5 years: Off
business within the last five 5 years: Off
regular course of business: Off
Firm:
Printed or Typed Name:
Date:
Officer Title:
ADDENDA for Solicitation:
Dated:
Dated_2:
Dated_3:
Dated_4:

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