PART C: PROVISIONS GOVERNING THE SOLICITATION PROCESS

Solicitation No. 301-26-03277 - Part C

1. GENERAL RESPONSE PROCESS INFORMATION

Respondent Responsibility to Understand the Solicitation

The Respondent is solely responsible for thoroughly understanding the Solicitation and its attachments, exhibits, and forms. By submitting a Response to this Solicitation, the OOG has a right to assume that the Respondent fully understands the Solicitation specifications and will abide by all terms and conditions of the Solicitation. Respondents shall have no right to cancellation or relief without penalty from the Contract awarded as the result of this Solicitation, if any, based on any purported misunderstanding or lack of information.

Solicitation Addenda

Any revisions or additions to the information in the Solicitation will be made in the form of, an

Addendum and will be posted on the ESBD. Any Addenda so-issued are part of the specifications of the Solicitation. If a Respondent fails to monitor the ESBD for any revisions or additions to the

Solicitation, such failure will not relieve the Respondent of its obligation to fulfill the requirements as posted.

Prohibition Against Unauthorized Contact

The OOG is committed to a procurement process that maintains the highest level of integrity.

Accordingly, Respondents, as well as their agents, liaisons, advocates, lobbyists, governmental affairs representatives, representatives, or others promoting their position, are limited to those communications authorized by and described in this Solicitation.

The only exceptions to the Point of Contact identified in this Solicitation are the HUB Coordinator

(Warren Collier), or, if expressly directed by the Point of Contact, another designated OOG representative, e.g., during contract negotiations, if any. Should Respondents have questions regarding proper completion of the HUB Subcontracting Plan, the HUB Coordinator may be contacted at Warren.Collier@gov.texas.gov with a copy to the Point of Contact listed in Part A of the Solicitation.

Any attempt to influence any of the participants, whether that attempt is oral or written, formal or informal, direct or indirect, outside of this Solicitation process is strictly prohibited and may result in disqualification of the Respondent.

Should allegations of improper contact be made prior to Contract award, the OOG may investigate those allegations and, in its sole discretion, disqualify a Respondent.

Respondents Questions

1.4.1. The OOG will accept written questions from Respondents concerning this

Solicitation, and will post responses to the ESBD in accordance with the deadlines established in the Calendar of Events in Part A of this Solicitation (“Calendar of

Events”).

1.4.2. The Respondent must direct any questions concerning this Solicitation to the Point of Contact identified in Part A of this Solicitation. The OOG can, but is not required to, respond to Respondent inquiries that are received after the Deadline for Respondent Submission of Solicitation Questions.

1.4.3. Prior to submitting a Response, a Respondent shall identify in writing and seek clarification of any ambiguity, conflict, discrepancy, exclusionary specification, omission or error in this Solicitation (collectively, “errors”). In no event shall a

Respondent be entitled to additional compensation, relief, or additional time for preparing its Response by reason of any alleged errors, Addenda, or corrections to the Solicitation. A Respondent submits a Response at its own risk; a Respondent’s failure to identify and seek written clarification of an error or possible error waives any claim the Respondent may have to contest the OOG’s interpretation thereof.

Obligation to Update Information Supporting Response

Following the submission of a Response and prior to signing the Contract, a Respondent is under a continuing obligation to notify the OOG in writing of any updates or changes to information offered in support of its Response that might reasonably be expected to affect the OOG’s consideration of the Response. Nothing in this Section shall be interpreted to permit the unilateral modification by a Respondent of its commitment to provide any Deliverables described in its

Response as submitted for the cost stated therein.

Multiple Responses Prohibited

Each Respondent may submit only one Response. If a Respondent submits more than one

Response, the OOG may reject all Responses from that Respondent.

Ownership of Responses

All Responses and accompanying documentation shall become property of the OOG and will not be returned. The OOG reserves the right to use any and all ideas presented in a Response unless the Respondent presents a valid legal claim that such ideas are trade secret or confidential information, and identifies the information as such in its Response. A Respondent may not object to the use of ideas that are not the Respondent’s Intellectual Property Rights and so designated in the Response that: (i) were known to the OOG before the submission of the Response; (ii) were in the public domain through no fault of the OOG; or (iii) became properly known to the OOG after

Response submission through other sources or through acceptance of the Response. Responses that have been copyrighted, in whole or in part, by any Respondent may be rejected as non-responsive.

Responses Subject to Disclosure under the Public Information Act

The OOG is subject to the Texas Public Information Act (the “Act”), Chapter 552, Texas

Government Code. Accordingly, all Responses, offers and other information submitted by a

Respondent to the OOG are subject to disclosure under the Act. However, before release, a

Respondent may have an opportunity to demonstrate that portions of its information are excepted from disclosure. Respondents may consult with their legal counsel concerning disclosure issues resulting from this procurement process in order to take precautions to safeguard trade secrets and other proprietary information. If it is necessary for a Respondent to include proprietary or otherwise confidential information in its Response, that particular information should be clearly identified. The Respondent should specify the confidential information by marking “Confidential” on each page or by each paragraph containing such information prior to submitting the Response to the OOG. Respondents are further encouraged to identify the specific legal exception that applies to each item marked “Confidential.” Vague and general claims of confidentiality, such as marking an entire Response as “Confidential” or “Copyrighted,” are generally ineffective methods to demonstrate information is excepted from disclosure.

If a Respondent indicates all or some of its Response is not subject to disclosure, the OOG will notify the Respondent its information is requested under the Act. Failure of a Respondent to timely respond to such notification may result in the release of all or part of the Response. It is the

Respondent’s obligation to timely submit briefing to the Office of the Attorney General of Texas in accordance with the Act, setting forth the legal basis upon which the requested information should remain confidential. The OOG assumes no responsibility for asserting any legal arguments on behalf of Respondents.

Rejection of Responses and Cancellation of Solicitation

Issuance of this Solicitation or receipt of Responses does not constitute a commitment on the part of the OOG to award a Contract. The OOG may accept or reject any or all Responses or cancel this Solicitation, re-issue a subsequent solicitation, or remedy technical errors in the Solicitation if the OOG, in its sole discretion, considers it to be in the best interests of the State of Texas to do

so. The decision of the OOG in this regard is final.

Responses Not Binding on OOG

No terms or conditions attached to the Response by Respondent that are purported to be binding on the OOG are binding on the OOG in any manner. Inclusion of purportedly-binding terms and conditions may result in the Respondent’s disqualification.

Costs Incurred

The Respondent is wholly and singly responsible for any expense related to the preparation and submission of its Response, which may include travel costs associated with an in-person presentation to the OOG in Austin, Texas. Costs of developing Responses, negotiations, or any other similar expenses incurred by a Respondent are entirely the responsibility of the Respondent, and will not be reimbursed in any manner by the OOG. If applicable, costs incurred by a

Respondent in preparation for, or participation in, an oral presentation or site visit to the

Respondent’s place of business are also entirely the responsibility of the Respondent, and will not be reimbursed in any manner by the OOG.

Response Tenure

A Respondent may, in a signed writing, withdraw its Response at any time prior to the date and time set for receipt of Responses. The OOG considers any Response submitted and not withdrawn prior to the date and time set for receipt of Responses to be a valid offer. All Responses shall be valid for a period of at least one hundred and eighty calendar days after the deadline for submitting

Responses.

No Obligation of the OOG for Discussion of Responses with Respondents

The OOG reserves the right to select one or more qualified Respondents without providing any

Respondent with an opportunity to present or discuss its Response.

The OOG’s Right to Obtain Additional Information

By submitting a Response, Respondents grant the OOG the right to obtain any information from any lawful source regarding the past history, practices, conduct, ability and eligibility of

Respondents to supply Deliverables, and to fulfill requirements under this Solicitation, and the past history, practices, conduct, ability and eligibility of any director, officer or key employee of

Respondents. By submitting a Response, Respondents generally release from liability and waive all claims against any party providing information about Respondents at the request of the OOG.

Such information may be taken into consideration by the OOG in evaluating Responses.

Changes, Modifications and Cancellation

The OOG reserves the right to make changes to or cancel this Solicitation and will post all changes and modifications, whether made as a result of a potential Respondent’s written inquiries or otherwise, and cancellation notices on the ESBD.

It is the responsibility of the Respondent to check the ESBD for any additional information regarding this Solicitation. If a Respondent fails to monitor the ESBD for any changes or modifications to the Solicitation, such failure will not relieve the Respondent of its obligation to fulfill the requirements as posted.

2. RESPONSE EVALUATION PROCESS

Initial Screening of Responses

The OOG’s Financial Services Division will conduct an initial screening of all Responses received to determine timeliness, responsiveness, and completeness of the Responses. Non-responsive, late, or incomplete Responses will not be further evaluated.

Evaluation Committee

The OOG will conduct a fair, comprehensive, and impartial evaluation of all Responses received in response to this Solicitation using an evaluation committee selected by the OOG’s Financial

Services Division. The evaluation committee may consist of employees of the OOG or outside individuals with relevant expertise. In addition, the OOG’s General Counsel Division and outside legal counsel may assist by advising the evaluation committee. The OOG’s employees and executive administration may also assist in the process as advisory, non-voting members of the evaluation committee.

Each member of the evaluation committee will independently score each properly-submitted

Response. Evaluation committee members may obtain and consider the opinions of other committee members or subject matter experts, including OOG staff, staff from other Texas agencies, and consultants retained by the OOG when evaluating and independently scoring particular portions of the Responses.

The evaluation committee may request clarification of information or representations in a

Response before completing its initial evaluation. Requests for clarification and responses to requests for clarification will be in writing and will become part of the evaluation record. All such responses to requests for clarification must be directed to the Point of Contact established in Part

A of this Solicitation.

The evaluation committee may also consider any references provided, as well as vendor performance reviews maintained by the CPA under Section 2262.055, Texas Government Code.

Evaluation Phases

2.3.1. Phase I: All Respondents

The OOG will evaluate all Responses based upon the Phase I Evaluation

Criteria detailed in Part A of this Solicitation.

If the OOG determines, in its sole discretion, that no further evaluation of the submitted Responses is required, the OOG will choose one or more Respondents with which the OOG will commence Contract negotiations. But, if the OOG determines that further evaluation of the Responses is required, then the OOG may invite certain

Respondents to participate in Phase II or, as specified in Part C of this Solicitation, Phase III evaluations.

2.3.2. Phase II: Top-scoring Respondents from Phase I

If the OOG determines Phase II evaluations are necessary, then the OOG will review invited Respondents’ proposed solutions, plans, or qualifications during a required oral presentation and score the presentations in accordance with the Phase II

Evaluation Criteria detailed in Part A of this Solicitation.

Except as otherwise provided by this Section, only Respondents with up to the three highest total scores from the Phase I evaluation may be invited to participate in the Phase II evaluation. If two or more Respondents are tied for any of the top three highest-ranking positions, then all tied Respondents in that rank may be invited to proceed to Phase II in addition to the Respondents in the remaining top-ranked positions. If any of the Respondents in the top-ranking positions is not tied with any other Respondent and is disqualified or withdrawn from the evaluation process, then the next-highest scoring Respondent may be eligible for the Phase II evaluation. Any

Respondent invited to participate in Phase II of the evaluation, must have received a minimum combined percentage score of 60% in the OOG’s Phase I evaluation.

Respondents invited to make Phase II presentations shall present their strategy to meet the Service Requirements of Part A of this Solicitation to the evaluation team in-person at the OOG’s offices or other suitable location in Austin, Texas, or via videoconference.

Each Respondent must present its Proposed Solution and recommendations at the Respondent’s scheduled presentation time or the Respondent’s Response will be disqualified.

Presentations are limited to 1.5 hours, followed by a 30-minute opportunity for questions and answers. Presentation attendees will be limited to the evaluation team and the staff of the Respondent making the presentation.

If requested to present in Austin, Texas, members of the Respondent’s proposed account team must be physically present during the presentation and must remain available to answer questions from the evaluation team members. If requested to present via videoconference, members of the Respondent’s proposed account team must all be available during a scheduled videoconference time. Former OOG employees will NOT be permitted to participate in the presentations on behalf of any

Respondent. Upon completion of each presentation, members of the evaluation team will score the presentation out of the presence of the Respondents. The Respondents will be required to submit all presentation materials for review by the evaluation team.

The OOG, in its sole discretion, may determine that the Phase III evaluation stage is not necessary and will choose one or more Respondents with which the OOG will commence Contract negotiations. If the OOG determines that further evaluation of the Reponses is required, then the OOG will invite selected Respondents to participate in Phase III.

The OOG, in its sole discretion, may opt to forego Phase II and proceed directly to inviting Respondents who would otherwise qualify for Phase II, as specified in this Section, to participate in Phase III.

2.3.3. Phase III: Top-scoring Respondents From Prior Reviews

If the OOG determines that Phase III evaluations are required, then the OOG may invite selected Respondents to discuss and submit revisions to their Responses by submission of a Best and Final Offer (“BAFO”). The OOG, in its sole discretion, may limit the opportunity to provide a BAFO to one or more top-scoring Respondents.

The OOG will notify all invited Respondents of the deadline by which the

Respondents must submit their BAFOs to the OOG, including instructions on the specific details to be included in a BAFO.

The OOG will conduct Phase III evaluations based on the content of each

BAFO. The OOG’s written request for BAFOs will include specific instructions about the items each respective Respondent must address. After consideration of any clarifications, negotiations, or BAFOs, the OOG will evaluate any finalists and make a final recommendation for award.

After consideration of all BAFO responses, the OOG may choose one or more Respondents with which the OOG will commence final Contract negotiations.

Discussions and Negotiations

The OOG may determine, at any time and in its sole discretion, whether discussions, negotiations, or BAFOs are necessary, but a Contract may be awarded without discussions, negotiations, or

BAFOs if it in the best interest of the OOG. Discussions or negotiations with Respondents may be necessary to clarify or verify written Responses and the OOG may request revisions to Responses through the BAFO process outlined in Section 2.3.3 of this Part.

Overall Best Value Considerations

In all cases, the OOG will consider several enumerated “best value” criteria and any other criteria the OOG deems relevant to the procurement, consistent with the applicable and relevant criteria listed in Sections 2155.074, 2155.075, and 2156.125, Texas Government Code, and as required by the CPA’s Administrative Rules, Title 34, Sections 20.208 and 20.217, Texas Administrative

Code, and the latest version of the CPA’s State of Texas Procurement and Contract Management

Guide.

Best value factors that may be considered by the evaluation committee in evaluating Responses may include: (i) the Respondent’s price to provide the requested Deliverables; (ii) the probable quality and reliability of the offered Deliverables; (iii) the OOG’s evaluation of the likelihood of the Response to produce the desired outcome for the OOG; (iv) the quality of the Respondent’s past performance in contracting with the OOG, with other state entities, or with private sector entities; (v) the qualifications of the Respondent’s personnel; (vi) the experience of the Respondent in providing the requested Deliverables; and (vii) the OOG’s evaluation of the likely financial capacity of the Respondent to perform the requested Deliverables.

Past Performance, Including Reference Checks

A Respondent’s past performance will be measured based upon pass/fail criteria. Respondents may fail this selection criterion for any of the following conditions:

• A score of less than a C or Legacy Unsatisfactory in the Vendor Performance System,

• Currently under a Corrective Action Plan through the CPA,

• Having repeated negative Vendor Performance Reports for the same reason,

• Having a record of repeated non-responsiveness to Vendor Performance issues, or

• Having purchase orders that have been cancelled in the previous 12 months for non-performance (late delivery, etc.).

Contractor performance information is located on the CPA website at:

https://www.comptroller.texas.gov/purchasing/programs/vendor-performance-tracking/.

The OOG may conduct reference checks with other entities regarding past performance. In addition to evaluating performance through the Vendor Performance Tracking System, the OOG may examine other sources of vendor performance including, but not limited to, notices of termination, cure notices, assessments of liquidated damages, litigation, audit reports, and non-renewals of contracts. Such sources of vendor performance may include any governmental entity, whether an agency or political subdivision of the State of Texas, another state, or the Federal government. Further, the OOG may initiate such examinations of vendor performance based upon media reports. Any such investigations shall be at the sole discretion of the OOG, and any negative findings, as determined by the OOG, may result in non-award to the Respondent.

Site Visits

The OOG, in its sole discretion and election, reserves the right to conduct site visits to selected

Respondents’ places of business where work under the Contract is proposed to be performed. Such site visits may occur at any time prior to the award of the Contract. The OOG may consider such visits when evaluating Responses.

Respondents will be notified in writing and will be provided with equal advance notification of site visits or oral presentation assignments and guidelines. Failure to acknowledge or attend to an

OOG request for a site visit or oral presentation may result in disqualification of the Response.

Costs of preparing for or participating in oral presentations or site visits, among other costs, incurred by a Respondent are entirely the responsibility of the Respondent, and will not be reimbursed in any manner by the OOG

Response to the OOG’s Requests for Information

By submitting a Response, each Respondent agrees to furnish such information as the OOG may reasonably require to evaluate the Response. The OOG may make reasonable inquiries regarding the qualifications of the Respondent, including additional inquiries for any Respondent selected for final negotiation or award.

Complete Responses Required

Each Respondent is required to propose a complete solution to fulfill the Solicitation requirements and must fully address how it will provide the Deliverables and meet other requirements described in the Solicitation.

https://www.comptroller.texas.gov/purchasing/programs/vendor-performance-tracking/

Any items not specifically requested but integral to the requested Deliverables shall be included in the Response and identified in the appropriate sections thereof. Each Respondent shall provide all information that the Respondent believes would be helpful to the OOG in evaluating the

Respondent’s ability to fulfill the Solicitation requirements.

The OOG is not required to consider incomplete or partial Responses.

Acceptance, Rejection, and Modification to Responses

The OOG reserves the right to negotiate modifications to the Responses, to reject any or all

Responses, to request and consider additional information from any Respondent, and to waive minor irregularities and technical defects.

Award

The OOG, in its sole discretion, may reject any or all Responses. The OOG may also take as much time as it deems necessary to properly evaluate Responses.

An award may be made to a Respondent who provides the best value to the OOG and the State of

Texas based on information submitted with the Response and any BAFO. The OOG may award

Contracts to multiple Respondents if the OOG determines multiple Contractors will provide the best value to the OOG. The OOG will be the sole judge of best value. No disclosure of the Contract award will be provided until after completion of all evaluation processes and final execution of the

Contract.

Protest Procedure

Any protest shall be governed in a manner consistent with Title 34, Section 20.535, Texas

Administrative Code.

3. RESPONSE CONTENT REQUIREMENTS

Due Date of Responses

Each Respondent seeking consideration of its Response must submit its completed Response to the OOG at the location specified in Section 3.6 in this Part of the Solicitation by no later than 2:00 pm CT on the date specified in the Deadline for Respondent Submission of

Responses in the Calendar of Events in Part A of this Solicitation. The OOG is not required to consider Responses received after the due date and time.

Purpose

The purpose of the Response is to demonstrate the qualifications, competence, abilities, and capacity of the Respondent and proposed staff to undertake the engagement described herein. The

Response should contain sufficient information to assure the OOG of its completeness.

Responsive Information

Responsive information shall be presented in substantially the same order as it is set forth below.

Content of the Response

Each Respondent is solely responsible for its Response and all documentation submitted. Each

Respondent is solely responsible for thoroughly understanding the Solicitation and its attachments, exhibits, and forms. Each Respondent must demonstrate its understanding of the Service

Requirements of Part A of this Solicitation and all other aspects of this Solicitation, and must address specifically, in writing, its approach to providing each requirement of this Solicitation.

Respondents are cautioned to pay particular attention to the clarity and completeness of their

Responses and must demonstrate the qualifications, competence, and capacity of proposed staff to fulfill the requirements of the Solicitation.

Each Respondent shall be as precise, accurate, and succinct as possible. Each Respondent shall provide detailed descriptions of how it will fulfill each requirement. The clarity and completeness of a Response may be considered by the OOG’s evaluators. Additional information, if any, should be submitted in a separate binder. This separation of information will facilitate OOG’s review of the requested material.

Any additional contractual terms and conditions attached to the Response will not be considered unless specifically referred to in this Solicitation. The OOG may disqualify the Response of a

Respondent that includes any Contract terms the Respondent asserts are mandatory or that may require Contract negotiations.

Response Format and Organization

The Response shall include all information required in this Solicitation; failure to include all required information may result in the Response being deemed non-responsive or may result in a

Contract not being awarded to the Respondent. The Response shall be in the format required and must be organized in the manner described in this Section.

Respondents should avoid cross-referencing other sections, and instead incorporate the relevant text of those sections to address required sections of Responses where possible.

3.5.1. Tab 1 of the Response: The Transmittal Letter and Respondent Information

Form

Each Respondent must submit a Transmittal Letter that identifies the entity submitting the Response and includes a commitment by that entity to provide the Deliverables required by the OOG in the Solicitation. The Transmittal Letter must state that the

Response is valid for at least 180 calendar days from the day after the deadline for submitting Responses. Any Response containing a term of validity of less than 180 calendar days may be rejected as non-responsive. The Transmittal Letter must be signed by a person legally authorized to bind the Respondent to the representations in the Response.

The Transmittal Letter must include the following information: (i) identification of the responding business entity; (ii) the Respondent’s formal name and all assumed names used by the business entity; (iii) the structure of business entity; state and country in which business entity was formed or incorporated; (iv) physical address and mailing address and principal place of business; (v) for the purpose of the Respondent’s qualification as a resident bidder, whether and to what extent the Respondent has established a physical presence in the State of Texas, including relevant timeframes;

and (vi) name, title, address, telephone number, email address, and, if applicable, facsimile number of Respondent’s primary contact and, if different, the individual with the authority to negotiate and execute the Contract, if awarded.

The Transmittal Letter must also include a statement of acceptance of the terms and conditions set forth in Parts A, B, and C of the Solicitation, including any relevant Exhibits and appendices, as these terms and conditions will be incorporated without substantial changes into any awarded Contract.

If the Respondent takes exception to any of the proposed terms and conditions in the Solicitation, the Respondent must indicate its objections in the Transmittal

Letter, and any exceptions must be noted separately in Tab 10 of the Response as indicated herein.

If any material that is included with Response is marked as proprietary, financial, or trade secret information, this information should also be noted in the Transmittal Letter and shall be accompanied by a separate attachment to the Transmittal Letter that clearly indicates the Response sections and pages so marked in accordance with the guidance provided under Section 1.8 of this Part of the Solicitation.

Tab 1 should also include completed and executed copies of Exhibit A (Execution of

Response) and Exhibit B (Respondent Information Form) of Part A of this Solicitation.

3.5.2. Tab 2 of the Response: Executive Summary

Each Respondent shall provide an Executive Summary that thoroughly describes its understanding of the Solicitation’s goals and objectives, its capacity to meet the OOG’s requirements for the specified Deliverables, and a short narrative that provides a synopsis of the Respondent’s approach to providing the specified Deliverables. The

Executive Summary should represent a full and concise summary of the contents of the

Response. Each Respondent’s Executive Summary should also indicate why it believes it is the most qualified Respondent to provide the Deliverables requested in the

Solicitation.

If a Respondent is proposing to provide deliverables beyond that which is specifically requested in the Solicitation, those deliverables must be identified in the Executive

Summary. If a Response is offering deliverables that do not meet the specific requirements of this Solicitation, but in the opinion of the Respondent are equivalent to those specifically requested, any such differences must be noted in the Executive

Summary. The Respondent is advised, however, that any Response that fails to offer

Deliverables as specifically requested in the Solicitation may be deemed as non-responsive.

Maximum length: five pages.

3.5.3. Tab 3 of the Response: Financial Responsibility

Each Respondent must provide evidence, in United States dollars, of financial responsibility and stability for performance of a Contract and must demonstrate its ability to financially support providing the Deliverables described in its submission. In addition, the Respondent must disclose the source of any outside financial resources, in United States dollars, e.g., financing support from a parent company, that will be utilized by the Respondent to enable it to perform any awarded Contract.

Audited Financials or Bonds and Financial Guarantees. A Respondent should provide financial statements that are compliant with GAAP and/or IAS, including, but not limited to:

1. if the Respondent is the sole source of financial resources, its latest audited annual financial report showing its ability to finance the required Deliverables on its own with current resources;

2. if the Respondent is the subsidiary of a parent corporation and the parent corporation is providing financial resources or assurance, its most recent audited Annual Financial report for both the Respondent and the parent corporation;

3. for a privately and solely-owned business where audited financial reports are not required, its unaudited financials;

4. if the Respondent is a joint venture or a group of affiliated companies, its most recent audited Annual Financial Report for each member or affiliate of such joint venture or group, as applicable;

5. if the Respondent does not have a most recent audited Annual Financial Report, acceptable evidence of financial responsibility, to include, but not limited to, the Respondent’s most recent annual financial report, income statement, or current balance sheet reports that have been attested to by either an independent certified public accountant or a certified accounting firm; or

6. if a Respondent is unable to provide the evidence of financial responsibility required by this Section, a performance bond or financial guarantees or assurances that demonstrate its ability to financially support providing the

Deliverables described in its submission. The OOG may disqualify a Response for failure to provide a performance bond or other financial guarantees or assurances.

Financial Rating. If requested by the OOG, the Respondent must submit a copy of at least one rating from organizations such as Dun & Bradstreet Business

Information Report or Fitch Ratings. The report must include the Respondent’s

Viability Score and the Portfolio Comparison Score or similar ratings. Failure to submit copies of the required financial ratings will result in disqualification.

Additional Information. The OOG may require a Respondent to provide any additional information necessary to determine the financial responsibility and stability of the Respondent.

Notification of Substantial Changes. Each Respondent must notify the

OOG of any substantial change in financial condition during the pendency of the solicitation process. If a Respondent experiences a substantial change in its financial condition prior to the award of a Contract, the OOG must be notified of the change in writing at the time the change occurs or is identified. A Respondent’s failure to notify the OOG of such substantial change in financial condition is sufficient grounds for rejecting the Response or terminating a Contract with the Respondent. For the purposes of this Section, examples of a substantial change include, but are not limited to, merger, acquisition, insolvency, bankruptcy, or receivership.

3.5.4. Tab 4 of the Response: Respondent’s Background

Each Respondent shall provide a brief description of its company, history, and relevant accomplishments, including, but not limited to, the number of years the company has been in business and a link to the Respondent’s website, if any.

Maximum length: six pages.

3.5.5. Tab 5 of the Response: Experience and Qualifications

Comparable Experience. Each Respondent shall provide a written description of its recent account history within the last five years for providing relevant Deliverables.

Demonstrated experience shall include providing Deliverables similar in scope to those identified in the Solicitation. Experience may include work done for either public, private, or non-profit entities. The Respondent must have documented experience indicating its capability to complete activities described in its Response.

Maximum length: eight pages.

Description of Resources. Each Respondent shall provide a detailed, written description of administrative, operational, and management structure of its organization. The Respondent must include resources it possesses—such as facilities, business equipment and accounting systems, internal auditing procedures, management and administration, legal services, and creative services—that it will supply as part of the fees detailed in its Cost Proposal. The Respondent shall also include the location, staff size, and specific resources of each office that will service the Contract. Each

Respondent must also describe any of its strategic partnerships, alliances, or joint ventures, including the roles and extent of their respective participation. All participants of a strategic partnership, alliance, subcontract, or other joint venture proposal should be listed, including all personnel who will be used to provide Deliverables, and a primary contractor must be identified.

Maximum length: six pages.

3.5.6. Tab 6 of the Response: Organizational Chart & Account Staff

Organizational Chart. Provide an organizational chart showing the staffing and lines of authority for the specific personnel engaged to service the OOG account. The relationship of the Account Manager to management and support personnel should be clearly illustrated.

Staff Qualifications and Experience. The Contractor is expected to assign staff at appropriate levels to provide the Deliverables. This section shall name each individual who will be assigned to this engagement throughout the duration of any Contract awarded as a result of the Solicitation, including the Account Manager and other personnel. Provide a brief description of the relevant skills and experience, including years of experience, that qualify key personnel to provide the required Deliverables.

The information provided should include a brief bio and description of relevant staff experience on projects or similar scope, size, and staffing level, if any. Information for all participants of a strategic partnership, alliance, or other joint venture who will be used to service the OOG’s account should be listed, including the roles and extent of all partners’ participation and written profiles for each. Responses should demonstrate a commitment to maintain staff competency for the Contract term.

Staffing Plan. Provide a staffing plan that describes how the Respondent’s personnel will be organized to perform the assignments, including the responsibilities of each individual proposed for assignment to the OOG account team.

Staff References. If applicable, provide three references for the Account Manager and each key member of the proposed OOG account team. The references should consist of clients that these individuals have provided Deliverables that are similar to the activities required by this Solicitation. The references must include the name, organization, and telephone number of an individual who can comment on the ability of the individual to provide any required Deliverables.

3.5.7. Tab 7 of the Response: Solicitation Response

The Respondent shall state how its Response ensures that funds are spent efficiently and effectively, with reasonable attention and effort given to providing the required

Deliverables and meets or exceeds the requirements of the Solicitation.

If applicable, Tab 7 of the Response must also include the following:

1. an indication of how the Response ensures that funds are spent efficiently and effectively, with reasonable attention and effort given to providing the Deliverables;

2. specific goals for measurement of performance that demonstrate the success of

Respondent’s planning, implementation, and results achieved in meeting the objectives outlined in the Service Requirements of Part A of this Solicitation; and

3. a timeline indicating when each aspect of the Respondents plan is expected to be completed.

3.5.8. Tab 8 of the Response: Transition Plan

The Respondent shall describe any and all transition activities necessary for the

Respondent to commence providing the Deliverables under any Contract awarded as a result of the Solicitation, including whether or not Respondent would be prepared to commence work immediately upon award, and if not, what steps or activities it must undertake prior to commencing work. The transition plan should assume that the

Respondent will commence providing all required Deliverables by no later than the

Contract’s anticipated start date.

3.5.9. Tab 9 of the Response: Compensation

Each Respondent shall submit a Cost Proposal, completed in the form set forth in

Exhibit E of Part A of this Solicitation, setting forth the Respondent’s proposed fees for the Contract Term. A Respondent shall not disclose its Cost Proposal or other cost information in the body of its written Response. Including cost information in the written Response may be cause for disqualification.

The amounts stated in the Respondent’s Cost Proposal shall be a firm fixed dollar amount for providing the Deliverables to fully-compensate the Contractor, and, if applicable, supporting subcontractors, for the costs of all Deliverables and administrative expenses required to complete work under the Contract. A detailed description of what is included in the Cost Proposal is required in the Response; the

OOG may disqualify a Response that fails to provide a detailed description. The Cost

Proposal shall also include costs of any proposed “Ad Hoc Deliverables” that are in addition to the Deliverables specifically outlined in the Service Requirements specified in Part A of this Solicitation but that fall within the scope of the required Deliverables and are recommended by the Contractor. Such Deliverables may be purchased at

OOG’s option, on an “as-needed” basis, in “as-needed” quantities, as determined by

OOG in response to specific events or opportunities.

No specific amount of compensation is guaranteed to a Respondent under any contract resulting from this Solicitation.

As noted in Section 3.5.7 of this Part of the Solicitation, the OOG must be assured that funds are spent efficiently and effectively, with reasonable attention and effort given to requested projects. As a result, the OOG intends to more favorably consider those

Responses that offer the best value to the OOG.

NOTE: The OOG is able to award the Contract without any negotiations. Each

Respondent is encouraged to provide its best value in its Cost Proposal because the

OOG makes absolutely no guarantee that there will be any opportunity to negotiate or provide alternative pricing at any point during the solicitation process.

3.5.10. Tab 10 of the Response: Assumptions and Exceptions

Each Respondent shall clearly state any assumptions it made in its Response. Each

Respondent shall also clearly identify any exceptions it takes to specific provisions of the Solicitation, including any proposed terms and conditions as set forth in the

Solicitation, noting the specific Solicitation part and section number. Each Respondent shall provide specific and detailed reasons for each exception, together with suggested alternative language. Vague and general exceptions are not acceptable. If a Respondent has no exceptions, it shall explicitly state that the Respondent takes no exception to any part of the Solicitation.

NOTE: Many of the terms and conditions identified in the Solicitation are non-negotiable due to state contracting policies and legal requirements imposed by

Texas law. As a result, any exceptions taken by a Respondent may be considered by the

OOG during the evaluation and may result in a Response being disqualified or a contract not being awarded to the Respondent.

The Respondent shall identify exceptions using the following format:

Section Section Title Exception Proposed Language

3.5.11. Tab 11 of the Response: The Conflict of Interest Disclosure

The Respondent shall identify and disclose any and all relationships that might be a conflict of interest or cause an appearance of a conflict of interest in the format provided as Exhibit D of Part A of this Solicitation.

3.5.12. Tab 12 of the Response: HUB Subcontracting Plan

Unless otherwise specified, Respondents are required to submit a HUB Subcontracting

Plan (“HSP”) as part of its Response. The NIGP codes for HSP opportunities are identified in Part A of this Solicitation.

The HSP, once accepted by the OOG, will become a part of the Contract. The HSP shall be submitted in the format provided as Exhibit F of Part A of this Solicitation, which includes additional information about HSP requirements and the CPA’s HSP form. The CPA’s HSP form must be interpreted in accordance with the requirements of Article I, Section 3a, Texas Constitution, and Amendment XIV, United States

Constitution.

Even if a Respondent, as the prime vendor, can fulfill the entire Contract work specified in the Solicitation, the Respondent must complete and submit an HSP with its

Response.

In preparing the HSP, if a Respondent determines it will subcontract any portion of the work to provide the Deliverables identified in the Solicitation, the Respondent must comply with the requirements of the CPA as set forth in Title 34, Section 20.285, Texas

Administrative Code, interpreted in accordance with Article I, Section 3a, Texas

Constitution, and Amendment XIV, United States Constitution. That section relates to developing and submitting a subcontracting plan and further describes methods that a

Respondent may demonstrate the “good faith effort” required for completion of the

HSP.

The CPA’s HUB regulations are published in the Texas Register and are available at:

https://texas-sos.appianportalsgov.com/rules-and-meetings?chapter=20&division=1&interface=VIEW_TAC&part=1&subchapter=D&t itle=34.

Additional information is also available through the CPA’s website at:

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

To assist vendors in submitting a compliant HSP, the OOG will conduct an optional pre-bid conference at a date provided in the Calendar of Events.

Additionally, the OOG will offer a courtesy review of the HSP.

A courtesy review of a Respondent’s completed HSP is optional and is available upon request to assist in providing a compliant and responsive HSP. This courtesy review may only identify possible deficiencies, but a final compliant determination cannot be provided until the Solicitation Response is submitted. The OOG’s courtesy review is not legal advice and may not be relied upon as such.

https://texas-sos.appianportalsgov.com/rules-and-meetings?chapter=20&division=1&interface=VIEW_TAC&part=1&subchapter=D&title=34 https://texas-sos.appianportalsgov.com/rules-and-meetings?chapter=20&division=1&interface=VIEW_TAC&part=1&subchapter=D&title=34 https://texas-sos.appianportalsgov.com/rules-and-meetings?chapter=20&division=1&interface=VIEW_TAC&part=1&subchapter=D&title=34 https://comptroller.texas.gov/purchasing/vendor/hub/

To request a courtesy review, submit a PDF of the completed HSP, including all supporting documentation, by e-mail to the Point of Contact identified in Part A of this

Solicitation on or before the HSP Courtesy Review Request Deadline in the Calendar of Events. The email to the Point of Contact must include the following in its subject line: “(HSP Courtesy Review, No. 301-26-03277).” The body of the email must include the due date from the Calendar of Events.

The OOG will not process an HSP courtesy review request received after deadline in the Calendar of Events. The OOG will provide a response regarding the HSP before the Solicitation Response deadline in the Calendar of Events, allowing enough time to rectify any potential deficiencies for the final HSP submission. Notwithstanding whether a Respondent participates in the courtesy HSP review, the final HSP must be submitted with the Solicitation Response by the deadline in the Calendar of Events.

Solicitation Responses that do not include a completed HUB Subcontracting Plan must be rejected due to material failure to comply with Texas Government Code Section

§2161.252(b).

For any inquiries relating to HUBs and the HSP, please direct inquiries to the Point of

Contact identified in Part A of this Solicitation.

3.5.13. Tab 13 of the Response: Company References and Disclosure of Litigation

References: The Respondent shall include a minimum of three references from clients for whom similar Deliverables were provided in the last five years. The Respondent shall include project description, contact names, position, and company name and telephone number for each reference listed. The OOG reserves the right to contact references, and any information provided by references may be considered in the evaluation of Responses.

Disclosure of Litigation: The Respondent shall disclose and briefly describe any litigation in which it has been involved in within the last three years.

3.5.14. Tab 14 of the Response – Miscellaneous Exhibits

Each Respondent shall complete and include the following exhibits that are not otherwise included under another tab to its Response. A complete listing of all required exhibits is as follows:

Exhibits

A Execution of Response (with certification) [Tab 1]

B Respondent Information Form [Tab 1]

C Identification of Bidder Preferences [Tab 14, if applicable]

D Conflict of Interest Disclosure Form [Tab 11]

E Cost Proposal Fee Schedule [Tab 9]

F HUB Subcontracting Plan [Tab 12]

Submission of Responses

3.6.1. Unless otherwise specified in writing by the OOG, Responses, including all hard copies, exhibits, attachments, electronic copies, and other supplemental or additional information a Respondent seeks to have considered as part of its

Response must be delivered to the Point of Contact at the address provided by the due date and time identified in the Calendar of Events in Part A of the Solicitation.

The OOG is not required to consider Responses received after the due date and time, and any Response that is not complete upon submission may be disqualified.

3.6.2. Each Response shall indicate it is a Response submitted in connection with the

Solicitation number listed on the cover page of Part A and shall clearly state the due date and time.

3.6.3. The Respondent must submit one original signed hard copy submission, three hard copies for the evaluation team, and one digital copy in a searchable PDF file format on a CD, DVD, or USB drive. The original, copies, and any digital copy must be received no later than the deadline established in the Calendar of Events in Part A of the Solicitation. If there is any disparity between the contents of the printed

Response and the contents of the Response contained in electronic format, the contents of the printed Response shall take precedence.

UNLESS OTHERWISE SPECIFIED BY THE OOG, ELECTRONIC OR

SOFT COPY SUBMISSIONS OF RESPONSES WILL NOT BE

ACCEPTED IN LIEU OF THE SIGNED ORIGINAL AND HARD COPIES

AS REQUIRED IN THIS SECTION.

RESPONSES WILL NOT BE ACCEPTED BY EMAIL.

The hard copy submissions must be bound in three-ring binders (or something comparable if three-ring binders are not available in your region).