ESBD_392440_1737736291719_RFP 473-25-00004 FInal For Posting.pdf

PUBLIC UTILITY COMMISSION OF TEXAS

REQUEST FOR PROPOSALS TO PROVIDE THE TEXAS ENERGY

FUND FINANCIAL MANAGEMENT SERVICES

Public Utility Commission of Texas

William B. Travis Building

1701 North Congress Avenue

Austin, Texas 78711

Closing Time and Date:

February 24, 2025

10:00 a.m., Central Time

RFP Number: 473-25-00004

Project Number: 57566

NIGP Class Item: 946-00, 30, 38, 48, 49, 949-25, 26, 958-39

PUCT RFP 473-25-00004

Table of Contents

SECTION 1 – INTRODUCTION ____________________________________________________ 3

SECTION 2 – DEFINITIONS ______________________________________________________ 3

SECTION 3 – STATEMENT OF WORK ______________________________________________ 3

SECTION 4 – ELIGIBILITY AND EVALUATION CRITERIA ________________________________ 8

4.A. EEO and HUB Statement ______________________________________________________ 8

4.B. Minimum Eligibility Requirements ______________________________________________ 8

4.C. Evaluation Criteria ___________________________________________________________ 9

4.D. Texas Vendor Preference ______________________________________________________ 9

4.E. References __________________________________________________________________ 10

SECTION 5 – SCHEDULE AND PROCESS ___________________________________________ 10

5.A. Anticipated Schedule _________________________________________________________ 10

5.B. PUCT Point of Contact _______________________________________________________ 10

5.C. Process for Asking Questions __________________________________________________ 11

5.D. Process for Submitting Proposals _______________________________________________ 11

5.E. PUCT’s Standard Process for Selecting Vendors __________________________________ 11

SECTION 6 – REQUIRED COMPONENTS AND FORMAT _______________________________ 12

6.A. Components ________________________________________________________________ 13

6.B. Format Requirements ________________________________________________________ 18

SECTION 7 – CONDITIONS _____________________________________________________ 19

7.A. Irrevocable Offer ____________________________________________________________ 19

7.B. Proposals are the Property of the PUCT _________________________________________ 19

7.C. Public Information Act Notice _________________________________________________ 19

7.D. Publicity ___________________________________________________________________ 19

7.E. No Proposal Costs Reimbursed _________________________________________________ 20

7.F. Contract Terms and Conditions ________________________________________________ 20

7.G. Vendor Performance Tracking System __________________________________________ 20

ATTACHMENT A – Proposed General Terms and Conditions __________________________ 21

SECTION 1 – INTRODUCTION

The Public Utility Commission of Texas (PUCT) is issuing a Request for Proposals (RFP) for a

Contractor to perform comprehensive financial management services for the Texas Energy Fund, as created by Senate Bill (SB) 2627 and codified in the Utilities Code Chapter 34.

SECTION 2 – DEFINITIONS

As used in this RFP, the following terms have the meanings specified:

(1) Business day means a day other than a: (i) Saturday or Sunday; (ii) national holiday under

Texas Government Code § 662.003(a); or (iii) state holiday under Texas Government Code

§ 662.003(b). Unless described as a ‘business day’, a ‘day’ means a calendar day.

(2) Commission means the governing body of the PUCT.

(3) Contractor means the person, organization, business entity, or other entity that is selected for the contract contemplated by this RFP.

(4) May means “is authorized to.”

(5) Parties means the PUCT and Contractor. Party means the PUCT or Contractor.

(6) Proposer means a person, organization, business entity, or other entity that submits a proposal in response to this RFP.

(7) PUCT means the Public Utility Commission of Texas, an agency of the state of Texas.

(8) Services means any and all services performed and any and all goods and products delivered by Contractor as specified in the Statement of Work.

(9) Statement of Work means the description of goods and services to be provided, as specified in Section 3 of this RFP.

(10) Vendor means a person, organization, business entity, or other entity that has been selected for or entered into a contract with a Texas state agency.

(11) Vendor Performance Tracking System” means the system the Texas Comptroller of

Public Accounts is required to provide under Section 2262.055, Texas Government Code, for evaluating vendor performance. The Vendor Performance Tracking System is located at: http://txsmartbuy.com/vpts.

(12) Week means seven consecutive calendar days.

SECTION 3 – STATEMENT OF WORK

1. Overview

1.1 Introduction. The PUCT is seeking a qualified Contractor (TEF Financial

Management Contractor) to perform comprehensive financial management services for the Texas Energy Fund (TEF), as created by Senate Bill (SB) 2627 and http://txsmartbuy.com/vpts codified in the Utilities Code Chapter 34. The Contractor shall conduct fiduciary oversight of both enterprise-level and program-level transactions for the TEF and each of its four programs: (1) In-ERCOT Generation Loan Program; (2)

Completion Bonus Grant Program; (3) Outside ERCOT Grant Program; and (4)

Texas Backup Power Package Program.

The Contractor will assist the PUCT in support of its fiduciary responsibilities by establishing and maintaining financial processes and procedures to track and oversee the disbursement of TEF payments to program participants and contractors;

generate and reconcile TEF-wide and program-specific financial reports on balances, cash flow, projections, and inter-agency transfers; and establish and enforce adequate controls and mitigate risk throughout the lifecycle of the TEF by creating standards for data integrity and security among various systems of record.

The Contractor will work in tandem with the TEF Administrator, who has been previously procured by the PUCT, to help establish and oversee the primary functions of the TEF. In general, the scope of the financial services performed by the Contractor will be at the enterprise level, whereas the financial services performed by the TEF Administrator are at the program or project level. To the extent there is any overlap of financial services provided by the Contractor and the

TEF Administrator, the PUCT will provide appropriate direction as to each. The

Contractor is subject to the PUCT’s oversight and supervision to provide any other enterprise-level financial management services as necessary to fulfill the requirements and purposes of SB 2627.

1.2. Instructions for the Proposer. This Statement of Work describes broad goals and expected outcomes for the Contractor. The Proposer must ensure its response complies with the purpose of this RFP and elaborates in detail how the Proposer’s financial management services will increase financial efficiency and support the

PUCT in administering the TEF programs to fulfill TEF goals and the requirements of SB 2627. Additionally, the Proposer must identify the tools it will develop to track and monitor the TEF-wide budget, individual TEF program budgets, program participant loan and/or grant payments and contractor payments, and transactions between state accounts. The Proposer must provide its approach to developing procedures for enterprise-level budgetary monitoring and reporting of various financial data and creation of long and short-range financial strategies that provide real-time visibility into the TEF while facilitating day-to-day financial operations.

1.3. Minimum Contractor Knowledge and Experience: The Proposer must demonstrate its knowledge and expertise in the following areas:

1.3.1. At least five (5) years of experience in providing comprehensive financial services and administration of government-run grant or loan programs.

1.3.2. A working knowledge of regulatory and statutory frameworks for grant or loan processes funded by state or federal sources.

1.3.3. An ability to provide comprehensive financial services, specifically as they pertain to the successful administration of the TEF overall, as well as all four TEF programs.

1.3.4. Expertise in developing and administering electronic systems that facilitate financial data analysis and reporting.

1.3.5. Experience navigating Texas laws governing state agencies.

2. Description of Requested Services and Deliverables

2.1. Summary: The requested services and deliverables require the Contractor to present the TEF’s overall financial status and trends in a variety of formats to provide a clear, concise, and insightful view of the TEF programs, projects, and administrative activities. The Proposer must demonstrate its adherence to all applicable state and federal laws and regulations while in service to the PUCT. The Proposer should demonstrate its capability of performing, at a minimum, the following financial management services:

2.2 STANDARD OPERATING PROCEDURES

2.2.1. Payment Processes. Develop and maintain updates to enterprise-level financial management processes and procedures for funding disbursements for each TEF program, including data/documentation requirements.

Procedures must ensure compliance with all applicable uniform administrative requirements, cost principles, and audit requirements for state awards.

2.2.2. Quality Assurance and Control. Develop and maintain updates to enterprise-level financial management processes and procedures for quality assurance and quality control (QA/QC) for each TEF program, including roles and contingency planning for verification confirmations and approval paths.

2.2.3. Continuous Improvements. Develop and maintain a schedule for comprehensive reviews of existing enterprise-level financial management processes and procedures to identify opportunities for efficiencies and strengthening of internal controls and tracking. Examples of processes to undergo routine review include:

a) Financial balances, capacities, and projected expenditures.

b) Cash management process maps for inter and intra-agency activities.

c) Funding requests, reimbursements, interests earned, and recaptures for each program.

d) Risk assessment and recommended mitigation for each of the TEF programs.

2.2.4. Records Retention. Develop procedure for data and records transfer at end of contract term, ensuring the PUCT full and complete access to all records for proper TEF administration and required state records retention.

2.3. ONGOING DUTIES

2.3.1. Coordinate and process all cashflows between the PUCT and the Texas

Treasury Safe-Keeping Trust Company (the Trust), including QA/QC of disbursement requests, capital calls, and other payments as initiated by the

TEF Administrator.

2.3.2. Establish processes and documentation required to transfer funds from the

TEF Holding Account to the TEF Operating Account to pay vendors or TEF programs.

2.3.3. Monitor and document vendor payments, cash flow, and administrative expenses to ensure necessary funding in appropriate accounts to meet anticipated obligations and payment of invoices in accordance with the

Texas Prompt Payment Act.

2.3.4. Perform monthly account reconciliation.

2.3.5. Create expenditure forecasts as directed by the PUCT.

2.3.6. Manage the liquidity needs of the TEF based on forecasts provided by each program.

2.3.7. Monitor the overall effectiveness and efficiency of the funds management

TEF-wide and for each program and make recommendations for improvement, as applicable.

2.3.8. Maintain financial management accountability to the PUCT and support the

PUCT’s fiduciary responsibility for proper management of public funds.

2.3.9 Identify areas for financial management improvement and present data to support proposed decision-making.

2.3.10. Track and monitor the following:

a) Financial processes;

b) Draw requests;

c) Record keeping and reporting;

d) Financial policies and procedures consistency with all aspects of TEF administration; and

e) Budgets and financial capacities.

2.3.11. Adhere to timelines set by the PUCT.

2.3.12. Respond to Public Information Act requests by gathering, compiling, researching, copying, producing, organizing, and transmitting documents within required time frame and as directed by the PUCT without additional charge to the PUCT.

2.3.13. Monitor, oversee, and reconcile payments to loan and grant recipients to be disbursed by the PUCT; identify errors; and make recommendations for process improvement.

2.4. TECHNICAL ASSISTANCE & ENGAGEMENT

2.4.1. Complete onboarding to PUCT for systems access, including prompt replies to PUCT instructions and requests for information to establish and maintain secure access.

2.4.2. Provide training and technical assistance to PUCT staff and associated contractors, as needed.

2.4.3. Monitor and provide recommendations to improve and streamline external-facing budget tools, templates, guidelines, and instructional materials.

2.4.4. Participate in meetings in-person or via Teams, as needed, to discuss program status, significant issues, lessons learned, and other financial matters pertaining to the TEF upon PUCT request.

2.4.5. Acknowledge correspondence from the PUCT within 24 hours, issue comprehensive responses within 72 hours, and identify qualified backups to cover unforeseen absences of any assigned Contractor staff.

2.4.6. Coordinate with and establish access to the applicable financial platforms for the Texas Comptroller of Public Accounts (the Comptroller), the Trust, and the TEF Portal in order to properly monitor and maintain all applicable

TEF transactions.

2.4.7. Collaborate with other TEF vendors, as needed.

2.5. REPORTING

2.5.1. Create and maintain organized financial data, reports, and other supporting documentation in PUCT systems of record as directed by the PUCT.

2.5.2. Create a comprehensive TEF financial dashboard that reports standardized and essential metrics for enterprise-level implementation of all TEF programs and administrative expenses.

2.5.3. Create and maintain financial reporting templates that identify enterprise-level expenditures related to TEF administrative and contractor budgets, and update such templates, as necessary. Issue reports on a schedule to be determined by the PUCT.

2.5.4. Provide program status updates on schedule to be determined by the PUCT and identify fiduciary and financial risks, issues, and items that need to be addressed.

2.5.5. Assist with the tracking of any metrics relating to requirements of SB 2627 for use in reporting by the PUCT. Ensure proper allocation of funds and compliance with SB 2627 and related rules.

2.5.6. Identify areas for financial management improvement and present data to support proposed decision-making.

2.6. AUDITS

2.6.1. Submit regularly scheduled reports tracking the status of assigned monitoring reviews and oversight activities. The reports must include data sufficient for the PUCT to fulfill all TEF reporting and auditing needs, and data requirements may change from time to time.

2.6.2. Participate in and fully comply with all audits conducted of the TEF, including internal PUCT audits and external audits conducted by the State

Auditor’s Office (SAO), or other organizations as applicable.

SECTION 4 – ELIGIBILITY AND EVALUATION CRITERIA

4.A. EEO and HUB Statement

The PUCT is an equal employment opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, sexual orientation, veteran status, age, or disability in employment or in the provision of services. This commitment extends to Proposers, Vendors, and their employees as well.

The PUCT encourages Historically Underutilized Businesses (HUBs) to compete for this award.

4.B. Minimum Eligibility Requirements

4.B.1. To pass the initial screening criteria, proposals must demonstrate that the Proposer has a minimum of ten years’ experience similar to that described in Section 3, Statement of Work, as it relates to comprehensive financial services.

An entity or company with fewer than ten years’ experience is eligible to submit a proposal if each key member of the proposal team, including subcontractors, has at least ten years’ experience.

Additionally, proposals must:

• meet all deadlines set out in this RFP;

• follow the appropriate process for submitting proposals (see Section 6 of this RFP, Required Components and Format);

• include all required components described in this RFP (see Section 6); and

• meet all format requirements set out in this RFP (see Section 6).

Proposers who do not meet these requirements are not eligible for award and will be disqualified.

4.B.2. Under Texas law, vendors may be barred from participating in state contracts that are subject to Texas Government Code Chapter 2155, Subchapter B (General Purchasing

Requirements, Procedures, and Programs). TEX. GOV’T. CODE § 2155.077. If a Proposer is barred from participating in state contracts, its proposal will be disqualified and will receive no further consideration.

4.B.3. The PUCT is required to purchase goods and services that provide the best value to the state. TEX. GOV’T. CODE § 2155.074. To that end, the PUCT will review information in the statewide Vendor Performance Tracking System regarding Proposer’s past performance. Any of the following conditions may result in a Proposer being disqualified from consideration for this

RFP:

• having a score of less than a “C” in the Vendor Performance Tracking System;

• currently being under a corrective action plan through the Texas Comptroller of Public

Accounts;

• having repeated negative Vendor Performance Reports for the same or similar reason; or

• having purchase orders that have been cancelled in the previous 12 months for non-performance (for example, late delivery or failing to meet quality standards).

4.C. Evaluation Criteria

The PUCT will make the selection and award on the basis of the proposal substance and the

Proposer’s demonstrated knowledge, competence, and qualifications to provide the services described in Section 3, Statement of Work. A description of the categories under which each proposal will be judged, and the percentage of weight given to each category, are as follows:

• Proposal Substance – 40%

➢ Proposal demonstrates a clear understanding of the objectives, as described in

Section 3, Statement of Work.

➢ Proposed approach is both thorough and practical.

➢ Proposed approach for meeting objectives is desirable.

➢ Conditions included in the proposal are acceptable.

• Competence and Knowledge – 40%

➢ Competence and experience are demonstrated by the qualifications described in the proposal.

➢ Management structure is well-suited to the objectives described in Section 3, Statement of Work.

➢ Assigned staffing for prime and subcontractors is desirable to meet the objectives described in Section 3, Statement of Work.

➢ The Proposer has the capacity and financial resources to perform the contract and meet deadlines without delay or interference.

➢ The proposal demonstrates the team’s qualifications and experience, drawing on lessons learned and best practices.

• Proposed Compensation – 20%

4.D. Texas Vendor Preference

All other factors being equal, preference will be given to a Proposer who meets one or more of the following criteria:

• Proposer is incorporated in Texas;

• Proposer’s principal place of business is in Texas; or

• Proposer has an established physical presence in Texas.

Proposers who may qualify for the Texas Vendor Preference should provide information establishing the applicable criteria as part of the proposal package.

4.E. References

The PUCT may check references as part of the evaluation process, and reference checks may be conducted at any time between receipt of a proposal and acceptance or rejection of a proposal.

Information gained through reference checks can be used as grounds for disqualification of a proposal if the information casts doubt upon the ability of the Proposer to successfully meet the objectives of the RFP. However, any information obtained through a reference check that is discriminatory on the basis of race, color, religion, sex, national origin, sexual orientation, veteran status, age, or disability will not be considered.

SECTION 5 – SCHEDULE AND PROCESS

5.A. Anticipated Schedule

Disclaimer: Dates are subject to change at the PUCT’s discretion. Changes to Proposer deadlines will be posted on the Electronic State Business Daily (ESBD) website and the PUCT’s

Procurement webpage, along with any other RFP modifications and addenda. It is the Proposer’s responsibility to periodically check the websites prior to submitting a proposal. A Proposer’s failure to review additional information posted on the ESBD and PUCT websites will not release the Proposer from requirements described in those postings and could result in disqualification of a proposal or additional costs to meet the requirements of the contract should the Proposer be selected for the contract.

PUCT Procurement Webpage: http://www.puc.texas.gov/agency/about/procurement/Default.aspx

ESBD Website: https://www.txsmartbuy.com/esbd

Event Anticipated Date

RFP Release January 24, 2025

Last day to submit written questions regarding the RFP January 28, 2025,10 am CT

Deadline for submission of proposals February 24, 2025,10 am CT

Post-proposal interviews or presentations, if required Week of March 3, 2025

Staff recommendation for selection By March 12, 2025

Selection approved March 14, 2025

Contract negotiations March 2025

Contract period begins April 1, 2025

5.B. PUCT Point of Contact

Jay Stone, CTCM, CTCD, or his designated substitute, is the only permitted PUCT point of contact regarding this RFP. Contact or attempted contact with other PUCT employees, including commissioners and their staffs, may result in a Proposer’s immediate disqualification. Proposers will be notified if circumstances require a designated substitute contact for this RFP.

http://www.puc.texas.gov/agency/about/procurement/Default.aspx https://www.txsmartbuy.com/esbd

5.C. Process for Asking Questions

The PUCT will only accept written questions and requests for clarification. Requests must be sent by email to RFPCorrespondence@puc.texas.gov, attention: Jay Stone, CTCM, CTCD. Inquiries and comments must reference RFP No.473-24-00011.

The PUCT aims to answer all questions within two business days after receipt. Answers to all questions will be provided through an addendum posted on the ESBD and agency procurement websites. Any day the PUCT is closed for a holiday may delay the response to questions.

5.D. Process for Submitting Proposals

5.D.1. Proposers must submit their proposals by email to RFPCorrespondence@puc.texas.gov before the stated closing date and time. Proposals will not be considered if received in the

RFPCorrespondence@puc.texas.gov email inbox after 10:00 am, central time, on February 24, 2025. All required information must be provided at that time. The PUCT will only accept the time and date stamp of the email received in the RFPCorrespondence@puc.texas.gov inbox as evidence of timely submission. The PUCT is the sole arbiter of timeliness, and technical problems will not be considered good cause for late submission. Supplements will only be allowed if information is requested by the PUCT after the closing date of the RFP.

Jay Stone, CTCM, CTCD, or his designated substitute will file the sealed proposals confidentially in Project Number 57566 with the PUCT’s Central Records Division.

5.D.2. Confidential filing is required because this RFP is conducted using a sealed bid process.

Confidential filing does not guarantee confidentiality after the RFP has ended and a contract has been executed. Any portion of the proposal considered to be confidential after the RFP has been cancelled or a contract has been awarded (for example, trade secrets) must be marked with the word “CONFIDENTIAL” in all-caps and bold on each page considered to contain confidential information.

5.D.3. Proposers are advised to seek legal counsel regarding the best way to protect any trade secrets or other proprietary information.

5.D.4. For more information about how the PUCT will respond to PIA requests relating to this

RFP, please see Section 7.C. of this RFP, Public Information Act Notice.

5.E. PUCT’s Standard Process for Selecting Vendors

5.E.1. The PUCT will assemble an evaluation team that will begin proposal evaluation as soon as practicable after the submission deadline. Evaluation team members will score each proposal individually based on the factors described under Section 4.C. of this RFP, Evaluation Criteria.

Maximum point values will be assigned to each scoring factor according to the percentage of weight given to that factor, and evaluators will assign a point value up to the maximum allowed for each factor. The purchaser will calculate scoring for compensation. The compensation score will be calculated using the following formula: Compensation Score = (Lowest Price / Price of

Response Being Evaluated) x Maximum Number of Available Points for Compensation.

Evaluation team members will not have access to compensation information while they are reviewing and scoring the proposals.

mailto:RFPCorrespondence@puc.texas.gov mailto:RFPCorrespondence@puc.texas.gov mailto:RFPCorrespondence@puc.texas.gov mailto:RFPCorrespondence@puc.texas.gov

5.E.2. After individual scoring, the evaluation team will email their scoring sheets to the purchaser. The purchaser will review the individual scoring sheets and compile a summary scoring sheet combining all evaluation team scoring and including the compensation scoring to calculate overall scores.

5.E.3. After overall scores are calculated, the evaluation team, with guidance from the purchaser, will then take one of the following actions: recommend selection of a specific Proposer, gather more information before selecting a specific Proposer; or recommend that the RFP be withdrawn or reposted.

5.E.4. If the evaluation team needs more information to make a decision, the PUCT may request any of the following from one or more Proposers: additional information or clarification, an oral presentation, or a best and final offer. Additional information, clarification, oral presentations, or best and final offers will be used to re-score proposals, based upon the same criteria used to score the initial proposals, unless different criteria is specified by the purchaser when the additional information is requested.

5.E.5. The PUCT may require selected Proposers to participate in conference calls, attend meetings in Austin, Texas, give presentations, or participate in all of these activities to provide additional information about their proposals. Any cost associated with any such call, meeting, or presentation will be borne solely by the Proposer.

5.E.6. If clarification, presentations, or best and final offers are requested, the evaluation team may request the clarification, presentations, or best and final offers from the top-ranked Proposer or Proposers only, or all of the Proposers, at the discretion of the evaluation team.

5.E.7. Final recommendations will be presented to the Executive Director of the PUCT. The

Executive Director may do one of the following: approve the recommended selection in whole or in part; disapprove the recommendation; or defer action on the selection.

5.E.8. The PUCT will begin contract negotiations shortly after the Executive Director approves a recommendation to select a specific Proposer. The PUCT may negotiate all portions of any proposal, including, but not limited to: the proposed fee, a final schedule for performance to be incorporated into the contract, and any terms of the contract.

5.E.9. The PUCT will notify each Proposer of the final action taken upon execution of the contract with the selected Proposer.

5.E.10. No questions about the status of the proposals will be answered while proposals are under evaluation.

5.E.11. The PUCT may reject any and all proposals, amend this RFP, or cancel this RFP at any time. After the proposal due date, the PUCT will only notify Proposers who submitted a proposal prior to the proposal submission deadline of amendments to the RFP.

SECTION 6 – REQUIRED COMPONENTS AND FORMAT

6.A. Components

Proposals must include all required attachments and certifications. The PUCT will not accept attachments or certifications submitted after the proposal deadline. Proposals that do not include all required information will be considered non-responsive and will be disqualified.

Proposals must include the contents described in 6.A.1 through 6.A.10 with each section clearly defined on a table of contents page.

6.A.1. Statement of the Requirements

In this section, each Proposer must succinctly state its understanding of the RFP’s requirements and describe how it would perform the tasks described in Section 3, Statement of Work.

6.A.2. Competence and Knowledge

Each Proposer must provide a detailed work plan to demonstrate how it intends to fulfil the requirements identified in Section 3, Statement of Work. The proposal must include an organizational chart identifying functions and reporting relationships of the personnel who will be assigned to this work. The Proposer should also describe any prior experience Proposer’s organization has in providing similar services.

6.A.3. Qualifications

For each person a Proposer identifies to perform the work described in this RFP, the Proposer must provide a detailed resume that describes the services they would perform, their qualifications, and their experience.

6.A.4. Compensation

Each Proposer must propose pricing to provide the services identified in Section 3, Statement of

Work.

Compensation for the services identified in Section 3, Statement of Work, may be proposed as a firm fixed price or an hourly rate. The proposal must include detailed information that establishes the bases for the price proposed.

Unless otherwise approved in writing by the PUCT, payments will be made based upon the invoicing and payment terms of the resulting contract. The PUCT will not reimburse any out-of-pocket expenses or expenses not contemplated at the time of contract execution.

Proposer must demonstrate how elements of the price correspond to elements of the proposed work plan.

6.A.5. References

Each Proposer must provide at least three references. Proposers must include a phone number and email address for each reference.

The PUCT prefers references from clients for whom the Proposer has performed similar work, including other state commissions or boards.

Proposers must not use the PUCT or any individuals employed by the PUCT as a reference.

6.A.6. Conflicts Statement

Proposers must be neutral and impartial, must not be an entity that has a specific interest in the

PUCT’s regulation, and must not have a direct financial interest in the provision of electric, telephone, water, or sewer service in the state of Texas.

Proposers having a conflict of interest, as determined by the PUCT, will not be eligible for contract award. Proposers may also be disqualified if there are facts that would create an appearance of impropriety, even if no actual conflict exists.

The PUCT will determine whether a conflict of interest or an appearance of impropriety exists from the perspective of a reasonable person uninvolved in the matters covered by the resulting contract. The PUCT is the sole arbiter of whether a conflict or an appearance of impropriety exists.

The requirements for the conflicts statement are as follows:

• It must be signed and notarized by the highest-ranking officer of Proposer’s entity having responsibility for vetting corporate conflicts of interest.

• It must identify any personal or business relationships of Proposers, including all employees and subcontractors of Proposers with any electric, telecommunications, water, or sewer utility or any utility affiliate operating in Texas or any entity having a pending application at the PUCT to enter the Texas retail electric market, telecommunications market, water utility market, or sewer utility market, and any entity likely to have a direct interest in any of the four programs administered by the Texas Energy Fund, namely: the

In-ERCOT Generation Loan Program; the Completion Bonus Grant Program; the Outside

ERCOT Grant Program; and the Texas Backup Power Package Program. It must identify the extent, nature, and time aspects of those relationships.

• If a Proposer does not have any known or potential conflict of interest or appearance of impropriety, the conflicts statement must include a statement that there is no known or potential conflict of interest or appearance of impropriety. Failure to provide either a statement describing potential conflicts of interest or appearances of impropriety or a statement that no potential conflict or appearance of impropriety exists will automatically disqualify the Proposer.

• The conflicts statement must address how the Proposer intends to address any known conflicts of interest or appearance of impropriety.

• The conflicts statement must address how the Proposer intends to ensure that no interest may arise as a result of its activities or those of its parent, affiliate, or other related entity that will conflict with the Proposer’s duty should it be selected to provide the services described in Section 3, Statement of Work.

• The conflicts statement must identify a Proposer’s lobbyists who are registered or required to register with the Texas Ethics Commission and their compensation. The conflicts statement must also describe any involvement the Proposer’s lobbyists will have in connection with this engagement or electric utility, telecommunication utility, water utility, or sewer utility legislation or policy.

• The conflicts statement must identify any owner, executive, board member, employee, or subcontractor of Proposer who has been employed by the PUCT or another state agency in

Texas fewer than four years ago. If any individual is identified under this provision, the conflicts statement must disclose: 1) the former PUCT or state agency employee’s name and current position with Proposer; 2) the name of the state agency; 3) the nature of the previous employment with the state agency; and 4) the dates the employment ended with the state agency and began with Proposer. The PUCT is restricted in its ability to enter into contracts with individuals and entities that employ these individuals under some circumstances. See Texas Government Code § 669.003.

• The conflicts statement must certify either that the Proposer does not employ an individual who has been employed by the PUCT or another agency of the State of Texas at any time during the two years preceding the submission of the proposal or that it has disclosed in its proposal the following: (i) the nature of the previous employment with the PUCT or the other agency; (ii) the date the employment was terminated; and (iii) the annual rate of compensation for the employment at the time of its termination. The PUCT is restricted in its ability to enter into contracts with individuals and entities that employ certain individuals under some circumstances. See Texas Government Code §§ 2254.033 and

2252.901.

• If the circumstances described by a Proposer change or additional information is obtained subsequent to the submission of proposals, the Proposer must supplement its conflicts statement as soon as reasonably possible upon learning of any change to their statement. If a supplement to the conflicts statement is required after the deadline for submission of proposals, the supplement is exempt from the requirement that all proposal documents must be submitted before the deadline in order for the proposal to be considered.

• The PUCT encourages Proposers to provide complete disclosure of any matters that might be considered a conflict of interest or appearance of impropriety. The PUCT may consider completeness of disclosure in evaluating whether a conflict of interest or an appearance of impropriety exists.

6.A.7. Historically Underutilized Business (HUB) Certification and HUB Subcontracting

Plan (HSP)

Any Proposer that is HUB certified by the Statewide Procurement Division (SPD) of the

Comptroller of Public Accounts (CPA) or one of its predecessors must submit a copy of its HUB certificate.

Additionally, the PUCT has determined that subcontracting opportunities may be available under this contract. Therefore, all Proposers, including State of Texas certified HUBs, must complete and submit a State of Texas HSP with their proposal if the total dollar amount of the proposal response is $100,000 or more.

Proposers can find HSP forms and instructions on the Texas CPA website at:

https://comptroller.texas.gov/purchasing/vendor/hub/forms.php https://comptroller.texas.gov/purchasing/vendor/hub/forms.php

Responses that do not include a completed HSP will be rejected, as required by Texas Government

Code § 2161.252(b).

6.A.8. Certifications

Each proposal must contain a signed statement with the following certifications:

• The Proposer has made a good faith effort to ensure all statements and information

Proposer submitted in response to this RFP are current, complete, and accurate. The

Proposer represents and warrants that all statements and information prepared and submitted in this document are current, complete, true, and accurate. Submitting a proposal with a false statement or making material misrepresentations during the performance of a contract is a material breach of contract and may void the submitted response and any resulting contract.

• The Proposer has not given nor offered to give and does not intend to give at any time hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant in connection with this proposal.

• The Proposer is not currently delinquent in the payment of any franchise tax owed to the

State of Texas.

• The Proposer, the firm, corporation, partnership, institution, or other legal entity represented by the Proposer, and anyone acting for such a firm, corporation, partnership, institution, or other legal entity, have not, in connection with this RFP:

o Violated the antitrust laws of this state or federal antitrust laws;

o Communicated directly or indirectly the bid made to any competitor or other person engaged in such line of business; or o Otherwise violated 15 U.S.C. § 1, et. seq., or Texas Business and Commerce Code

§ 15.01, et.seq.

• Under Texas Government Code § 2155.004, the Proposer certifies that the individual or business entity named in this proposal is not ineligible to receive the specified contract and acknowledges that this contract may be terminated and payment withheld if this certification is inaccurate.

[A Proposer is ineligible to receive a contract award if the Proposer is a person who received compensation from the agency to participate in preparing the specifications or request for proposals on which the bid or contract is based. See Texas Government Code §

2155.004(a).]

• The Proposer is in compliance with Texas Government Code § 669.003, relating to contracting with the current or former executive head of a state agency.

• Under Texas Government Code §§ 2155.006 and 2261.053, the Proposer certifies that the individual or business entity named in this proposal is not ineligible to receive the specified contract and acknowledges that any contract may be terminated and payment withheld if this certification is inaccurate.

(A Proposer is ineligible to receive a contract award if the Proposer has violated certain laws or been subject to certain penalties in connection with hurricane relief, recovery, or reconstruction efforts. See Texas Government Code §§ 2155.006 and 2261.053.)

• Under Texas Family Code § 231.006, the Proposer certifies that the individual or business entity named in this proposal is not ineligible to receive payment under the proposed contract and acknowledges that any contract resulting from this proposal may be terminated and payment may be withheld if this certification is inaccurate.

[(A child support obligor who is more than 30 days delinquent in paying child support, or a business entity in which the obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least 25 percent, is not eligible to receive payments from state funds under a contract to provide property, materials, or services. See Texas Family

Code § 231.006(a).]

• If a Proposer includes a Texas address in its proposal, the Proposer must certify whether or not it qualifies as a Texas Resident Bidder, as defined in Texas Government Code §

2155.444(c)(2).

• Proposer represents and warrants that it is not aware of any court or government agency actions, proceedings or investigations pending or threatened against Proposer or any of the individuals or entities included in the response within the five calendar years immediately preceding the submission of the proposal that would impair Proposer’s performance under the contract, relate to the solicited or similar goods or services, or otherwise be relevant to the PUCT’s consideration of the proposal. If Proposer is unable to make the preceding representation and warranty, then Proposer instead represents and warrants that it has included as a detailed attachment in its proposal a complete disclosure of any such court or governmental agency actions, proceedings, or investigations. In addition, Proposer represents and warrants that it will notify the PUCT in writing within five business days of any changes to the representations or warranties in this clause and understands that failure to timely update the PUCT may result in the Proposer’s disqualification at the PUCT’s sole discretion, or if during the performance of the contract, will constitute a breach of contract and may result in immediate termination of the contract for cause at the PUCT’s sole discretion.

• Pursuant to Texas Government Code § 2275.0102, Proposer certifies that neither it nor its parent company, nor any affiliate of Proposer or its parent company, is: (i) majority owned or controlled by citizens or governmental entities of China, Iran, North Korea, Russia, or any other country designated by the Governor under Texas Government Code § 2275.0103;

or (ii) headquartered in any of those countries.

6.A.9. Evidence of Financial Capability

Proposer must provide evidence of financial capability. The preferred evidence of financial capability is an audited financial statement, if Proposer has a current audited financial statement available or if it is practicable to obtain one for the proposal. If no audited financial statement is available, Proposer must demonstrate its financial capability in whatever manner it deems appropriate. Evidence of financial capability will be considered in evaluating the competence of the Proposer.

6.A.10. Other Required Items

• Any Proposer incorporated in Texas must include a copy of its current franchise tax

Certificate of Good Standing, issued by the Texas State Comptroller’s Office, and the corporation’s charter number, issued by the Texas Secretary of State’s Office.

• Each Proposer must provide its 9-digit Federal Employer’s Identification Number (EIN) or its 5-digit State of Texas Vendor’s Identification Number (VIN).

• Each Proposer must provide the name and social security number of each of the following, as applicable: an individual or sole proprietor; or each partner, shareholder, or owner with an ownership interest of at least 25 percent of the business entity submitting the proposal.

Proposers may decline to provide social security numbers at the time of submission but will be required to provide the information before the contract is executed.

FEDERAL PRIVACY ACT NOTICE: This notice is given pursuant to the Federal Privacy

Act. Disclosure of each applicable SSN is required under Texas Family Code §§ 231.006(c) and 231.302(c)(2). The SSN will be used to identify persons that may owe child support. The

SSN will be kept confidential to the fullest extent allowed under Texas Family Code §

231.302(e).

6.B. Format Requirements

6.B.1. Information Sheet – The first page of the proposal submission must be an information sheet that clearly states: the name of the Proposer; the name, address, telephone number, and email address of the Proposer’s point of contact; the project number; and the RFP title and number.

The information sheet will be the only portion of the proposal that will not be filed under seal.

Information sheets will be filed publicly in Project No. 57566. If a Proposer is selected, the

Proposer will be expected to maintain current contact information with the PUCT during the term of the contract.

6.B.2. Copies and Price Information – Proposers must submit via email four versions of their proposals: one PDF and one Word version with the compensation component, and one PDF and one Word version without the compensation component. The PDF copy with the compensation component must be clearly marked “Original” and include all required signatures and notarized statements.

Price information must be excluded from one PDF and one Word version. This requirement is to allow the evaluation team to review proposals for the evaluation factors of “Proposal Substance” and “Competence and Knowledge” only. Each proposal will separately be given a score for pricing and that score will be applied to the scoring matrix to ensure that price does not inadvertently influence the evaluation of the other factors.

The copies of the proposal must be identical to the original except for the omission or redaction of the price information and the Word rather than PDF file format.

6.B.3. Proposers are prohibited from using the Texas State Seal or the PUCT Seal in or on the proposal.

6.B.4. Proposals must not contain any extrinsic items, such as promotional items or other things not contemplated in this RFP.

6.B.5. Page Limit – Proposals must be limited to 75 pages, including all attachments and certifications, but excluding financial capability submittal and resumes or writing samples. The

PUCT may reject any proposals longer than 75 pages without review. In any case, evaluation team members will not be provided any pages past the 75th page.

SECTION 7 – CONDITIONS

7.A. Irrevocable Offer

Proposals may be withdrawn in writing before the deadline for receipt of proposals. After the deadline, a proposal becomes an irrevocable offer to provide the services described in Section 3, Statement of Work, with the terms and conditions specified in Attachment A, for the shorter of: a period of 90 days from the RFP closing date or until a contract resulting from this RFP is signed.

The PUCT will not return withdrawn proposals.

7.B. Proposals are the Property of the PUCT

All proposals and copies of proposals, as well as any best and final offer, and any records provided to the PUCT by the Proposer associated with the evaluation of the proposal, will become the property of the PUCT after receipt and will be retained in accordance with the PUCT’s records retention schedule.

7.C. Public Information Act Notice

Following the award of a contract, all proposals are public information and subject to release. If the PUCT receives a request for any information in connection with this RFP, the PUCT will follow the requirements of the Texas Public Information Act (Texas Government Code Chapter

552). This includes notifying Proposers and the Office of the Attorney General if information that the PUCT knows Proposer considers to be confidential is requested under the Texas Public

Information Act. The PUCT assumes no obligation to assert legal arguments on behalf of a

Proposer. The PUCT may release portions of proposals and other information provided by a

Proposer without notifying the Proposer if the information is not conspicuously marked

“confidential” on each page.

A copy of the contract resulting from this RFP will be posted on the PUCT’s public website.

Information in PUCT contracts is public information unless it is made confidential by law. See

Texas Government Code § 552.022(a)(3).

7.D. Publicity

Proposers are prohibited from making any public disclosures or news releases pertaining to this

RFP, any resulting contract, or any results or findings based on information provided or obtained to fulfill the requirements of this RFP or resulting contract. This prohibition may only be waived by prior written approval of the PUCT for the specific disclosure or news release.

7.E. No Proposal Costs Reimbursed

Neither the PUCT nor the State of Texas will reimburse any Proposer for any costs related to:

preparing a response to this RFP, preparing a best and final offer, providing additional information requested as part of the evaluation of proposals, or making any presentation requested as part of the evaluation of proposals.

7.F. Contract Terms and Conditions

Any contract resulting from this RFP will use standard general terms and conditions similar to those found in Attachment A to this RFP, unless changes are negotiated in advance of contract finalization. The terms and conditions found in Attachment A to this RFP are provided as a matter of convenience and may be altered during contract finalization. Many of the terms and conditions are required by law, and the PUCT will not negotiate when a term or condition is required by law.

Proposers must include any requested changes to the terms and conditions in their proposals.

7.G. Vendor Performance Tracking System

At the end of any contract resulting from this RFP, the PUCT will input required information into the Vendor Performance Tracking System regarding the Contractor’s performance and whether the Contractor satisfied the best value standard for this contract. This information is public and other state agencies seeking goods or services are required, under most circumstances, to use the information in the Vendor Performance Tracking System to determine whether or not a particular vendor will meet the best value standard for the purchase of the goods or services.

ATTACHMENT A – Proposed General Terms and Conditions

Article 1. DEFINITIONS

When used in this contract, the following terms have the following meanings:

(1) Business day means a…