KELLY HANCOCK

ACTING TEXAS COMPTROLLER OF PUBLIC ACCOUNTS

Request for Proposals (RFP No. 240g) for Federal Compliance Monitoring Services for the State Energy Program: Infrastructure Investment and Jobs Act Energy Efficiency Revolving Loan Fund Program

TABLE OF CONTENTS

RFP 240g Federal Compliance Monitoring Services for the SEP IIJA EE RLF

PART I

INTRODUCTION AND BACKGROUND

1.1 Introduction

The State Energy Conservation Office (“SECO”) of the Texas Comptroller of Public Accounts (“Comptroller”) issues this Request for Proposals No. 240g (the “RFP”) to invite proposals from qualified, independent federal compliance monitoring firms located in the state of Texas to provide Federal Compliance Monitoring services to SECO’s administration of the State Energy Program: Infrastructure Investment and Jobs Act Energy Efficiency Revolving Loan Fund Program (SEP IIJA EE RLF). Potential respondents should specialize in monitoring the administration of federal programs and should have extensive working experience with grant management and program evaluation and auditing.

All requisite services are referred to as “Services” in this RFP. Each individual or firm submitting a proposal in response to this RFP shall be referred to as a “Respondent.” The selected Respondent or Respondents, if any, are hereinafter referred to collectively as the “Successful Respondent.”

As a result of this RFP, Comptroller anticipates executing a contract with the Successful Respondent to perform the Services as described in this RFP (the “Contract”).

CPA anticipates making a Contract award to one (1) Successful Respondent for the Services. CPA reserves the right not to award a Contract for the performance of all or part of the Services. This RFP is not exclusive and CPA reserves the right to issue additional solicitations regarding the Services or similar services at any time.

1.2 Background

SECO administers and delivers a variety of energy efficiency programs which significantly impact energy costs and consumption in the institutional, industrial, transportation, and residential sectors. Specifically, these programs provide (1) technical resources to recommend energy management strategies which identify energy efficiency and resulting cost savings; (2) financial assistance to complete energy upgrades and retrofits; and (3) educational and training materials to improve energy efficiency.

The State Energy Program: Infrastructure Investment and Jobs Act Energy Efficiency Revolving Loan Fund Program (SEP IIJA EE RLF) is funded by the U.S. Department of Energy (DOE). SECO applied for and was awarded a grant for which it may design and implement its own Revolving Loan Fund Program, which shall finance energy efficiency retrofit projects for eligible community centers. SECO will issue a Notice of Loan Fund Availability (NOLFA), accepting applications from eligible community centers during a six-month open enrollment period.

Approximately $750,000.00 is dedicated for Federal Compliance Monitoring award(s). Services will be requested by SECO on an as-needed basis, aligned with the volume of loan applications received during the open enrollment period and subsequent processing.

Revolving Loan Fund Programs must comply with provisions set forth in the Davis-Bacon Act (DBA), Build America, Buy America Act (BABA), National Environmental Policy Act (NEPA), and Section 106 of the National Historic Preservation Act (NHPA). Successful Respondent shall review and monitor borrower’s contractor and subcontractor compliance with DBA, BABA, NEPA, and NHPA through project reviews and site visits.

Davis-Bacon and Related Acts

The Davis-Bacon Act (DBA) applies to contracts in excess of $2,000 for the construction, alteration, and/or repair of public buildings or public works, including painting and decorating, where the United States or the District of Columbia is a direct party to the contract. DBA specifies that each covered contract contain provisions, found at Title 29 CFR 5.5, requiring contractors to pay the laborers and mechanics employed on the project's site of the work, on a weekly basis, no less than the wages and benefits that are prevailing in the area as determined by the United States Secretary of Labor. Construction includes activities performed on the site of the work such as preparation for construction (e.g., demolition of existing structures, equipment and material set-up, etc.), fabrication of materials, installation of materials, and post-construction clean-up. The federal agency awarding the contract must make the determination that DBA applies to the project and must incorporate the applicable DBA clauses and wage determinations (also referred to as "wage decisions") into the requirements of the contract.

Build America, Buy America Act

As required by Section 70914 of the Infrastructure Investment and Jobs Act, P.L. 117-58, on or after May 14, 2022, none of the funds under a federal award that are part of Federal financial assistance program for infrastructure may be obligated for a project unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States, unless subject to an approved waiver.

National Environmental Policy Act

NEPA, signed into law in 1970 [42 U.S. Code § 4321-4347], aims to prevent or eliminate environmental damage from federal actions. NEPA requires that, before funding, authorizing, or implementing an action, federal agencies consider the effects that their proposed action(s) may have on the environment.

National Historic Preservation Act

Section 106 of the NHPA requires that each federal agency identify and assess the effects its actions may have on historic buildings. Under Section 106, each federal agency must consider public views and concerns about historic preservation issues when making final project decisions.

1.3 Proposal Details

· Maximum contract amount: $750,000.00

· Successful Respondent Match: Ten percent (10%) minimum.

· Successful Respondent match must meet the criteria described in 2 CFR § 200.306(e).

· Any portion of Successful Respondent match consisting of volunteer hours must use as a baseline either (a) the firm’s publicly stated rate or (b) a rate at or below the average rate charged for the same professional employee category for the fiscal year.

· Successful Respondent match must be approved by DOE prior to full contract execution. During Contract negotiations, the Successful Respondent will be required to submit a copy of a Match Letter (See Sample Match Letter, Attachment N in Exhibit A, Sample Contract). DOE must review and approve the Successful Respondent’s proposed match prior to commencement of services.

· Successful Respondents and their subcontractors must register and maintain “active registration” status in the System for Award Management (https://sam.gov/content/home) database at all times during which they have active SECO awards. The registration process includes obtaining a Unique Entity Identifier (UEI). While the UEI does not expire, registrations must be updated annually and remain in “active registration” status for the award duration. Respondents must ensure that all potential subcontractors do not enter into a contractual relationship with the respondent unless the subcontractor is in “active registration” status and has an UEI number in the legally prescribed manner.

· Successful Respondents and their subcontractors must complete all sections of Exhibit F: Information Worksheet and Exhibit G: Mandatory Price Sheet to be considered for award.

PART II

SCOPE OF WORK

2.1 Overview

Through the State Energy Program: Infrastructure Investment and Jobs Act Energy Efficiency Revolving Loan Fund Program (SEP IIJA EE RLF), SECO finances energy efficiency retrofit projects for publicly owned community centers providing services and support for people with intellectual and developmental disabilities, serious mental illness, and substance use disorders through low-interest loans. SECO applied for and was awarded a grant for which it may design and implement a Revolving Loan Fund Program, which includes funding allocated to award Federal Compliance Monitoring firms.

Successful Respondents shall operate solely in a monitoring capacity. Services will be requested by SECO on an as-needed basis. Under no circumstances shall Successful Respondents engage in the administration, delivery, or management of the SEP IIJA EE RLF. Successful Respondents are responsible only for monitoring the SECO administered loan programs, assessing loan recipient’s and their contractors’ compliance with the requirements and statutes outlined in Section 2.2: Goals and Scope of Work, and advising SECO of any violations or problems. It is a requirement of any Contract awarded to Successful Respondent that the Primary Contact and Secondary Contact identified in Section 1: General Information of Exhibit F timely respond to all communications from Comptroller and a failure to comply with these communication requirements may result in termination of the Contract

2.2 Goals and Scope of Work

Successful Respondent shall review borrower’s contractor and subcontractor compliance with the Davis-Bacon Act, Build America, Buy America Act, National Environmental Policy Act, and National Historic Preservation Act through project reviews and site visits. Successful Respondent will submit all findings and relevant documentation through the SECO SharePoint site.

Successful Respondent must provide the following Services. All fees charged in the performance of these services must be reflected in Exhibit G Mandatory Price Sheet.

Specific tasks shall include, but are not necessarily limited to, the following:

Federal Compliance Monitoring

· Davis-Bacon Act.

· Review 15% of Certified Payrolls in LCPtracker to ensure, on a weekly basis—

· Presence and timeliness of Certified Payrolls in LCPtracker software;

· Wages are no less than the local prevailing wages, as issued by the US Department of Labor, for a given project location;

· Fringe benefits are recognized by the US Department of Labor, details of fringe benefit payments are provided, and any non-standard deductions are acknowledged and approved by employees;

· Applicable prevailing wage determinations are included in Certified Payroll reports;

· Supplemental documentation—including, but not limited to timecards, tax records, evidence of fringe benefit payments, apprenticeship information and registration—is included in Certified Payroll Reports; and

· “No Work Performed” Certified Payroll Reports are submitted during periods of no-construction.

· Verify Contractor/subcontractor Certifications

· Confirming eligibility of general Contractor and all subcontractors to participate in federally-funded programs by monitoring Unique Entity Identifier (UEI) registrations and expiration dates; and

· Ensure general Contractors and all subcontractors comply with all applicable provisions of State law related to license requirements for skilled tradesmen, contractors, supplies, and all other laborers necessary to accomplish work.

· Provide Davis-Bacon Act/LCPtracker Training

· Develop and share virtual Davis-Bacon Act/LCPtracker training materials with Contractors and subcontractors, which shall be updated, when applicable, every six-months;

· Provide one (1) virtual training open to Contractors and subcontractors across SEP IIJA EE RLF program, the topic of which shall be federal reporting and compliance requirements/processes;

· Develop and share virtual Davis-Bacon Act/LCPtracker training materials with SECO staff, which shall be updated, when applicable, annually; and

· Provide virtual training to SECO staff on an annual basis.

· Conduct Site Visits

· Accompany SECO on site visits for approximately 15% of awarded projects, monitoring SECO’s audit; and

· Create and deliver post-site visit report.

· Build America, Buy America Act.

· Review Build America, Buy America Product Certifications

· Review manufacturer letters or product specification sheets to ensure Build America, Buy America Act (BABA) compliance prior to subcontractor procuring materials.

· Confirm Waiver Eligibility

· Review waiver request forms and supplemental documentation to confirm eligibility of Small Grants Waivers.

· Provide Build America, Buy America Act Training

· Develop and share virtual BABA training materials with Contractors and subcontractors, which shall be updated, when applicable, every six-months;

· Provide one (1) virtual workshop open to Contractors and subcontractors across SEP IIJA EE RLF program, the topic of which shall be BABA reporting and compliance requirements/processes;

· Develop and share virtual BABA training materials with SECO staff, which shall be updated, when applicable, annually; and

· Provide virtual training to SECO staff on an annual basis.

· National Environmental Policy Act.

· Verify Bounded Category Classifications for 15% of awarded projects based on Programmatic Agreement guidelines between DOE and SECO.

· National Historic Preservation Act.

· Verify Texas Historical Commission Section 106 Reviews for 15% of awarded projects.

· Meetings

· Successful Respondent will meet virtually with SECO, for approximately one hour, monthly. SECO reserves the right to request additional meetings and may waive meetings at any point throughout the contract term.

2.3 Compliance Monitoring Plan

If selected for negotiation, Successful Respondent will provide a preliminary Compliance Monitoring strategy to SECO. The preliminary strategy shall outline approaches and strategies, descriptions of processes, and plans for providing the services as outlined in Section 2.2.

If awarded, Successful Respondent will have 45 days from contract execution to provide a completed, comprehensive Compliance Monitoring Plan to SECO. Successful Respondent must provide written acknowledgement that it will not provide administrative functions within the Compliance Monitoring Plan. All fees charged in providing this Compliance Monitoring Plan must be reflected in Exhibit G Mandatory Price Sheet.

The Compliance Monitoring Plan must include, at minimum, the following:

· Thorough description of approach and strategies for completing the proposed tasks as described in Section 2.2: Scope of Work;

· Description of process used to accomplish each task, including associated methodologies, timelines, quality control strategies, and outcomes; and

· Plan for working collaboratively with SECO and SECO’s subrecipients.

2.4 Reporting

Successful Respondent’s monthly, quarterly, annual, and final reports must be submitted through the SECO contract portal located on the SECO home page.

Successful Respondent’s monthly, quarterly, annual, and final reports shall each be comprised of two components:

1.) a Microsoft Word document (based on SECO-provided templates) detailing the progress of each deliverable; and 2.) a supplemental electronic form completed directly in the SECO contract portal.

All fees charged to complete required Reporting must be reflected in Exhibit G Mandatory Price Sheet.

Successful Respondents must comply with the following Reporting requirements and guidelines:

· Monthly Reports. Successful Respondent will complete and submit a Monthly Status Report through the SECO contract portal no later than the 10th day of the following month. The monthly report will include the following information:

· Narrative Descriptions of monthly activities;

· Contract Summary Spreadsheet:

· Within the monthly report template, Successful Respondent shall maintain and submit to SECO a Summary Spreadsheet of all compliance monitoring activities completed within the reporting period.

· Discrepancy Spreadsheet:

· Successful Respondent shall submit to SECO a Spreadsheet detailing any inconsistencies or discrepancies found within NEPA, THC, DBA, and BABA compliance documentation.

· Quarterly Reports. Successful Respondent shall complete and submit a Quarterly Status Report through the SECO contract portal no later than the 10th day of the following month and shall include the following information:

· Roll up of monthly reports and data by Federal Fiscal Year Quarters

· Reports are due according to Federal Fiscal Quarter timeline:

· Q1: 10/1 – 12/31 (Due 1/10);

· Q2: 1/1 – 3/31 (Due 4/10);

· Q3: 4/1 – 6/30 (Due 7/10);

· Q4: 7/1 – 9/30 (Due 10/10).

· Annual Reports. Successful Respondents shall complete and submit an Annual Report through the SECO contract portal no later than 10/10 during each year of an active contract and shall include the following information:

· Roll up of previous Q1 – Q4 Quarterly Reports; and

· Performance measures detailing any trainings offered within the Federal Fiscal Year.

· Final Report. Successful Respondents shall complete and submit a Final Report at the project completion through the SECO contract portal. This report will include a summary of monitoring activities due at the contract completion and shall contain the following:

· Roll up of Quarterly report spreadsheet; and

· Metric completion data as defined in SECO-approved Compliance Monitoring Plan.

2.5 Term of Contract; Sample Contract

If a Contract is awarded, the initial term of the Contract shall begin April 29, 2026, or as soon thereafter as practical, and terminate April 29, 2028. Comptroller shall have the right, in its sole discretion, to renew any Contract for one (1) additional period through June 30, 2029.

A Contract awarded under this RFP, if any, shall be based on the Sample Contract included as Exhibit A of this RFP and shall incorporate this entire RFP. The Sample Contract includes boilerplate provisions, and Comptroller reserves the right, in its sole discretion, to make a contract award without negotiation of these provisions. In the event Comptroller requires negotiations with Respondents, any modifications or clarifications agreed to with Successful Respondent during contract negotiations shall also be incorporated into the final executed Contract. Each Respondent must review these terms and conditions in Exhibit A and otherwise in this RFP and address any concerns or issues in its transmittal letter. Terms and conditions not specifically objected to in the transmittal letter will be deemed to be accepted by Respondent. Comptroller has final approval of any contract awarded as a result of this RFP. Comptroller reserves the right, in its sole discretion, to modify the terms and conditions of the Sample Contract in the best interests of the State prior to signature by the parties. Notwithstanding any exceptions or any other provision of Respondent’s proposal to the contrary, Successful Respondent shall indemnify Comptroller and the State of Texas, as specified in the Sample Contract. The State of Texas, Comptroller, and their respective employees, officers, agents, and representatives will not indemnify Successful Respondent for any amount for any purpose, and any provisions to the contrary are void.

PART III

GENERAL INFORMATION

3.1 Comptroller Rights

In the best interest of Comptroller and the State, Comptroller, in its sole discretion, may amend or modify any provisions of this RFP or withdraw this RFP at any time prior to award of a Contract. Comptroller reserves the right, in its sole discretion, to reject any or all submitted proposals or to select one or more qualified Respondents to this RFP without discussion of proposals with the respective Respondents.

The decision of Comptroller, or its designee regarding the above, shall be administratively final. Comptroller, in its sole discretion, may waive administrative deficiencies and/or minor technicalities in proposals received. All proposals shall become a part of Comptroller’s official procurement files and may be available for public inspection upon execution of a Contract, if any.

3.2 Respondent Obligations

Respondents to this RFP are responsible for any expense related to the preparation and submission of a proposal. Comptroller shall not pay for any cost that is incurred by Successful Respondent prior to the effective date of the Contract. Qualified firms with the requisite experience are invited to submit proposals in accordance with this RFP. Proposals must address all specifications.

3.3 Successful Respondent Obligations

Comptroller shall look solely to Successful Respondent for performance of the Contract. Successful Respondent shall provide the requested Services under the direction of Comptroller. Successful Respondent shall be the sole point of Contract responsibility. Successful Respondent shall be liable, both individually and severally, for the performance of all obligations under the awarded Contract and shall not be relieved of the non-performance of any subcontractor.

Successful Respondent must maintain a consistent line of communication with Comptroller throughout the process and timely respond to all communications and requests from Comptroller.

It is a requirement of any Contract awarded to Successful Respondent that the Primary Contact and Secondary Contact identified in Section 1: General Information of Exhibit F timely respond to all communications from Comptroller and a failure to comply with these communication requirements may result in termination of the Contract.

3.4 Successful Respondents Obligations - Limitations for Indirect Costs

The Department of Energy (DOE) has established a maximum dollar amount that it will reimburse for indirect costs and fringe benefits costs, including indirect and direct fringe costs, under its financial assistance awards. The maximum amount of funds to be paid or reimbursed under an award for indirect costs and fringe benefits costs, including indirect and direct fringe costs, will be calculated as a percentage of the contract award and the maximum dollar amount will be included in the award terms and conditions.

For this RFP, this maximum dollar amount is calculated as ten percent (10%) of the contract award.

The total contract award is the sum of total direct costs and indirect cost amounts and comprised of the Federal and, as applicable, the required non-Federal cost share. The maximum indirect and fringe benefits costs, including indirect and direct fringe costs, reimbursement amount (limitation) applies to all budget periods negotiated at the time of the award and will be adjusted should a modification change the Total Award Amount. The limitation applies to the total award across all budget periods. For multi-year awards, Successful Respondents must ensure the indirect costs for each year collectively do not exceed the limitation of the contract award.

Successful Respondents must ensure that the sum of indirect costs and fringe benefits costs, including indirect and direct fringe costs, in the proposed budget do not exceed the maximum percentage allowed against the total award. For example, a 10% reimbursement limit against a Total Award Amount of $100,000 means the total indirect costs and fringe benefits costs, including indirect and direct fringe costs, may not exceed $10,000, leaving $90,000 for direct costs. This limit applies regardless of an applicant’s previously negotiated indirect cost rate agreement (NICRA), rate proposal, or the election of the de minimis rate (15% of modified total direct costs per 2 CFR 200.414(f)). If an applicant’s NICRA or de minimis rate yields higher indirect cost amounts than the 10% limitation allows, the limited amount must be used.

Successful Respondents should apply a consistent accounting methodology when allocating their indirect rates (e.g., NICRA, Rate Proposal, or de minimis rate per 2 CFR 200.414(f)), that the organization utilizes to develop the indirect rates, to the maximum extent possible without exceeding the reimbursement limit. (FAL 2025-05 June 30, 2025)

3.5 Schedule of Events

The times stated in this document refer to Central Time (“CT”), Austin, Texas, where appropriate. Comptroller’s regular office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday, except national and official State of Texas holidays. All deadlines are subject to change at Comptroller’s sole discretion.

Comptroller anticipates that the selection of Successful Respondent and execution of the Contract, if any, will proceed according to the following approximate schedule:

November 25, 2025 — Issuance of RFP (after 10:00 a.m. CT)

December 10, 2025 — Deadline for Submission of Questions (2:00 p.m. CT)

April 29, 2026 — Contract Execution (or as soon thereafter as practical)

April 29, 2026 — Commencement of Services (or as soon thereafter as practical)

Notices of changes to items directly impacting the original RFP or proposal process will be posted on the Electronic State Business Daily (“ESBD”). Any amendment to this solicitation will be posted as an addendum on the ESBD. It is the responsibility of interested parties to periodically check the ESBD for updates to the procurement prior to submitting a proposal. Respondent’s failure to periodically check the ESBD for updates will in no way release Successful Respondent from compliance with any requirements in the “addenda or additional information,” even if such compliance results in additional costs to meet the requirements.

3.6 Issuing Office

Comptroller, through its Contracts Section, is the Issuing Office and the sole point of contact for this RFP. The Contracts Section is the only office authorized to clarify, modify, amend, alter, or withdraw the specifications, terms, and conditions of this RFP and any contract awarded as a result of this RFP. Upon issuance of this RFP, other employees of Comptroller shall not answer questions or otherwise discuss the contents of this RFP with any Respondents or their representatives. Failure to observe this restriction may result in disqualification of any pending or subsequent proposal. This restriction does not preclude discussions unrelated to this RFP.

Except as otherwise indicated, all communications concerning this procurement must be in writing and addressed to the Issuing Office as follows:

Joseph Madden Assistant General Counsel, Contracts Texas Comptroller of Public Accounts LBJ State Office Building 111 East 17th Street, Room 910E Austin, Texas 78701 Fax: 512-463-3669 E-mail: contracts@cpa.texas.gov

Proposals shall be submitted through the SECO’s proposal portal.

3.7 Submission of Questions

Respondents may submit questions to the Issuing Office through the SECO question portal no later than 2:00 p.m. by the deadline set forth in the Schedule of Events. On or about the date set forth in the Schedule of Events, Comptroller expects to electronically post answers to the written questions on the ESBD.

3.8 Deadline for Submission of Proposals; Delivery Instructions; Number of Copies Required

One electronic copy of each proposal must be submitted through the proposal portal and received in the Issuing Office no later than 2:00 p.m. by the deadline set forth in the Schedule of Events. Late proposals will not be considered under any circumstances. The electronic files must be labeled with “RFP No. 240g Federal Compliance Monitoring Services – Respondent name”.

Respondents are solely responsible for verifying Comptroller’s receipt of all proposals by the deadline specified above. Faxed and hard-copy proposals are not acceptable and will not be considered.

Under Section 322.020 of the Texas Government Code, the Legislative Budget Board (“LBB”) has implemented a database of state agency contracts. See the LBB website. Comptroller shall upload to the LBB’s contract database the text of the complete Contract, including Successful Respondent’s proposal (with limited redaction and appendix) no later than ten (10) days after date of Contract award. In submitting a proposal in response to this RFP, Respondent acknowledges that it understands and accepts this requirement.

3.9 Confidential Information; Nondisclosure; Open Records

All information gathered, produced, derived, obtained, analyzed, controlled or accessed by Respondent in connection with a contract resulting from this RFP (“Confidential Information”), shall be and remain Confidential Information and shall not be released or disclosed by Respondent without the prior written consent of Comptroller, which consent must specifically identify the Confidential Information to be disclosed by Respondent and the nature of the disclosure for which consent is sought. Respondent must execute and return with its proposal a Nondisclosure Agreement with Comptroller in the form of Exhibit D attached hereto.

Following the award of a Contract, responses to this RFP are subject to release as public information unless the response or specific parts of the response can be shown to be exempt from the Texas Public Information Act. All Respondents are advised to consult with their legal counsel regarding disclosure issues and take the appropriate precautions to safeguard trade secrets or any other proprietary information. Comptroller assumes no obligation or responsibility relating to the disclosure or nondisclosure of information submitted by Respondents.

If a Respondent believes that any portion of a proposal is confidential, then Respondent must so specify. Respondent must stamp in bold red letters the term “CONFIDENTIAL” on that specific part or page of the proposal which Respondent believes to be confidential. Respondent must submit in writing specific detailed reasons, including any relevant legal authority, stating why Respondent believes the material to be confidential. Vague and general claims as to confidentiality will not be accepted. Comptroller will be the sole judge as to whether a claim is general and/or vague in nature. All proposals and parts of proposals which are not marked as confidential will be automatically considered public information after the contract is awarded. A response resulting in an award may be considered public information even though parts are marked confidential.

In the event Comptroller receives a request for portions of a proposal marked as “CONFIDENTIAL” as specified above, Comptroller shall forward such request to the office of the Texas Attorney General for an opinion on whether such information may be withheld from disclosure under the Texas Public Information Act. Comptroller will notify Respondent whose proposal is the subject of the request when the information is forwarded to the office of the Attorney General. Comptroller assumes no obligation for asserting legal arguments on behalf of Respondent. Respondents are advised that Comptroller is obligated to comply with the decision of the Attorney General, including any such decision calling for the release of information marked “CONFIDENTIAL” by a Respondent.

Copyrighted proposals are unacceptable and are subject to disqualification as non-responsive.

3.10 Media Releases

Comptroller does not endorse any vendor, commodity, or service. Media releases pertaining to this RFP, the Contract, if any, or the Services to which they relate shall not be made without the prior written consent of Comptroller and then only in accordance with explicit written instructions from Comptroller. The disclosure of the contents of proposals prior to the award of the Contract, if any, or any other violation of this section, may result in disqualification.

3.11 Respondent’s Understanding of the RFP

By submitting a signed proposal, a Respondent represents that it fully understands this RFP and shall abide by its terms and conditions. No exceptions, amendments, or deviations from this RFP shall be allowed in any proposals unless an addendum to the RFP is posted to the ESBD prior to the date that responses are due. Unauthorized exceptions, amendments, or deviations in the response may result in disqualification of the proposal.

3.12 Non-exclusivity

This RFP is not exclusive, and Comptroller reserves the right to issue additional solicitations regarding the Services described in this RFP or similar services at any time.

3.13 Incorporation of Exhibits

Exhibits A, B, C, D, E, F, and G are attached hereto and incorporated as part of this RFP for all purposes.

PART IV

PROPOSAL FORMAT

4.1 Introduction

Each proposal shall contain a cover sheet with the following: “RFP No. 240g Federal Compliance Monitoring Services for the State Energy Program: Infrastructure Investment and Jobs Act Energy Efficiency Revolving Loan Fund Program” and the name and address of Respondent. Proposal pages must be numbered. Each document included in the proposal shall be separated from the other documents by a tab sheet.

Proposals must be organized as described in Section 4.2. Proposals not organized in this manner may be subject to disqualification. Conciseness and clarity of content are required; vague and general proposals may be considered non-responsive and may result in disqualification. Proposals must be complete; failure to provide all required information may result in the disqualification of the proposal.

ALL EXHIBITS TO THIS RFP ARE PREPARED EXCLUSIVELY FOR THIS RFP. RESPONDENT’S SUBMISSION OF OTHER EXHIBITS OR DOCUMENTS, INCLUDING PRIOR RFP EXHIBITS, MAY RESULT IN DISQUALIFICATION OF THE PROPOSAL.

4.2 General Organization of Proposal Contents

Respondents must organize their proposal in the format prescribed below:

a. Transmittal Letter;

b. Table of Contents;

c. Exhibit F: Federal Compliance Monitoring Services Information Worksheet;

d. Exhibit G: Mandatory Price Sheet;

e. Insurance;

f. Financial Statements;

g. Execution of Proposal;

h. Historically Underutilized Businesses Subcontracting Plan;

i. Criminal Conviction Certification;

j. Nondisclosure Agreement; and

k. Conflict of Interest Statement.

A description of the information required for each of the items listed above is set forth below.

4.2.a Transmittal Letter

Respondent must submit a transmittal letter that identifies the entity submitting the proposal and includes a commitment by that entity to provide the Services required by Comptroller. The transmittal letter must state that the proposal is valid for one hundred twenty (120) days from the deadline for delivery of proposals to Comptroller. Any proposal containing a term of less than one hundred twenty (120) days for acceptance from this deadline will be rejected as non-responsive.

The transmittal letter must be signed by a person legally authorized to bind Respondent. Respondent also must indicate in its transmittal letter why it believes it is the most qualified to provide the requisite Services and why it believes its proposed services best meet Comptroller’s objectives and RFP requirements.

The transmittal letter must include a statement of acceptance of the terms and conditions of the contract as set forth in the Sample Contract located in Exhibit A to the RFP. If a Respondent takes exception to any of the proposed terms and conditions stated in the Sample Contract or this RFP, then the exception(s) must be specifically and clearly identified in the transmittal letter and an explanation of the requested change along with the proposed alternative language must also be included in the transmittal letter. However, failure to accept those terms and conditions may result in disqualification of the proposal.

4.2.b Table of Contents

Each proposal must be submitted with a table of contents that clearly identifies and denotes by page number each section of the proposal and the location of all enclosures of the proposal. The table of contents must follow the RFP’s structure as much as possible.

4.2.c Federal Compliance Monitoring Services Information Worksheet (Exhibit F)

In its proposal, Respondent must submit a completed Federal Compliance Monitoring Services Information Worksheet located in Exhibit F of this RFP.

4.2.d Mandatory Price Sheet (Exhibit G)

Respondents shall complete and submit all sections of the Mandatory Price Sheet, located in Exhibit G of this RFP.

a. All costs associated with the offered services must be entered on the Mandatory Price Sheet and described in the proposal.

b. If Respondent believes there are additional features, products or services that would benefit CPA under this RFP, Respondent may describe such features, products or services and include pricing for such features, products or services in Exhibit G. Optional features, products or services are not scored as part of the evaluation process.

4.2.e Insurance

In its proposal, Respondent must provide a statement of its intent to obtain and maintain for the term of the Contract the minimum insurance and bond coverage specified in the Sample Contract. Respondent should also describe other insurance coverage maintained by Respondent in the ordinary course of business and provide proof of same in its proposal. Proof of insurance and bond coverage may be provided in the form of current certificates of insurance.

4.2.f Financial Statements

In its proposal, Respondent and its parent company, if applicable, must provide evidence of financial stability by providing audited financial statements for each of the last two (2) years of Respondent’s operations or, in the alternative, financial statements compiled, reviewed and attested by an independent certified public accountant or certified public accounting firm.

In lieu of providing audited financial statements in its Proposal, a Respondent may provide a statement regarding the Respondent’s financial stability and viability to perform under any resulting contract. If Respondent elects this approach rather than audited financial statements, the Respondent must submit a statement, with appropriate supporting documentation sufficiently detailed to demonstrate financial solvency and to verify the capacity to fulfill the requirements of this RFP.

4.2.g Execution of Proposal

Exhibit B must be completed and signed by Respondent.

4.2.h Historically Underutilized Businesses Subcontracting Plan

The State of Texas and Comptroller are committed to assisting Historically Underutilized Businesses (“HUBs”) through the procurement process. In accordance with Sections 2161.181 and 2161.182 of the Texas Government Code, each state agency shall make a good faith effort to increase the contract awards for the purchase of goods or services to HUBs based on rules adopted to implement the disparity study described by Section 2161.002(c) of the Texas Government Code. In accordance with Section 2161.252 of the Texas Government Code and 34 Texas Administrative Code §20.285, each state agency (including institutions of higher education) as defined by Section 2151.002 of the Texas Government Code that considers entering into a contract with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine whether subcontracting opportunities are probable under the contract. If subcontracting opportunities are probable, each state agency’s invitation for bids or other purchase solicitation documents for construction, professional services, other services, and commodities with an expected value of $100,000 or more shall state that probability and require a HUB Subcontracting Plan (“HSP”) and supporting documentation.

The HUB goals per 34 Texas Administrative Code §20.284 are: 11.2% for heavy construction other than building contracts; 21.1% for all building construction, including general contractors and operative builders’ contracts; 32.9% for all special trade construction contracts; 23.7% for professional services contracts; 26.0% for all other services contracts; and 21.1% for commodities contracts.

Comptroller has determined that this procurement falls under the following category:

Special Trade Construction ___ Professional Services Other Services X Commodities ___

Comptroller has determined that HUB subcontracting opportunities are probable and requires that Respondents complete the State of Texas HUB Subcontracting Plan (“HSP”) form located at: https://comptroller.texas.gov/purchasing/vendor/hub/forms.php. The HSP form is also posted to the ESBD as a separate package under this RFP. The class and item codes for this RFP are as follows: Class 925, Items 31, 34, 36 and 67.

- - Agency Special Instructions/Additional Requirements - -

The Texas Comptroller of Public Accounts is committed to increasing contracting opportunities with HUBs by contracting directly with HUBs or indirectly through subcontracting opportunities in compliance with Chapter 2161 of the Texas Government Code, and by requesting a HSP for contracts with an expected value of $25,000 to $99,999.

If a bid/proposal/offer to a solicitation with an expected value of $100,000 or more does not contain a completed HSP and supporting documentation, the bid/proposal/offer will be considered non-responsive and will be disqualified. After contract award, Successful Respondent may be subject to debarment pursuant to Section 2161.253(d) of the Texas Government Code if any modifications are made to the HSP without PRIOR approval from CPA.

For assistance in completing the HSP, Respondent may visit the following website: https://comptroller.texas.gov/purchasing/vendor/hub/.

If Respondent is not subcontracting any portion of the contract, Sections 1, 2(a), 3 and 4 must be completed. If Respondent is subcontracting some portion of the contract, the supporting documentation of “Good Faith Effort” must be demonstrated in either Method A (Attachment A) or Method B (Attachment B).

The Texas Comptroller of Public Accounts requests all Respondents to consider utilizing HUBs in subcontracting areas that are listed below; however, this list should not be considered exhaustive.

Respondent must carefully review, complete, and return all HUB forms as required by this Section.

4.2.i Criminal Conviction Certification

Exhibit C must be completed and signed by Respondent.

4.2.j Nondisclosure Agreement

Exhibit D must be completed and signed by Respondent.

4.2.k Conflict of Interest Statement

The Conflict-of-Interest Statement must be prepared, signed by Respondent, and returned with the proposal as Exhibit E.

In its proposal, a Respondent must represent and warrant to Comptroller that it and each of its subcontractors have the requisite resources, qualifications, and independence to conduct the Services free from outside direction, control, or influence, and subject only to the accomplishment of Comptroller’s objectives. Respondents that cannot make this representation and warranty should not respond to this RFP.

Respondent must disclose any existing or potential conflicts of interest or possible issues that might create appearances of impropriety relative to the submission of a proposal from Respondent and its possible selection as Successful Respondent, or its performance or the performance of its proposed subcontractor(s) of the Contract.

As part of this disclosure requirement, each Respondent must include in its proposal all past and present contractual, business, financial or personal relationships between Respondent and Comptroller and between Respondent’s proposed subcontractors, if any, and Comptroller. For purposes of this disclosure requirement, (i) “past” is defined as within the two (2) calendar years prior to the deadline for submission of proposals in response to this RFP; (ii) “Comptroller” is defined as the statewide elected official who heads the agency as well as the agency’s employees or recent former employees; and (iii) “recent former employees” are defined as those Comptroller employees who have terminated agency employment within the two (2) calendar years prior to the deadline for submission of proposals in response to this RFP. For each item, Respondent must provide a detailed explanation of why Respondent does or does not believe such item poses a conflict of interest, potential conflict of interest, or appearance of impropriety issue relative to Respondent’s submission of a proposal, possible selection as Successful Respondent or its performance of the Contract.

For purposes of this RFP, “personal relationship” is defined as a current or past connection other than a clearly contractual, business, financial, or similar relationship and includes family relationships or other connections outside simply providing a response to this RFP. For this purpose, “family relationship” means a relationship within the third degree of consanguinity or second degree of affinity (see Chapter 573 of the Texas Government Code) which defines these degrees of consanguinity and affinity. Connections other than such family relationships fall within this definition and must be disclosed if a reasonable person could expect the connection to diminish Respondent’s independence of judgment or effectiveness in the performance of Respondent’s responsibilities to Comptroller or the State under the Contract. Connections also fall within this definition if a reasonable person could expect the connection, within the overall context of Respondent’s submission of a proposal, possible selection as Successful Respondent, or its performance of the Contract, to create an issue for the agency’s consideration relative to a potential appearance of impropriety or conflict of interest. Connections also fall within this definition if the relationship is with Comptroller or other State of Texas employee with authority to make decisions or recommendations on state contracting or procurement or this RFP. For purposes of this provision, those persons with authority to make decisions or recommendations are those persons who fall within the definition of “purchasing personnel” in Section 2262.004(a)(2) of the Texas Government Code.

In submitting a proposal in response to this RFP, a Respondent affirms that it has not given, nor intends to give, at any time hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor, or service to a public servant or any employee or representative of same, in connection with this procurement.

Respondents must disclose any proposed personnel under the contract who are current or recent former employees of Comptroller or the State. Recent former employees are defined above.

Disclosures under these provisions are information that will be evaluated by Comptroller. However, all information provided will not necessarily lead to a restriction or disqualification. Issues will be considered on a case-by-case basis in the best interests of the State of Texas. If a Respondent is in doubt about whether information should be disclosed, Respondent should consult its legal counsel. Failure to disclose any required information under these provisions may be cause for proposal disqualification or termination of the contract under this RFP. Comptroller reserves the right, in its sole discretion, to determine if an issue should result in proposal disqualification or termination of the Contract. If circumstances change or additional information is obtained subsequent to submission of proposals, Respondent’s duty to disclose under these provisions continues under the term of the Contract and does not end with submission of a proposal or receipt of Contract award.

PART V

PROPOSAL EVALUATION AND SELECTION

5.1 Evaluation Process

Comptroller shall establish an Evaluation Committee. Copies of those proposals found to be responsive and in compliance with this RFP will be distributed to the members of the Evaluation Committee for their review and evaluation.