ESBD_515552_1779111075015_RFP For Posting_Finalized.pdf

THE PUBLIC UTILITY COMMISSION OF TEXAS

REQUEST FOR PROPOSALS FOR THE MANAGEMENT AND

DISTRIBUTION OF CUSTOMER UTILITY REFUND CHECKS

Public Utility Commission of Texas William B. Travis Building

1701 North Congress Avenue Austin, Texas 78711

Closing Time and Date:

June 18, 2026 10:00 a.m., Central Time

RFP Number: 473-26-00005

Project Number: 59582 NIGP Class Items: 961-16 Claims Processing Services

Table of Contents

SECTION 1 – INTRODUCTION ________________________________________________ 3

SECTION 2 – DEFINITIONS __________________________________________________ 3

SECTION 3 – STATEMENT OF WORK __________________________________________ 3

SECTION 4 – ELIGIBILITY AND EVALUATION CRITERIA _______________________ 5

4.A. EEO and VetHUB Statement ____________________________________________ 5

4.B. Minimum Eligibility Requirements _______________________________________ 5

4.C. Evaluation Criteria_____________________________________________________ 6

4.D. Texas Vendor Preference ________________________________________________ 7

4.E. References ____________________________________________________________ 7

SECTION 5 – SCHEDULE AND PROCESS ______________________________________ 7

5.A. Anticipated Schedule ___________________________________________________ 7

5.B. PUCT Point of Contact _________________________________________________ 8

5.C. Process for Asking Questions ____________________________________________ 8

5.D. Process for Submitting Proposals _________________________________________ 8

5.E. PUCT’s Standard Process for Selecting Vendors ____________________________ 9

SECTION 6 – REQUIRED COMPONENTS AND FORMAT ________________________ 10

6.A. Components _________________________________________________________ 10

6.B. Format Requirements _________________________________________________ 16

SECTION 7 – CONDITIONS __________________________________________________ 17

7.A. Irrevocable Offer _____________________________________________________ 17

7.B. Proposals are the Property of the PUCT __________________________________ 17

7.C. Public Information Act Notice __________________________________________ 17

7.D. Publicity _____________________________________________________________ 17

7.E. No Proposal Costs Reimbursed __________________________________________ 18

7.F. Contract Terms and Conditions _________________________________________ 18

7.G. Vendor Performance Tracking System ___________________________________ 18

ATTACHMENT A – Proposed General Terms and Conditions _______________________ 19

SECTION 1 – INTRODUCTION

The Public Utility Commission of Texas (PUCT) is seeking a Contractor to manage, process, and distribute customer utility refund checks. This Request For Proposals (RFP) is issued under the authority of Texas Government Code Chapter 2155.

SECTION 2 – DEFINITIONS

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

(1) Business day means a day other than a: (i) Saturday or Sunday; (ii) national holiday under Texas Government Code § 662.003(a); or (iii) state holiday under Texas Government Code § 662.003(b). Unless described as a ‘business day’, a ‘day’ means a calendar day.

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

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

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

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

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

(7) Services means any and all services performed and any and all goods and products delivered by Contractor as specified in Section 3, Statement of Work.

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

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

(10) Vendor Performance Tracking System” means the system the Texas Comptroller of Public Accounts is required to provide under Texas Government Code § 2262.055 for evaluating vendor performance. The Vendor Performance Tracking System is located at: http://txsmartbuy.com/vpts.

(11) Week means seven consecutive calendar days.

SECTION 3 – STATEMENT OF WORK

I. Introduction.

The Contractor must assist the PUCT in managing, processing, and distributing customer utility refunds under the authority of Texas Administrative Code § 25.107. Each time a distribution of refunds is required, the PUCT will provide the Contractor with the names, addresses, and amounts to be distributed. Each distribution is expected to be less than $500,000.00 and consist of 50 to 3,000 checks. Once the distribution amounts are determined, the PUCT will wire funds to the Contractor. The Contractor must distribute the utility refund checks within 20 days from the date the Contractor receives the funds from the PUCT.

The PUCT anticipates awarding the resulting contract to the winning Proposer for a four-year contract period with no option for renewal beyond that time period. The PUCT estimates 2 (two) to 3 (three) distributions to be needed during the four-year contract period. However, nothing in this SOW or the resulting contract commits the PUCT to a minimum or maximum number of distributions during the contract period.

http://txsmartbuy.com/vpts

II. Services.

A. Requirements: The Contractor must provide all services associated with processing customer utility refunds, including, but not limited to the following:

1. Opening a bank account within 20 days of being notified by the PUCT of a refund disbursement. The bank account title will be provided by the PUCT.

2. Ordering checks with the title, return address, and memo information provided by the PUCT. Checks must have an expiration date meeting the requirements of II.B of this section.

3. Preparing checks for mailing.

4. Attaching a one-page explanation letter provided by the PUCT with each check.

5. Re-issuing and mailing checks that are returned with a forwarding address to the customer by first class mail and voiding checks returned without a forwarding address. The Contractor may only charge for the initial issuance and mailing of checks, but not for any required re-issuance and mailing or voiding of checks.

6. Following State of Texas procedures for remitting unclaimed funds to the State of Texas Comptroller of Public Accounts by the date provided by the PUCT.

7. Providing and operating a toll-free telephone number to handle customer inquiries.

8. Creating an account reconciliation report that separately lists all cashed checks, outstanding checks, and voided checks.

9. Submitting a monthly bank statement and account reconciliation report to the PUCT no later than 10 business days after the last day of the month covered by the bank statement.

10. Presenting the PUCT with an irrevocable letter of credit each time a distribution of refunds is ordered totaling the amount of distribution of refunds to be held until the refund period is completed. The PUCT will inform the Contractor of the required amount for the letter of credit within a reasonable time before the letter of credit is required.

B. Types of Customer Refunds and Lengths of Holds.

There will be two types of customer refunds: Utility Deposit Refunds and Other Utility Refunds.

Each type of refund requires a different length of hold for the associated funds. The PUCT will determine which category each specific refund check falls into.

1. Funds for Utility Deposit Refunds must remain in the designated account until a check issued from that account clears or until one year has passed from the date the check was issued, whichever occurs first. After one year from the date of issuance of a check has passed, the Contractor must submit any outstanding funds from that check to the State of Texas Comptroller of Public Accounts.

2. Funds for Other Utility Refunds must remain in the designated account until a check issued from that account clears or until three years have passed from the date the check was issued, whichever occurs first. After three years from the date of issuance of a check has passed, the Contractor must submit any outstanding funds from that check to the State of Texas Comptroller of Public Accounts.

C. Bank Accounts.

The Contractor will be required to open and maintain the following bank accounts under the resulting contract:

1. An account exclusively for Utility Deposit Refunds. Funds in this account will be held for one year, as described under Section II.B.1. of this Statement of Work. The bank account must have a positive pay system and ACH debit block.

2. Two accounts exclusively for Other Utility Refunds. Funds in these accounts will be held for a total of three years, as described under Section II.B.2. of this Statement of Work. The first account must have a positive pay system and ACH debit block. Funds must be held in this account for the first year after receipt of funds. The second account will be used for the two years following the first year after receipt of funds. This must be a standard checking account. This account must allow the Contractor, at the direction of the PUCT, the ability to make a payment from this checking account once a recipient of the distribution provides proper identification to the PUCT within the two-year timeframe.

III. Contractor Compensation. Contractor’s compensation under the resulting contract will be paid from the disbursement of proceeds from a retail electric provider’s irrevocable, stand-by letter of credit issued under 16 TAC § 25.107. After the Contractor completes the initial distribution of authorized refund checks, the Contractor must provide an invoice to the PUCT requesting payment for 50% of the contracted fee amount. Upon approval of the initial distribution invoice, the PUCT will authorize payment for 50% of the contracted fee amount. Once all the funds are distributed, including remittance of any unclaimed property to the State of Texas Comptroller of Public Accounts, the Contractor must provide a final invoice to the PUCT. Upon approval of the final invoice, the PUCT will authorize payment for the remaining 50% of the contracted fee amount.

SECTION 4 – ELIGIBILITY AND EVALUATION CRITERIA

4.A. EEO and VetHUB Statement The PUCT is an equal employment opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, mental or physical disability, age, genetic information, veteran status, participation in protected activity, or other legally protected characteristics. This commitment extends to Proposers, Vendors, and their employees as well.

Pursuant to 34 Texas Administrative Code Chapter 20, and as required by emergency rules adopted by the Texas Comptroller of Public Accounts on December 2, 2025, state agencies are required to make a good-faith effort to include Veteran Heroes United in Business (VetHUBs) in all procurement activities. The PUCT encourages VetHUBs to compete for this award.

See https://www.sos.state.tx.us/texreg/pdf/backview/0327/0327emer.pdf and Texas Register December 12, 2025 Issue and https://comptroller.texas.gov/purchasing/vendor/hub/certification-process.php for additional information about VetHUBs in Texas.

4.B. Minimum Eligibility Requirements 4.B.1. To pass the initial screening criteria, Proposers must demonstrate that they have a minimum of three years’ of experience related to the services described in Section 3, Statement of Work. A Proposer with fewer than three years’ experience is eligible to submit a proposal if each key member of the proposal team has the minimum required experience.

https://www.sos.state.tx.us/texreg/pdf/backview/0327/0327emer.pdf https://www.sos.texas.gov/texreg/pdf/backview/1212/1212emer.pdf https://www.sos.texas.gov/texreg/pdf/backview/1212/1212emer.pdf https://comptroller.texas.gov/purchasing/vendor/hub/certification-process.php https://comptroller.texas.gov/purchasing/vendor/hub/certification-process.php

Additionally, Proposals must:

• meet all deadlines set out in this RFP;

• follow the appropriate process for submitting proposals (see Section 6 of this RFP, Required

Components and Format);

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

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

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

4.B.2. Under Texas law, vendors may be barred from participating in state contracts that are subject to Texas Government Code Chapter 2155, Subchapter B (General Purchasing Requirements, Procedures, and Programs). TEX. GOV’T. CODE § 2155.077. If a Proposer is barred from participating in state contracts, its proposal will be disqualified and will receive no further consideration.

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

RFP:

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

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

Accounts;

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

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

4.C. Evaluation Criteria The PUCT will make the selection and award on the basis of the proposal substance and the Proposer’s demonstrated knowledge, competence, and qualifications to provide the services described in Section 3, Statement of Work. A description of the categories under which each proposal will be judged, and the percentage of weight given to each category, are as follows:

• Proposal Substance and Methodology – 40%

Proposal demonstrates a clear understanding of the objectives, as described in Section 3, Statement of Work.

Proposed approach is both thorough and practical.

Proposed approach for meeting objectives is desirable.

Conditions included in the proposal are acceptable.

• Competence and Knowledge – 40%

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

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

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

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

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

• Proposed Compensation – 20%

4.D. Texas Vendor Preference In compliance with Texas Government Code § 2155.444(e), preference will be given to a Proposer who meets one or more of the following criteria:

• Proposer is incorporated in Texas;

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

• Proposer has an established physical presence in Texas.

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

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

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

SECTION 5 – SCHEDULE AND PROCESS

5.A. Anticipated Schedule Disclaimer: Dates are subject to change at the PUCT’s discretion. Changes to Proposer deadlines will be posted on the Electronic State Business Daily (ESBD) website and the PUCT’s Procurement webpage, along with any other RFP modifications and addenda. It is the Proposer’s responsibility to periodically check the websites prior to submitting a proposal. A Proposer’s failure to review additional information posted on the ESBD and PUCT websites will not release the Proposer from requirements described in those postings and could result in disqualification of a proposal or additional costs to meet the requirements of the contract should the Proposer be selected for the contract.

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

ESBD Website: http://www.txsmartbuy.gov/esbd http://www.puc.texas.gov/agency/about/procurement/Default.aspx http://www.txsmartbuy.gov/esbd

Event Anticipated Date RFP Release May 18, 2026

Last day to submit written questions regarding the RFP May 29, 2026, 10 am CT

Deadline for submission of proposals June 18, 2026, 10 am CT

Post-proposal interviews or presentations, if required July 1-3, 2026

Staff recommendation for selection July 15, 2026

Selection approved July 20, 2026

Contract negotiations July 21 – August 31, 2026

Contract period begins September 1, 2026

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

5.C. Process for Asking Questions The PUCT will only accept written questions and requests for clarification. Requests must be sent by email to RFPCorrespondence@puc.texas.gov, attention: Denise Collins, CTCM, CTCD.

Inquiries and comments must reference RFP Number 473-26-00005.

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

5.D. Process for Submitting Proposals 5.D.1. Proposers must submit their proposals by email to RFPCorrespondence@puc.texas.gov before the stated closing date and time. Proposals will not be considered if received in the RFPCorrespondence@puc.texas.gov email inbox after 10:00 am, Central Time, on June 18, 2026.

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

Denise Collins, CTCM, CTCD, or her designated substitute will file the sealed proposals confidentially in Project Number 59582 with the PUCT’s Central Records section.

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

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

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

5.D.4. For more information about how the PUCT will respond to Public Information Act (PIA) requests relating to this RFP, please see Section 7.C. of this RFP, Public Information Act Notice.

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

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

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

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

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

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

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

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

5.E.7. Final recommendations will be presented to the Executive Director of the PUCT. The Executive Director may do one of the following: approve the recommended selection in whole or in part; disapprove the recommendation; or defer action on the selection.

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

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

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

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

5.E.12. When considering best value and award, the PUCT reserves the right to set a minimum requirement regarding the weighted criteria listed in Section 4.C. Evaluation Criteria. The evaluation committee will evaluate and score each submittal based on the criteria listed in Section

4. Eligibility and Evaluation Criteria. By submitting a proposal in response to this RFP, the Proposer accepts the evaluation process and acknowledges and accepts that scoring of the submittals may involve some subjective judgments by the evaluation committee.

SECTION 6 – REQUIRED COMPONENTS AND FORMAT

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

Proposals must include the contents described in 6.A.1 through 6.A.10 and 7.F with each section clearly defined on a table of contents page.

6.A.1. Statement of the Requirements

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

6.A.2. Competence and Knowledge

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

6.A.3. Qualifications

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

6.A.4. Compensation

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

Compensation for the services identified in Section 3, Statement of Work, must be proposed as a per-check price. Each type of check issued [i.e., Utility Deposit Refund and Non-Deposit Refund (Other Utility Refund)] may be assigned a different price in a pricing schedule provided in the proposal.

Contractor’s compensation under the resulting contract will be paid from the disbursement of proceeds from a retail electric provider’s irrevocable, stand-by letter of credit issued under 16 TAC § 25.107.

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

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

6.A.5. References

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

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

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

6.A.6. Conflicts Statement

Proposers must be neutral and impartial, must not be an entity that has a specific interest in the PUCT’s regulation, and must not have a direct financial interest in the provision of electric, telephone, water, or sewer service in the state of Texas.

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

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

The requirements for the conflicts statement are as follows:

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

• It must identify any personal or business relationships of Proposer, including all employees and subcontractors of Proposer, with any: (i) electric, telecommunications, water, or sewer utility or any utility affiliate operating in Texas; (ii) entity having a pending application at the PUCT to enter the Texas retail electric market, telecommunications market, water utility market, or sewer utility market; and (iii) any retail electric provider under the PUCT’s jurisdiction. It must identify the extent, nature, and time aspects of each of those relationships.

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

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

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

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

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

• The conflicts statement must certify either that the Proposer does not employ an individual who has been employed by the PUCT or another agency of the State of Texas at any time during the two years preceding the submission of the proposal or that it has disclosed in its proposal the following: (i) the nature of the previous employment with the PUCT or the other agency; (ii) the date the employment was terminated; and (iii) the annual rate of compensation for the employment at the time of its termination. The PUCT is restricted in its ability to enter into contracts with individuals and entities that employ certain individuals under some circumstances. See Texas Government Code §§ 2254.033 and 2252.901.

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

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

6.A.7. Veteran Heroes United in Business (VetHUB) Certification and Subcontracting Plan

(SP)

Agencies are required to make a good faith effort to assist Veteran Heroes United in Business (VetHUBs) to receive a portion of the total contract value that the agency expects to award in a fiscal year. The statewide goals are qualitative, with the goal of increasing participation of service-disabled veterans in state purchasing and contracts. These goals can be achieved through contracting directly with VetHUBs or indirectly through subcontracting. The subcontracting goal for the resulting contract from this RFP is 26.0% (all other services contracts).

Any Proposer that is VetHUB certified by the Statewide Procurement Division (SPD) of the Comptroller of Public Accounts (CPA) must submit a copy of its VetHUB certificate.

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

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

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

Responses that do not include a completed SP will be rejected, as required by Texas Government Code § 2161.252(b).

6.A.8. Certifications

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

• The Proposer has made a good faith effort to ensure all statements and information Proposer submitted in response to this RFP are current, complete, and accurate. The Proposer represents and warrants that all statements and information prepared and submitted in this document are current, complete, true, and accurate. Submitting a proposal with a false statement or making material misrepresentations during the performance of a https://comptroller.texas.gov/purchasing/vendor/hub/forms.php contract is a material breach of contract and may void the submitted response and any resulting contract.

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

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

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

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

o Communicated directly or indirectly the bid made to any competitor or other person engaged in such line of business; or o Otherwise violated 15 U.S.C. § 1, et. seq., or Texas Business and Commerce Code § 15.01, et. seq.

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

[A Proposer is ineligible to receive a contract award if the Proposer is a person who received compensation from the agency to participate in preparing the specifications or request for proposals on which the bid or contract is based. See Texas Government Code § 2155.004(a).]

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

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

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

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

[A child support obligor who is more than 30 days delinquent in paying child support, or a business entity in which the obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least 25 percent, is not eligible to receive payments from state funds under a contract to provide property, materials, or services. See Texas Family Code § 231.006(a)].

• If a Proposer includes a Texas address in its proposal, the Proposer must certify whether or not it qualifies as a Texas Resident Bidder, as defined in Texas Government Code § 2155.444(c)(2).

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

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

or (ii) headquartered in any of those countries.

• Proposer certifies that neither it, nor anyone acting on behalf of or for the Proposer, has committed any act of collusion related to the development and submission of the proposal.

6.A.9. Evidence of Financial Capability

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

6.A.10. Other Required Items

• Any Proposer incorporated in Texas must include a copy of its current franchise tax Certificate of Good Standing, issued by the Texas State Comptroller’s Office, and the corporation’s charter number, issued by the Texas Secretary of State’s Office.

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

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

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

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

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

• Section 5.A. Anticipated Schedule addresses RFP modifications and addenda. Each

Proposer must acknowledge all RFP modifications and/or addenda issued during the solicitation period and include a statement in their submitted proposal that the Proposer has addressed all RFP modifications and/or addenda in their submission.

6.B. Format Requirements 6.B.1. Information Sheet – The first page of the proposal submission must be an information sheet that clearly states: the name of the Proposer; the name, address, telephone number, and email address of the Proposer’s point of contact; the project number; and the RFP title and number. The information sheet will be the only portion of the proposal that will not be filed under seal.

Information sheets will be filed publicly in Project Number 59582. If a Proposer is selected, the Proposer will be expected to maintain current contact information with the PUCT during the term of the contract.

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

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

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

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

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

6.B.5. Page Limit – Proposals must be limited to 50 pages, including all attachments and certifications, but excluding financial capability submittal and resumes or writing samples. The PUCT may reject any proposals longer than 50 pages without review. In any case, evaluation team members will not be provided any pages past the 50th page.

SECTION 7 – CONDITIONS

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

The PUCT will not return withdrawn proposals.

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

7.C. Public Information Act Notice Following the award of a contract, all proposals are public information and subject to release. If the PUCT receives a request for any information in connection with this RFP, the PUCT will follow the requirements of the Texas Public Information Act (Texas Government Code Chapter 552). This includes notifying Proposers and the Office of the Attorney General if information that the PUCT knows Proposer considers to be confidential is requested under the Texas Public Information Act. The PUCT assumes no obligation to assert legal arguments on behalf of a Proposer. The PUCT may release portions of proposals and other information provided by a Proposer without notifying the Proposer if the information is not conspicuously marked “confidential” on each page.

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

Information in PUCT contracts is public information unless it is made confidential by law. See Texas Government Code § 552.022(a)(3).

7.D. Publicity Proposers are prohibited from making any public disclosures or news releases pertaining to this RFP, any resulting contract, or any results or findings based on information provided or obtained to fulfill the requirements of this RFP or resulting contract. This prohibition may only be waived by prior written approval of the PUCT for the specific disclosure or news release.

7.E. No Proposal Costs Reimbursed Neither the PUCT nor the State of Texas will reimburse any Proposer for any costs related to:

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

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

Proposers must specify any requested changes to the standard general terms and conditions in Attachment A to this RFP in their proposals and include the requested changes as a separate section in the submitted table of contents.

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

ATTACHMENT A – Proposed Standard General Terms and Conditions

Article 1. DEFINITIONS When used in this contract, the following terms have the following meanings:

(1) Business day means a day other than a: (i) Saturday or Sunday; (ii) national holiday under Texas Government Code § 662.003(a); or (iii) state holiday under Texas Government Code § 662.003(b). Unless described as a ‘business day’, a ‘day’ means a calendar day.

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

(3) Contractor means the person, organization, business entity, or other entity that is selected for the contract contemplated by RFP Number 473-26-00005.

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

(5) Proposer means a person, organization, business entity, or other entity that submits a proposal in response to RFP Number 473-26-00005.

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

(7) Services means any and all services performed and any and all goods and products delivered by Contractor as specified in Attachment A, Statement of Work.

(8) Statement of Work means the description of goods and services to be provided, as specified in Attachment A.

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

(10) Vendor Performance Tracking System” means the system the Texas Comptroller of Public Accounts is required to provide under Texas Government Code § 2262.055 for evaluating vendor performance. The Vendor Performance Tracking System is located at: http://txsmartbuy.com/vpts.

(11) Week means seven consecutive calendar days.

Article 2. COMPENSATION

2.1 Compensation. Contractor agrees to provide all Services (including labor, expenses, and any other services) described in Attachment A, Statement of Work, as follows [insert summary of payment terms]. The total compensation under this contract may not exceed [insert amount].

Contractor understands that the…