RFO# 304-14-0539PS
Texas Comptroller of Public Accounts Susan Combs, Comptroller
Request for Offers Enterprise Content Management Solution RFO # 304-14-0539PS November 13, 2013
Request for Offers: Enterprise Content Management Solution Page 1 of 65
RFO# 304-14-0539PS
Table of Contents I.
Summary .............................................................................................................................................................................. 3
II.
Specifications ....................................................................................................................................................................... 5 A. Introduction .................................................................................................................................................................. 5 B. Overview ....................................................................................................................................................................... 5 C. Definitions and Acronyms ........................................................................................................................................... 6 D. Scope of Work .............................................................................................................................................................. 9 E. Independent Contractor ............................................................................................................................................ 26 F. Warranty of Performance ......................................................................................................................................... 26 G. Use of State Property ................................................................................................................................................. 26 H. Disclosure of Security Breach ................................................................................................................................... 26 I.
Insurance and Bonds ................................................................................................................................................. 27
J.
Criminal Conviction Certification ............................................................................................................................ 27
K. Purchase Order Term................................................................................................................................................ 28 L. Software Acceptance Test, ECM Solution Acceptance Criteria ............................................................................ 28 M. Payments ..................................................................................................................................................................... 29 N. Discounts ..................................................................................................................................................................... 29 O. Addition and Deletion ................................................................................................................................................ 29 P. HUB Participation ..................................................................................................................................................... 29 Q. Respondent Documents ............................................................................................................................................. 30 R. Respondent Exceptions .............................................................................................................................................. 30 S.
Electronic Copy of Respondent’s Offer ................................................................................................................... 30
T. Liquidated Damages .................................................................................................................................................. 30 III.
Offer Requirements .......................................................................................................................................................... 31 A. Number of Copies Required ....................................................................................................................................... 31 B. Format of Offer ........................................................................................................................................................... 31
IV.
Mandatory Pricing Form ................................................................................................................................................. 35
V.
Standard Terms and Conditions ...................................................................................................................................... 37
VI.
Execution of Offer ............................................................................................................................................................. 51
VII.
Conflict of Interest/Disclosures ........................................................................................................................................ 54
VIII.
Nondisclosure Agreement ................................................................................................................................................. 55
IX.
Confidential Treatment of Information Acknowledgement .......................................................................................... 56
X.
HUB Subcontracting Plan Information .......................................................................................................................... 57
Appendix A: Appendix B: Appendix C: Appendix D: Appendix E: Appendix F:
Current State Assessment Findings Future State Assessment Findings Image Counts Document Classes and Index Fields CPA Records Retention Schedule Document Processing Peak Periods Request for Offers: Enterprise Content Management Solution Page 2 of 65
RFO# 304-14-0539PS
I.
Summary
1. Type of Solicitation:
Request for Offer (RFO)
2. Issuing Office:
Texas Comptroller of Public Accounts Purchasing Section Room G-2, Attn: RFO 304-14-0539PS 111 E. 17th Street Austin, Texas 78774 OR
Texas Comptroller of Public Accounts Purchasing Section Attn: RFO 304-14-0539PS P O Box 12050 Austin, Texas 78711-2050
3. Responses Requested From:
Qualified Vendors
4. Additional Requirements/Qualifications:
N/A
5. Type:
Enterprise Content Management Solution
6. Responses to RFO:
Sealed Competitive Offers
7. Deadline for Offers:
In Issuing Office No Later Than: January 8, 2014; 2:00 p.m., Central Zone Time
8. Contract, if any, resulting from RFO:
Purchase Order (PO) or Contract; Will Incorporate RFO
9. Initial PO Term:
Date of Award through August 31, 2015
10. CPA Optional Terms:
September 1, 2015 through August 31, 2016, September 1, 2016 through August 31, 2017, and September 1, 2017 through August 31, 2018.
11. CPA Contact Person for this RFO:
Pamela Sneed, CTPM, CTCM Email:
[email protected]
12. Faxed Offers:
Not Acceptable
13. Pre-Offer Conference:
N/A
14. Pre-Offer Inspection:
N/A
15. Questions and Answers:
Questions regarding this RFO must be in writing and must be submitted to CPA’s Contact Person specified above in Part 11, no later than December 6, 2013; 2:00 p.m. CZT. Telephone inquiries will not be accepted. Questions may be submitted by email. CPA intends to post answers to these questions on the Electronic State Business Daily on December 10, 2013, or as soon thereafter as practical. Respondents are solely responsible for verifying CPA’s timely receipt of their questions by the deadline specified above.
16. Letters of Intent to Submit an Offer:
N/A
17. Respondent Presentations:
CPA may request that Top Scoring Respondents present an overview of the Services proposed in their Offers. If presentations are requested, CPA shall notify the Top Scoring Respondents. The presentations will be performed at the CPA offices located in Austin, Texas; dates and times to be arranged. The number of Top Scoring Respondents will be determined by CPA in its sole discretion.
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RFO# 304-14-0539PS 18. Evaluation of Offers under Best Value Standard (Section 2157.003, Texas Gov’t Code): Criteria Costs Respondent’s Past Performance, Qualifications & Experience Technical and Business Process Solution Total:
Weight 40% 20% 40% 100%
The factors listed in Sections 2155.074, 2155.144, 2156.007, and 2157.003, Texas Government Code shall also be considered in making an award when specified. 19. Anticipated Schedule of Events: CPA currently anticipates that the selection of Successful Respondent and award of any Purchase Order resulting from this RFO will proceed according to the following schedule: November 13, 2013
Issuance of RFO
December 6, 2013
Deadline for Submission of Questions (2:00 p.m., CZT)
December 10, 2013
Release of Official Responses to Questions (or as soon thereafter as practical) Deadline for Submission of Offers (2:00 p.m. CZT) (Late Offers will not be considered)
January 8, 2014
CPA reserves the right, in its sole discretion, to change the dates listed for the anticipated schedule of events. Notices of changes to items directly impacting the original RFO or Offer process will be posted on the Electronic State Business Daily (ESBD) located at: http://esbd.cpa.state.tx.us. Any amendment to this solicitation will be posted on the ESBD as a RFO Addendum. Respondents should check the ESBD frequently for updates. It is the responsibility of interested parties to periodically check the ESBD for updates to the RFO prior to submitting an Offer. Respondents are solely responsible for verifying CPA’s receipt of their questions, if applicable, and Offers by the deadlines specified above. 20. Building Security: Due to building access procedures at CPA’s LBJ State Office Building location, Respondent is encouraged to allow additional time to obtain a visitor’s pass in order to deliver its Offer to the Issuing Office. Delivery persons must arrange for access to the Issuing Office in advance with the CPA Security Desk on the ground floor of the LBJ Building. Delivery persons should arrive at the CPA Security Desk no later than forty-five (45) minutes before the deadline in order to ensure escort and delivery prior to the deadline; however, regardless of arrival time, Respondent is solely responsible for ensuring delivery of its Offer to and receipt of Offer in the Issuing Office by the deadline in order to be considered. Delivery persons must carry and present a valid and current photo identification card to the Security Desk in order to receive an escort. Offers arriving at the CPA Security Desk which are not in sealed and properly labeled boxes or which arrive after the deadline under this RFO will not be accepted by CPA and the delivery person will not be allowed to deliver them to the Issuing Office or leave them with CPA. 21. A response (Offer) to this Request for Offer (RFO) is an offer to contract based upon the terms, conditions, and specifications contained herein. Offers do not become contracts until they are accepted through a Purchase Order (PO). Any contract resulting from this RFO shall be governed, construed, and interpreted under the laws of the State of Texas. Any legal actions must be filed in Travis County, Texas.
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RFO# 304-14-0539PS
II.
Specifications
A. Introduction The Texas Comptroller of Public Accounts (CPA), an agency of the State of Texas, issues this Request For Offer (RFO) to solicit pricing from qualified system integrators for an Enterprise Content Management Solution comprised of hardware, software and services as described in this RFO (“ECM Solution” or “Services”). CPA’s objective is to obtain an ECM Solution that represents the best value for CPA and the State of Texas according to the terms and conditions of this RFO. The ECM Solution requested in this RFO represents “Phase 2” of a Project that was divided into the following service categories:
Phase 1: Documenting CPA’s existing ECMS architecture, reviewing CPA’s existing requirements and business processes, gathering future ECMS requirements and business processes, documenting a future ECMS architecture based on industry best practices; and Phase 2: Implementation services associated with the gathered requirements from Phase 1.
The awarded Vendor and personnel of the Phase 1 services contract are not eligible to participate in this procurement. CPA reserves the right not to award a Purchase Order (PO) for the performance of all or part of the requirements of this RFO. This RFO is not exclusive and CPA reserves the right to issue additional solicitations regarding the Services described in this RFO or similar services at any time. All Respondents are encouraged to offer their best pricing at all times. All costs associated with the Services, as defined by this RFO, must be included in the Respondent’s Offer. Offers that do not meet all of the requirements or contain all of the required documentation specified in this RFO will be rejected as non-responsive. If Respondent’s proposed ECM Solution is currently available under Respondent’s contract with the Texas Department of Information Resources (DIR), Respondent should notate the DIR Contract Number in its Offer. B. Overview B.1 Background An Enterprise Content Management System (“ECMS”) is the strategies, methods and tools used to capture, manage, store, preserve and deliver content and documents related to organizational processes. An ECMS is used by CPA to capture taxpayer tax data, transmit files to the mainframe, capture taxpayer payment information, create deposit vouchers for the financial systems, create deposit slips for treasury applications, store the images and send files to the mainframe for processing to the taxpayer account. CPA’s current ECMS configuration consists of Kodak Scanners, i1860 (high speed) and i780 (desktop) models, to acquire images, Vista Capture and Kofax Software to manage and deliver data, two (2) FileNet Image Repositories to store and preserve data, and Business Process Framework to manage Unclaimed Property claim workflows. Based upon the tax type and the form, the data is routed to either the Vista Capture Software or Kofax (9.0). Vista Capture is Key from Paper. Kofax is used for standardized forms and routes the image for validation or quality assurance as required. Images are then exported or imported into the repository. The image repositories, IBM FileNet Image Services (4.0) and IBM FileNet P8 (3.5.2), are managed by IBM Content Federation Services (CFS). Several customized applications and stored procedures exist with the current solution to facilitate communications between the different products. The current platform consists of multiple virtual windows servers, standalone windows servers, SQL databases, Oracle databases, AIX servers, and a Storage Area Network (SAN). Due to security concerns related to detailed diagrams of the existing CPA production imaging system, this information will only be provided after Respondent execution of a Non-Disclosure Agreement. CPA recently engaged a third-party company to assess and document the current ECMS hardware and software architecture, document ECMS requirements and define a future-state architecture based on industry best practices. The Assessment Findings details can be referenced in Appendices A and B of this RFO. B.2 Assessment Findings B.2.1 Current State The current-state assessment was conducted over a six week time frame spanning from February to April, 2013. The overall findings concluded that the current ECMS related processes (both technology aspects and business process) present challenges Request for Offers: Enterprise Content Management Solution Page 5 of 65
RFO# 304-14-0539PS to CPA resulting from age, configuration and implementation surrounding its deployment. The current state assessment details can be referenced in Appendix A. B.2.2 Future State The future state assessment was conducted over a six week timeframe spanning from April to May of 2013. CPA has determined that a well-developed ECMS platform will incorporate user division’s requirements by providing capabilities that will positively impact the majority of operations and services. The future state assessment details can be referenced in Appendix B. B.3 Appendices This RFO includes the following Appendices: Appendix A: Current State Assessment Findings Appendix B: Future State Assessment Findings Appendix C: Image Counts Appendix D: Document Classes and Index Fields Appendix E: CPA Records Retention Schedule Appendix F: Document Processing Peak Periods C. Definitions and Acronyms
Amended Reports. Report developed by field Enforcement personnel that allows for the validation of any change crediting the taxpayer return by the audit group. Workflow driven authorization is required. Enforcement utilizes mobile devices to develop and store reports.
CZT. Central Zone Time.
Cloud Computing Environment (CCE). Cloud computing is a general term for anything that involves delivering hosted services over the Internet. These services are broadly divided into three categories: Infrastructure-as-a-Service (IaaS), Platform-as-a-Service (PaaS) and Software-as-a-Service (SaaS).
Commercial-Off-The-Shelf. Pre-built, packaged software solution for businesses. COTS products are designed to be implemented easily into existing systems without the need for customization.
Confidential Information. Data that must be protected from unauthorized disclosure or public release based on state or federal law or regulation, judicial rulings, or contractual agreements. Such data may include, but is not limited to, social security numbers, taxpayer identification numbers, employer identification numbers, credit card numbers, personal identifying information, sensitive personal information (SPI), and personal medical information.
Destruction Reports. A report to facilitate the destruction of documents processed in Revenue Processing that has met the retention period on mainframe and the repository system.
Documentation. The complete set of operating manuals necessary to enable CPA to properly install and use the Licensed Software, including but not limited to all updates, revisions and corrections to the manual.
Digital Rights Management (DRM). Technologies used by hardware manufacturers, publishers, copyright holders and individuals with the intent to control the use of digital content and devices after sale.
ePHI DATA - Protected Health Information. Information that is covered under the Health Insurance Portability and Accountability Act of 1996 (HIPAA) security regulations. Information includes but is not limited to patient names, addresses, Social Security numbers, email addresses, fingerprints or photographic images and past medical records or payment information.
ECMS. Enterprise Content Management System. As used in this RFO, the term ECMS refers to CPA’s current system.
ECM Solution (Services). Enterprise Content Management Solution. As used in this RFO, the term ECM Solution refers to all of the Licensed Software, software fees, Maintenance and Technical Support, Software Updates, upgrades, enhancements, patches, fixes, Documentation, and other items listed in this Section and the RFO. These Services must Request for Offers: Enterprise Content Management Solution Page 6 of 65
RFO# 304-14-0539PS include, but not be limited to, shipping charges, freight charges, and any other costs associated with Successful Respondent’s performance under any PO resulting from this RFO.
Error Corrections: The correction of software malfunctions due to development/coding issues that prevent the software program from operating as designed.
FedRAMP Certification. The Federal Risk and Authorization Management Program (FedRAMP) is a government-wide program that provides a standardized approach to security assessment, authorization and continuous monitoring for cloud products and services. See http://www.gsa.gov/portal/category/102371.
FIPS 140-2 (Federal Information Processing Standard 140-2). See http://csrc.nist.gov/publications/fips/fips1402/fips1402.pdf.
Fiscal Year. The State of Texas and CPA’s fiscal year that begins on September 1 and ends on August 31.
FTI DATA. Federal Tax Information and Return Information that includes, but is not limited to, the following: (1) information extracted from a return, including names of dependents, or the location of business; (2) the taxpayer’s name, address and identification number; and (3) information collected by the IRS about any person’s tax affairs, even if identifiers like name, address, and identification number are deleted.
HIPAA Security Rule. The HIPAA Security Rule establishes national standards to protect individuals’ electronic personal health information that is created, received, used or maintained by a covered entity. The HIPAA Security Rule requires appropriate administrative, physical and technical safeguards to ensure the confidentiality, integrity, and security of electronic protected health information. See http://www.hhs.gov/ocr/privacy/hipaa/administrative/securityrule/.
IBM Content Federation Services (CFS). A service that runs on a P8 server to synchronize data between P8 and Image Services. This allows the P8 Workplace to display images from either system.
Inquirable General Document Index (IGDI). The CICS facility for retaining an inquirable record of every transaction entered through batch, and most CICS records entered online. IGDI contributes its files to MTIGDI for Batch, MXIGDI for online, and Event History for all transactions entered to the database, and includes a DLN or Reference Number through which microfilmed, imaged or direct-entered input may be retrieved.
IP Rights. All intellectual property rights, including copyrights, patents, trade secrets, trademarks and other proprietary rights that are embedded in or used in connection with the Licensed Software and the Documentation.
IRS Publication 1075. Tax Information Security Guidelines for Federal, State and Local Agencies. See http://www.irs.gov/pub/irs-pdf/p1075.pdf.
Licensed Software. The version of the program(s) provided under this RFO in Object Code form, any released corrections, Software Updates and Software Upgrades of such version. Licensed Software comes with full title, ownership and IP Rights, whichever is applicable, to the items provided under this RFO.
Maintenance and Technical Support. Telephone and on-line services, including but not limited to, error corrections, updates, upgrades, fixes, patches, enhancements, extensions, releases, latest features, performance improvements, documentation and Technical Library CD series, if applicable.
Object Code. The machine code that can be directly executed by a computer’s central processing unit.
Personal Identifying Information. Information that alone or in conjunction with other information identifies an individual, including an individual's: (A) name, social security number, date of birth, or government-issued identification number; (B) mother’s maiden name; (C) unique biometric data, including the individual's fingerprint, voice print and retina or iris image; (D) unique electronic identification number, address, or routing code; and (E) telecommunication access device as defined by Section 32.51, Penal Code.
PIRs. Public Information Report listing corporate officers for Franchise Tax purposes.
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RFO# 304-14-0539PS Risk Management Framework (RMF). The NIST Risk Management Framework (RMF) provides a disciplined and structured process that integrates information security and risk management activities into the system development life cycle. See http://csrc.nist.gov/publications/nistpubs/800-37-rev1/sp800-37-rev1-final.pdf.
Sensitive Information. Sensitive data are not protected by law from being disclosed or released under the Texas Public Information Act; however, they still require an elevated level of protection. Some information maintained by the CPA is deemed sensitive, as determined by agency standards and risk management decisions. Examples of “Sensitive Information” include, but are not limited to, the following: o CPA operational information o CPA personnel records o CPA information security procedures o CPA internal communications o Comments
Sensitive Personal Information (SPI). As defined by the Texas Business and Commerce Code, Section 521.002(a)(2), “sensitive personal information” means: o An individual’s first name or first initial and last name in combination with any one or more of the following items, if the name and the items are not encrypted: social security number; driver’s license number or government-issued identification number; or account number or credit or debit card number in combination with any required security code, access code, or password that would permit access to an individual’s financial account; or Information that identifies an individual and relates to: the physical or mental health or condition of the individual; the provision of health care to the individual; or payment for the provision of health care to the individual. o The term “sensitive personal information” does not include publicly available information that is lawfully made available to the public from the federal government or a state or local government. See http://www.statutes.legis.state.tx.us/Docs/BC/htm/BC.521.htm.
Software Acceptance Test. CPA’s trial run of new software programs or sets of software programs provided under this RFO, to determine whether the software program(s) meet the minimum performance standards and stated functionality in the RFO, Successful Respondent’s Offer and the Original Software Manufacturer’s published or promotional material.
Software Enhancement/Release: A change to a software product, intended to increase functionality, productivity, interface and/or compatibility.
Software Patch/Fix: Addition to a piece of code, usually as an immediate remedy to an existing software error or defect. A software patch or fix is usually a temporary measure until a more permanent solution is implemented with a software enhancement, release and/or version update.
Software Update(s). Any (a) commercially released versions of the Licensed Software that Successful Respondent releases after the Effective Date of any PO resulting from this RFO with its version number designation increased by tenths or greater, (b) any migration aids for users migrating from the prior version of the Licensed Software and (c) any Documentation related to either (a) or (b). Software Update(s) include any subsequent variation of the Licensed Software, which provides essentially the same functionality and accomplished substantially the same tasks as the Licensed Software but which Original Software Manufacturer releases under a different name or label.
Software Upgrade. Periodic published software bulletins and software upgrades at no additional charge, and any other services that ordinarily would be provided under Successful Respondent standard software service.
SSAE16 SOC 2 Type 2. Statement on Standards for Attestation Engagements (SSAE) No. 16 Service Organization Control (SOC) Reports. Reports include a description of the system. SOC 2 reports focus on controls at a service organization relevant to Security, Availability, Processing Integrity, Confidentiality, or Privacy. Type 2 reports include an opinion on whether information security controls were operating effectively; controls that are operating effectively achieve the control objectives they were intended to achieve.
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RFO# 304-14-0539PS Threat. A threat is any circumstance or event with the potential to adversely impact organizational operations and assets, individuals, and other organizations through an information system via unauthorized access, destruction, disclosure, or modification of information, and/or denial of service. Vulnerability. Vulnerability is a weakness in an information system, system security procedure, internal control, or implementation that could be exploited by a threat source. In general, risks materialize as a result of a series of threat events, each of which takes advantage of one or more vulnerabilities.
D. Scope of Work D.0 General CPA is seeking a fully operational, fully integrated ECM Solution (including tools used to capture, manage, store, preserve and deliver content and documents related to organizational processes and include all software, hardware, configuration, interfaces and services necessary to implement a turnkey ECM Solution. CPA is interested in Commercial-Off-The-Shelf (COTS) Software running on either on-premise or via a hosted off-premise (“cloud”) solution assuming that all security and operational concerns are met or exceeded. Respondent must be authorized to sell all the system components as well as certified to install, configure and provide training for its proposed ECM Solution. Successful Respondent shall work with CPA’s business units and Innovation and Technology Division staff to modify business processes as needed to make more efficient the document processing workflow based on assessment future state findings outlined in Appendix B. CPA is seeking a qualified Respondent with the organizational resources and experience in the implementation of an enterprise content management system similar to the scope and scale of the ECM Solution described in this RFO. Successful Respondent shall provide, at a minimum, the following Services:
Project Management (See Part D.1); Technical Requirements (See Part D.2); Security Requirements (See Part D.3) Software Minimum Functional Requirements (See Part D.4); Business Application and User Interfaces (See Part D.5); Implementation Services (See Part D.6); Testing Services (See Part D.7); Deployment (Go Live) Support (See Part D.8); Maintenance and Technical Support (See Part D.9); and Training (See Part D.10).
In its Offer, Respondent must provide a proposal for a future ECMS architecture inclusive of production, acceptance and development environments that consists of a single integrated product suite per environment capable of meeting CPA’s business processes and security, communication, licensing and performance requirements. All costs associated with the ECM Solution must be included in the Respondent’s Offer on the Mandatory Pricing Form included in Section V of this RFO. D.1 Project Management D.1.0 General Successful Respondent shall be responsible for providing key project management activities as well as developing and maintaining the project controls, standards, and procedures for managing the project. All plans and reports developed by Successful Respondent shall be reviewed and approved by CPA prior to implementation. In its Offer, Respondent must fully describe the tasks, schedule, and resources required to install, configure and deploy the proposed ECM Solution. Resources considered in this description must include but are not limited to specialized information technology and communications personnel, hardware, software and infrastructure resources; specialized tools; and ancillary goods. Respondent must provide its detailed methodology and approach to address Project Management, Resource Planning, Status Reporting, Change Management, Issue Resolution and Risk Management activities. D.1.1
Project Management Approach In its Offer, Respondent must describe its approach and strategies for planning, monitoring, controlling, and reporting project performance across all elements within the scope of the ECM Solution to meet or exceed the goals and requirements of this RFO. Respondent must describe how it will coordinate its project management efforts and Request for Offers: Enterprise Content Management Solution Page 9 of 65
RFO# 304-14-0539PS reporting with the efforts of the CPA Project Management Office (PMO). Respondent must provide a detailed project work plan and schedule for this project presented in a Gantt chart format identifying, at a minimum, the following: a) b) c) d) e) f)
A work breakdown structure (including requirements approach and design), Project milestones, Task dependencies, Task durations, When deliverables will be presented for acceptance, and Acceptance timeframes.
D.1.2
Resource Planning Successful Respondent shall be responsible for ensuring that the project is adequately staffed throughout the entire project (e.g. Staffing Plan). Successful Respondent may not change or replace any of its employees assigned to the ECM Solution without prior approval of the CPA. Successful Respondent shall ensure that all its employees are properly trained, certified, or licensed as appropriate and are properly qualified by education and experience to perform the required work.
D.1.3
Status Reporting Successful Respondent’s Project Manager shall be responsible for providing weekly status reports using provided templates and shall participate in status meetings with CPA PMO. CPA will use the status reports to monitor activity and to detect potential problems or delays. Topics to be covered, at a minimum, include: a)
A listing of significant departures from the Project Plan with explanations of causes, effects on other areas, and strategies to achieve realignment; b) A listing of tasks completed since the last report; c) Tasks that were delayed and reasons for delay, with expected revised completion date; d) Planned activities for the next scheduled period; e) Summary of major concerns or issues encountered, proposed resolutions, and actual resolutions; and f) Any other topics that require attention. Successful Respondent’s weekly status reports shall serve as the agenda for any project status meetings. D.1.4
Change Management In its Offer, Respondent must describe its approach for managing scope, budget, and schedule. This change management approach should include how potential revisions to scope, budget, or schedule will be identified, recorded, reviewed and potentially approved by CPA.
D.1.5
Issue Resolution Successful Respondent shall be responsible for issue identification, tracking and resolution throughout the entire project. In its Offer, Respondent must describe its proposed process and resolution approach (Issue Resolution Protocol) for collaboratively resolving project issues with CPA PMO. This protocol shall address the following activities including the responsible parties and specific steps to be taken on issues or disputes arising during the project: a) b) c) d) e) f)
Issue identification; Issue tracking; Issue review and prioritization; Issue analysis; Issue resolution; and Issue escalation.
The Issue Resolution Protocol may also include the use of any tools or techniques that are integrated into configuration management, software change control and the overall project management methodology. D.1.6
Risk Management Successful Respondent shall be responsible for identifying and assessing potential risks of the project, tracking those using provided templates, and identifying and managing CPA approved actions to avoid, transfer, mitigate, or manage those risks throughout the life of the project.
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RFO# 304-14-0539PS D.2 Technical Requirements D.2.0 Overall Imaging Technology Successful Respondent’s Licensed Software for the ECM Solution may run on-premise or off-premise at a hosted location. For an on-premise ECM Solution, CPA plans to run the Licensed Software in a virtual server environment. Successful Respondent’s Licensed Software shall meet, at a minimum, the Software Minimum Functional Requirements which are further described in Part D. 4 of Section II of this RFO. In its Offer, Respondent must provide a detailed, itemized list of all the estimated hardware and Licensed Software components required for successful implementation of the ECM Solution. In its Offer, Respondent must specify the minimum requirements for its Licensed Software and describe, in detail, the licensing model (e.g., perpetual license, term license, or subscription based), licenses type (on-premise or hosted), functionality, as well as the number of licenses included in the proposed ECM Solution. In its Offer, Respondent must describe its proposed technology architecture and software required to effectively implement, operate and maintain the ECM Solution in accordance with the requirements outlined in Parts D. 2 through D.5 of Section II. In its Offer, Respondent must also describe how both the hardware and software will be deployed, installed and configured to meet the requirements of this RFO. Respondent must address the following technical categories of its ECM Solution: a) b) c) d) e) f) g) h) i) j) k)
Overall Imaging Technology Security Capacity Productivity Performance Availability Configurability Usability Interoperability Maintainability Upgradeability Disaster Recovery and Recoverability
In its Offer, Respondent must also describe how its ECM Solution will meet the following business metrics categories: a) b) c) d) e)
Document volume/throughput constraints Read Rates – Hardware User Volume Failover Recovery Metrics High Availability - 99.99% Uptime
D.2.1 Hardware Minimum Requirements D.2.1.1 Minimum PC Requirements Successful Respondent’s ECM Solution must integrate with the following technical requirements for personal computers:
Operating System: Windows7 64 bit or higher Chipset: Intel® Q77 Express Processor/Clock Speed: Intel® Core™ i7-3770 Processor, 3.9 GHz turbo boost frequency, 8 MB cache, 4 cores, 8 threads, Intel vPro or equal Memory: 8GB DDR3-1600 DIMM (2x4GB) Hard Drive: 256 GB 3.5 1st SED SSD Optical Drive: SuperMulti ODD Network Card: Intel 82579LM GbE Integrated Network Connection Audio: SRS Premium Sound Pro Video/Graphics: NVIDIA NVS 310 PCIe x16 1st Card (no cbl) Speakers: One Integrated Speaker Wireless Networking: NONE Request for Offers: Enterprise Content Management Solution Page 11 of 65
RFO# 304-14-0539PS
Keyboard: HP USB Standard Keyboard Mouse: HP USB Optical BLK 3-Button Scroll Mouse Energy Star & EPEAT: No Estar Label Chassis: High Efficiency Chassis Power Supply: High Efficiency 320w Power Supply
D.2.1.2 Minimum Server Requirements Respondent may propose new server hardware in its Offer if such hardware is required to ensure maximum functionality and performance of the Licensed Software. Successful Respondent’s ECM Solution shall integrate with following software running on the servers as well as the specifications listed in Parts D.2.1.3 and D.2.1.4.
Operating System: Microsoft Windows Server 2008 R2 64-bit Enterprise Edition (Virtual server using the VMware 5.1+hypervisor) Memory: 2GB Processor: Intel Xeon processor or equivalent UINX AIX 7.1 Linux SLES 11.x RedHat 6
CPA will provide all Microsoft software licenses for both PCs and Servers to include but not limited to, user CALs and operating system licenses. D.2.1.3 Minimum Desktop Scanner Requirements Successful Respondent’s ECM Solution must the following technical requirements for desktop scanners:
Throughput Speeds: at least 100 ppm (letter size, 300 dpi) Scanning Technology: duplex, color, grayscale or black and white Output Resolution: at least B&W 200/300 dpi; Color/grayscale 150/200/300 dpi Maximum Document Size: 11” x 17” Minimum Document Size: 2.5” x 5” Paper Thickness and Weight: 12lb to 110lb Multi-feed Detection: ability to sense multiple paper feeds File Formats: JPEG (Color and grayscale images); TIFF (for black and white images) Imprinter: optional Supported Operating System: Windows 7 (64-bit) or higher
D.2.1.4 Minimum Enterprise Scanner Requirements Successful Respondent’s ECM Solution must the following technical requirements for enterprise scanners:
Throughput Speeds: at least 120 ppm (letter size, 300 dpi) Scanning Technology: duplex, color, grayscale or black and white Output Resolution: at least B&W 200/300/400 dpi; Color/grayscale 100/150/200/300 dpi Maximum Document Size: 11” x 17” Minimum Document Size: 2.5” x 2.5” Paper Thickness and Weight: 12lb to 110lb Multi-feed Detection: ability to sense multiple paper feeds File Formats: JPEG (Color and grayscale images); TIFF (for black and white images) Imprinter: ability to do pre-scan or optional post-scan imprinting Supported Operating System: Windows 7 (64-bit) or higher Rotation: ability to rotate at 90 degree intervals Ability to sort checks from documents
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RFO# 304-14-0539PS D.3 Security Requirements D.3.0 Overview Successful Respondent’s ECM Solution shall adhere to the CPA’s security policies and guidelines for both onpremise and off-premise ECM Solution. CPA’s information security requirements include appropriate state and federal regulations, statutes and directives as provided below. D.3.1
Security for Documents Successful Respondent’s ECM Solution shall incorporate Digital Rights Management (DRM) capability for storing individual documents as follows: Security access and permissions on individual documents and content; Control of document viewing, copying, printing, and altering; Electronic redaction; Ensuring access to specific content not otherwise redacted; Shared annotation functionality for multiple reviewers; Auditing of: a) data and user for editing / annotation activities b) document flow (i.e., tracking document movement within the information system); and DRM shall facilitate document tagging (i.e., metadata labeling) within documents for specific data categories. DRM shall allow multiple tags per document including but not limited to: a) Public Information subject to disclosure under the Texas Public Information Act; and b) Private/Confidential which includes: Information not subject to disclosure under the Texas Public Information Act FTI Data- Federal Tax Information ePHI - electronic Protected Health Information PII - Personally Identifiable Information SPI - Sensitive Personal Information State taxpayer information e.g., Franchise taxes, taxpayer private information CPA work products and copies of day to day communications CPA Sensitive Information CPA Confidential Information (inclusive of CPA security information i.e. diagrams, security artifacts, etc.) Litigation “Hold” information Attorney / Client privileged information Other state agency information type collected by CPA Information restricted to specific user communities within CPA
D.3.2
Local Document Security The ECM Solution shall facilitate the confidentiality and integrity of documents retrieved / downloaded to user computing environment (e.g., laptop, desktop, tablet, etc.) through local FIPS 140-2 compliant encryption methodologies (e.g., Microsoft Encrypted File System / EFS).
D.3.3
Federal Regulatory Requirements Successful Respondent’s ECM Solution shall be compliant with the following federal regulatory requirements: a) IRS Publication 1075 and IRS Safeguard; and b) HIPAA Security Rule.
D.3.4
Encryption Requirements Successful Respondent’s ECM Solution shall meet the following encryption requirements: a) Solution shall encrypt all data at rest in accordance with FIPS 140-2; b) Customer shall control/manage encryption/decryption keys; and c) Solution shall encrypt all data in motion via Secure Sockets Layer (SSL) using Transport Layer Security (TLS).
D.3.5
Solution Data Availability / Backup Requirements Successful Respondent’s ECM Solution shall meet or exceed the following data availability and backup requirements: a) Solution shall provide Recovery Time Objective (RTO) of 24 hours; and b) Cloud computing environments (CCE) solutions shall meet RTO via failover to alternate data sites. Request for Offers: Enterprise Content Management Solution Page 13 of 65
RFO# 304-14-0539PS D.3.6
Solution Using a Cloud Computing Environment (CCE) If Respondent proposes an ECM Solution that uses CCE, then Respondent’s solution must be capable of meeting the following CCE requirements: Facilitate CPA’s information security risk assessment by providing the following documentation: a) SSAE 16 SOC 2 Type 2 independent audit of Cloud Service Provider (CSP) policies and standards; b) FedRAMP certification or certification in process (with appropriate documentation); c) Independent party penetration testing summary; and d) Plan of Action and Milestones (POAM) pertaining to risks requiring resolution or remediation. Access and data controls safeguards: a) User access is secured via SSL connection; b) All data remains within the continental United States; c) All backup data remains within the continental United States; d) Service provider staff with access to customer data shall undergo a law enforcement background check; e) Secure erasure of media prior to reuse or disposal in accordance with NIST SP 800-88 Rev 1 http://csrc.nist.gov/publications/drafts/800-88-rev1/sp800_88_r1_draft.pdf ; and f) Logical separation between data owned by different customers.
D.3.7
Audit Facilitation Successful Respondent’s ECM Solution shall facilitate information system security control auditing though alignment with NIST Risk Management Framework (RMF) including description of controls and assessment of controls as either met, not met, or not applicable.
D.4 Software Minimum Functional Requirements D.4.0 System Standard of Performance Successful Respondent’s ECM Solution shall meet or exceed the following imaging standards of performance: a) b) c) d) e) f) g) h) i) j)
System performance must be maintained during all page loading, document scanning, document manipulation as well as all user navigation within the document repository; System must be sized to accommodate at least current daily image counts and repository size (see Appendix C); System must be sized to accommodate at least current number of workstations (staff) for document imaging and retrieval; System must be able to scan documents at a minimum rate of 120 pages per minute; Document Repository should be easily searchable by various criteria; Imaged documents should be searchable by the Batch ID; Imaged documents should be searchable in the system at the document set level; Perform field validations (length, list, or structure based). Validations are not based on Master Data from a separate system; Perform page level balancing; and Faxes should be electronically exported into the repository via an email client.
In its Offer, Respondent must describe how its ECM Solution complies with the system requirements in this RFO based on the following categories:
Document Capture (See Part D.4.1); Document Recognition (See Part D.4.2); Image Enhancements (See Part D.4.3); Workflow (See Part D.4.4); Document Management (See Part D.4.5); Records Version Management (See Part D.4.6); Records Retention (See Part D.4.7); Search Capabilities (See Part D.4.8); Administration (See Part D.4.9); General Business System Process (See Part D.4.10); and Reporting (See Part D.4.11).
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D.4.1
RFO# 304-14-0539PS Document Capture Successful Respondent’s ECM Solution shall be able to perform and/or meet the following document capture requirements: a) b) c) d) e) f) g) h) i) j) k) l) m) n) o) p) q) r)
Directly export electronic documents and email attachments into associated workflow queues; Directly export captured screenshots into the document repository; Export e-mail attachments and content from other electronic sources into the document repository; Associate a screenshot or supplementary information to a previously scanned document; Provide a page count feature to indicate the progress of a scan job; Scanner operation without the use of separator sheets; Scan images and colored documents; A workflow process to assure checks are physically sorted by the scanner from the return post scanning for security and destruction purposes; Capture and utilize Magnetic Ink Character Recognition (MICR) data from checks utilizing MICR readers; Document page limit >10,000; Image the front and back of checks and other documents such as tax returns, payment coupons, taxpayer communications, etc.; Image envelopes; Scan photographs and pictures for retention purposes; Rescan an individual page from a document set without rescanning the entire document set and associate the rescan with the original document set; Scan multiple documents per batch or scan on a transactional basis; Access to scanners or multi-function devices for local scanning of documents in CPA Field Offices; Scan documents up to 11” X 17” dimensions; and Detect when two or more sheets are fed at once preventing the system from missing a document during scanning.
For further information about Document Processing Peak Periods, refer to Appendix F. D.4.2
Document Recognition Successful Respondent’s ECM Solution shall be able to perform and/or meet the following document recognition requirements: a) b) c) d) e) f) g) h) i) j) k) l) m) n) o) p) q)
D.4.3
Identify barcodes (standard and 2D) on pre-barcoded applications that are received from taxpayers (including fax and mail); Automatically identify and extract document content; Enhance or cleanup documents such as Money Orders, carbon copies, cash register receipts Checks with Water Marks etc. when the Automated Meta Data Recognition fails; Detect and delete blank pages depending on the document type; Automated Meta Data Recognition Engine (Object Character Recognition OCR) requires at least a 90% read rate; Automated Meta Data Recognition Engine (Image Character Recognition ICR) requires at least an 80% read rate; Meet Check 21 regulations in order to process checks appropriately; Require that an image of the envelope be associated with all of the contents of the envelope; Allow for recognition tolerances that drive validation and verification needs to be set by CPA; Recognize the form type after scanning of document by utilizing Automated Meta Data Recognition technology; Detect unique document sets including single and multi-page doc sets; Identify a single check that is a payment for multiple taxpayers or tax returns; Identify multiple checks that are payment for a single return and create electronic payment forms; Identify any document with correspondence for routing and processing; Recognize handwritten information on documents; Include an iterative learning component to handle non-template or slight variance in documents; and Automatic image orientation/rotation.
Image Enhancements Successful Respondent’s ECM Solution shall be able to perform and/or meet the following image enhancement requirements: a)
Clean-up an image to improve document clarity; Request for Offers: Enterprise Content Management Solution Page 15 of 65
RFO# 304-14-0539PS b) Automated Image Enhancement or Cleanup functions for Money Orders, Checks with Water Marks etc. when the Automated Meta Data Recognition fails; and c) Automated zoom functionality allowing operators to read small or unclear data being validated. D.4.4
Workflow Successful Respondent’s ECM Solution shall be able to perform and/or meet the following workflow requirements: a) b) c) d) e) f) g) h) i) j) k) l) m)
n) o) p) D.4.5
Automatically schedule and/or move work processes and documents from group to group or person to person based on business rules; Provide an exception handling process that allows a return to be processed outside of the imaging solution yet still facilitate data entry and processing to the mainframe; Route the document for resolution by an exception handling process in the event that an existing document must be processed containing previous period information, an old scan line and new return information; Generate work assignment queues for staff review; Allow viewing of the stage of a document as it is processing through the workflow; Route relevant documents electronically from area to area for verification/validation; Split a document set and route correspondence or other pages within a document set to other areas for review; Deny entry of a document set image by an operator without review before entry occurs; Electronically image and route documents from statewide field offices for verification and validation; Process primary and supplemental documents based on predetermined order; Prioritize the workflow for processing images based on criteria such as Money or No Money, Cut Off, Document Type, Amount Thresholds, Transaction Code and Filing Period; Fully process and index no tax due returns that have passed the recognition threshold without being validated and verified; Validate check amounts by manual verification and by keyed backward by an operator. A second operator must validate and re-key the check amount forward. The payment form should be read by the recognition engine and an operator should validate the amount by keying it forward. The payment form and check amount should net to zero; Notify operators in real time when workflow assignment queues are created; Associate a Post Mark Date with every scanned document that requires a postmark date; and The system must provide PIRs electronically to the Imaging System used by the Secretary of State.
Document Management The Document Management requirements for the ECM Solution are outlined below in Parts D.4.5.1 through D.4.5.7 to include the following list of categories: physical documents, physical checks, cash, refund, redaction, and ad hoc.
D.4.5.1 Physical Documents Successful Respondent’s ECM Solution shall be able to perform and/or meet the following document management requirements for physical documents: a) Allow full-text searching of imaged documents. b) Accept electronic signature for internal routing purposes. c) Documents will be imprinted at scan time by the scanner hardware/software. Provide a workflow process for the efficient management of physical documents for search and destruction purposes. d) Provide a process to facilitate the pull of documents from the physical document storage area. e) Add comments and annotations to the surface of a document. f) Provide a workflow process for a business unit to classify a document state as closed or complete prior to electronically routing information to another business unit. g) Provide/view an audit trail on the document to reveal any changes made. h) Re-index or change indexed fields on documents. i) Download a document from the repository onto a local personal computer. j) Select a subset of pages from a received document set to generate a document. k) Verify the state of a document at any given point during processing. States include: Scanned, Edited, Validated/Verified, Deposited, and Cleared Deposit. l) Send internal or external groups specific sections or individual pages from an image set. m) Delete documents after scanning. n) Power users should have the ability to delete associated work assignments within the document repository. o) Maintain a single record of an image in the repository to be used as an official copy. p) Store documents in a non-editable form (Excel Spreadsheets included) into the repository. q) Associate supplementary documentation to previously scanned repository content (annotation). Request for Offers: Enterprise Content Management Solution Page 16 of 65
r) s) t)
RFO# 304-14-0539PS Add new document types and sub-types within the imaging system. Print multiple documents from the repository. Provide electronic annotation (stamping) to documents (e.g., Operator ID, Routing Number, Date).
D.4.5.2 Physical Checks Successful Respondent’s ECM Solution shall meet, at a minimum, the document management requirements for physical checks to perform the following workflow processes a) Facilitate the destruction of physical checks after reaching the end of the retention period; b) Manage and store physical checks after they are processed in a secure manner (locked room or vault); c) Route physical checks to Treasury when the image in considered non-conforming; d) Facilitate the management of physical checks when the associated document image is routed off the floor or has not completely processed; and e) Hold checks from depositing until the payment form is processed within the remittance system. D.4.5.3 Cash Successful Respondent’s ECM Solution shall be able to provide a workflow process to manage the exchange of cash for cash cards (cash card is a deposit slip for received cash) prior to scanning. D.4.5.5 Refund Successful Respondent’s ECM Solution shall provide a workflow process to meet the following document management requirements for handling refunds to ensure: a) Refunds greater than $25,000 are sent to Audit; b) Refund request of any amount is sent to Audit if the time period overlaps an existing audit; and c) Refund process is initiated after the Revenue Processing Center (RPC) completes an assignment. D.4.5.6 Redaction Successful Respondent’s ECM Solution shall be able to perform and/or meet the following document management requirements for redaction: a) Electronically redact or indicate Confidential Information on a document; and b) Restrict the ability to redact or alter an image based on user access controls. D.4.5.7 Ad Hoc Successful Respondent’s ECM Solution and workflow process should be flexible and easy to update in an ad hoc manner in order to meet diverse and changing document management requirements. D.4.6
Records Version Management Successful Respondent’s ECM Solution shall be able to perform and/or meet the following records management requirements: a) View annotated and un-annotated versions of a document; b) Add annotations directly on the document image; and c) Edit images electronically.
D.4.7
Records Retention All document types held within CPA’s current ECMS should be converted to the new ECM Solution. CPA’s records retention schedule can be found in Appendix E of this RFO. Successful Respondent’s ECM Solution shall be able to perform and/or meet the following records retention requirements: a)
A workflow process is required to ensure retention of physical copies of finalized reporting documents until the images are available in the repository and Quality Assurance process is complete; b) Records will be retained in accordance with CPA’s records retention schedule (Appendix E); c) Destruction Registers must account for retention policies for documents processed and closed in other CPA divisions; d) The destruction process must be automated, with no search for individual documents needed; and e) The retention start date is based on the successful processing of all pages in a document set to the Mainframe and repository.
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D.4.8
RFO# 304-14-0539PS Search Capabilities Successful Respondent’s ECM Solution shall be able to perform and/or meet the following search capability requirements: a)
Search for repository content by Document Type (transfer request, out of business change, etc.), Annotation Content, Taxpayer Number, Document Locator Number, Reference Number; b) Perform full-text search within a document-set; c) Search for a single image by a single unique identifier; d) Search for subsections within a document set; e) Query any of the indexed fields or combination of indexed fields in order to search for a document within the repository; f) Designate unique identifiers to scanners and capture scan operator credentials to ensure that work is prioritized and scanner maintenance can be performed as needed; and g) Index comments that reviewers add to a coversheet during capture process. D.4.9
Administration Successful Respondent’s ECM Solution shall be able to perform and/or meet the following administration requirements: a)
Grant or limit individual rights to system functionality including: 1. Repository content; 2. Means of deleting repository documents; 3. Re-index or change indexed fields on documents; and 4. Allow users to create electronic payment forms. b) Have audit capabilities to track the document lifecycle and performance of operators; c) Override the system generated document type or assign document type when recognition fails; and d) The system operators must have the ability to associate an out of order document to a previous or upcoming document set. D.4.10 General Business System Process Successful Respondent's ECM Solution shall meet the general business system process requirements by providing a workflow process to: a)
Allow staff members to perform validation and verification on the information before an approval is generated in the Unclaimed Property System; b) Validate stocks and bonds information before verification/validation occurs; c) Allow Audit to scan document sets when they are in a final state and the audit is complete; and d) Allow Field Appraisers to receive Sales Form content from Property Tax Assistance via an electronic queue or email workflow. D.4.11 Reporting Successful Respondent’s ECM Solution shall be able to perform and/or meet the following minimum reporting requirements: a) Include a number of reports “out of the box”; b) Include the mechanism to create custom reports; c) Have a reporting process to document the amount of mail received by type, the number of parcels received and the number of Unclaimed Property checks processed; d) Provide a workflow process to create Destruction Reports to facilitate the destruction of documents that have met the retention period for the document type; e) Allow field officials to perform verification and validation on Amended Reports; f) Provide a workflow process is required to ensure verification between the amounts Treasury calculates and Revenue Processing reports; g) Allow for reporting documents to be scanned (annually or bi-annually) after the case has been worked; h) Able to identify a true zero report (no tax reported) mitigating the need of data entry; and i) Provide reports such as operator stats, number of tax returns processed, number of transactions by tcode, turnaround times for data and remittance, and deposit registers.
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RFO# 304-14-0539PS D.5 Business Application and User Interfaces D.5.1 User Interfaces Successful Respondent’s ECM Solution shall support the following user interfaces: a) Allow users to navigate through content using keyboard shortcuts; and b) Ability to perform full-text search functionality within a document-set to navigate specific sections within the document. D.5.2 Business Application Interfaces D.5.2.2 Agency Work Manager Successful Respondent’s ECM Solution shall interface and integrate with CPA’s Agency Work Manager (AWM) which is a PowerBuilder application and is the primary tool used by CPA divisions to manage, monitor, process and evaluate assignments and activities. CPA must maintain AWM functionality to allow power users to perform the following functions: a) b) c) d)
Add or update data in AWM; Extract work assignment details from the AWM system to avoid barcode creation process; Process a document and distribute document metadata in appropriate systems; and Ability to retrieve images from repository.
In order to reduce the number of systems that an operator has to access to effectively process a document, Respondent may propose to replace the AWM functionality within the ECM Solution. D.5.2.3 Mainframe Applications Successful Respondent’s ECM Solution shall interface with CPA’s mainframe applications and database. CPA operates an IBM z196 mainframe with application written in COBOL and Natural and Utilizes a DB2 database. Successful Respondent’s ECM Solution shall be capable of performing, at a minimum, the following interface requirements: a)
Generate multiple secure transmission of files based on document content which will be presented to the mainframe for processing; b) Electronically route scanned documents from CPA locations (local and remote) for verification and validation without regard to the status of the mainframe system; c) Automatically distribute information, including images and metadata into the appropriate mainframe applications; d) Perform batch transactions to appropriate mainframe applications; e) Provide a method to reconcile images in repository against transactions on the mainframe; f) Determine the state of a claim managed within the Uniform Statewide Payroll/Personnel System (USPS), Tax Identification Number System (TINS), Uniform Statewide Accounting System (USAS) and Standardized Payroll/Personnel System (SPRS); and g) Maintain relationships via unique identifiers between workflow tool, mainframe applications and document repository. D.5.2.4 Film Based Imaging The FBI (Film Based Imaging) system is a MS SQL system with two workstations and is used to process communication requests for images to be converted from microfilm to images. The FBI system uses email as a workflow mechanism. Successful Respondent’s ECM Solution shall interface with FBI system and shall be capable of making a request for an archived document that needs to be obtained from the Texas State Library and Archives Commission using the Inquirable General Document Index (IGDI) system. D.5.2.5 Custom Mobile Application CPA has deployed a custom mobile application that will poll for new images within the system. Successful Respondent’s ECM Solution shall interface with CPA’s custom mobile applications and shall be capable of utilizing existing mobile forms (such as Enforcement Wireless Computing forms) and tablet applications for use during canvassing events. D.5.2.6 Unclaimed Property System CPA’s Unclaimed Property Division has a custom service that runs during the Kofax workflow to update the DB2 records. Successful Respondent’s ECM Solution shall interface with the Unclaimed Property System (another Request for Offers: Enterprise Content Management Solution Page 19 of 65
RFO# 304-14-0539PS PowerBuilder application) and shall be capable of linking a retired or new claim created in the Unclaimed Property System to its appropriate image. D.5.2.7 Treasury System Successful Respondent’s ECM Solution shall interface with CPA’s Treasury System. CPA uses the Treasury system to process and deposit funds. Successful Respondent’s ECM Solution shall be capable of performing, at a minimum, the following interface requirements: a)
Electronically route payment information to the Treasury Fidelity National Information Services (FIS) system for deposit; and b) Provide images using a method that will allow the Treasury FIS system to process checks. D.6 Implementation Services D.6.0 General In its Offer, Respondent must describe its overall approach, strategies, tools, and timeframes that will be used to implement the ECM Solution. Respondent’s high-level implementation plan must address the following categories:
System roll-out plan; Advanced preparation and Installation; Document Conversion; Code Migration; Cutover Activities; Initial production support; and Post production support.
Respondent must also describe, to the greatest extent possible, the expectations and availability of CPA personnel required to support the implementation activities. D.6.1
Installation Successful Respondent, working in tandem with CPA server administrators, will perform all Licensed Software installation during the term of any contract resulting from this RFO. If CPA experiences problems associated with the installation of the Licensed Software, Successful Respondent must provide and have available technical support personnel that will respond immediately. The Licensed Software will be deemed installed when all programs, program libraries, databases, and user interfaces are functional within the appropriate network and when CPA demonstrates that Licensed Software is executable by invoking the primary function of each major component required to execute properly in CPA’s environment.
D.6.2
Configuration Successful Respondent shall configure all Licensed Software. Configuration shall include, but not limited to, writing scripts for business application interfaces. Successful Respondent shall work closely with CPA to meet any ECM Solution processes, workflows, functional, technical, and security requirements described in this RFO. Respondent must explain in its Offer how the Licensed Software, configured correctly, will meet the requirements of this RFO. In its Offer, Respondent must also describe its approach and methodology that shall be used and, at a minimum, that include:
D.6.3
Tools and procedures available to aid in the software configuration process; Documentation provided to support the software configuration; and Process for validating configuration against CPA’s documented requirements.
Document Conversion and Code Migration Successful Respondent’s migration of code requirements shall follow CPA’s Solution Delivery Life Cycle (SDLC) process. Proper controls must be in place for effectively managing code migration between environments through the use of source control, migration tools (deploy and rollback), and auditing of migrations. Successful Respondent shall be responsible for the migration of existing electronic images, including indexed information, from the current repositories to the new platform. See Appendix C for the number of documents within the P8 and Image Services repositories. Request for Offers: Enterprise Content Management Solution Page 20 of 65
RFO# 304-14-0539PS In its Offer, Respondent may propose migration services for microfilm and microfiche documents into the new system in accordance with Part D.11 (Optional Feature, Product, or Services). There are approximately 6,000 rolls of microfilm with an estimate of 24-30 million images originally scanned at 200 dpi. In its Offer, Respondent must describe how data, documents and code will be migrated into the ECM Solution and the technical documentation that will be provided to CPA (i.e. Conversion/Migration Plan). D.7 Testing Services D.7.0 General In its Offer, Respondent must describe its approach, strategies, tools, and timeframes that will used to implement and manage testing that meets or exceeds the requirements of the RFO. Additionally, Respondent must provide a parallel description of the requirements for testing and deploying software updates and upgrades. D.7.1
Test Plan Successful Respondent’s ECM Solution shall be thoroughly tested prior to migration into the production environment. CPA will evaluate the ECM Solution in accordance with the minimum requirements described in Part L (Software Acceptance Test, ECM Solution Acceptance Criteria). Additionally, Successful Respondent shall be responsible for developing the ECM Solution Test Plan. Within fourteen (14) calendar days prior to commencing testing activities, Successful Respondent shall submit a Test Plan for CPA’s approval. The Test Plan must include, at a minimum, the following activities:
Test management; Test strategy and planning; Test specification and documentation; Planning for test execution and results recording; Defect and incident logging; Test automation; and Quality assurance.
The Test Plan shall include at a minimum the following types of testing: System testing and unit testing; Integration testing and security testing; Load and stress testing and findings for the production infrastructure and architecture; User acceptance testing and usability testing; and Regression testing and automation. D.7.2
User Acceptance Test (UAT) For UAT, CPA will be responsible for facilitating the test sessions. Successful Respondent shall be responsible for developing the test plan and for resolving any issues resulting from UAT.
D.8 Deployment (Go Live) Support CPA requires a carefully structured approach to the deployment (“go-live”) of the ECM Solution. This includes the organization and execution of cutover activities necessary to transition operations to the new imaging system. Successful Respondent shall provide on-site support throughout the entire deployment period. More specifically, CPA requires the following: a)
Deployment Plan. Successful Respondent shall produce the Deployment Plan to reflect all project changes that impact deployment. The most critical update to the plan during this task is the development of a contingency plan for mitigating and resolving those risks that have been identified as impacting deployment. The contingency plan will address the strategies for system continuity planning as a result of deployment issues. Successful Respondent is responsible for executing the contingency plan as issues arise during deployment, upon approval of CPA. In its Offer, Respondent shall describe to CPA how the ECM Solution will be implemented and explain, in detail, its approach for coordinating the following:
Data conversion activities; Technical preparation and system changeover activities; Development of a deployment activities check list; Deployment schedule; Request for Offers: Enterprise Content Management Solution Page 21 of 65
RFO# 304-14-0539PS The process for developing a contingency plan for identifying, communicating, resolving risks and maintaining then current production capability if the deployment is delayed. This contingency plan would be developed during the deployment task; and Deployment assistance to CPA personnel assigned to this task. This will include the creation of deployment activity plans, deployment readiness checklists, and assistance to CPA personnel who will perform tasks needed for a successful deployment.
b) Establish Procedures for User Support. Efficient and effective procedures for providing user support will be established before the beginning of deployment and will be supported by Successful Respondent through the end of the Project. c)
Production Turnover. Once the system has been approved by CPA, in writing, as ready for production, Successful Respondent will work with CPA to establish a production turnover procedure. Successful Respondent shall ensure that the source code, compiled modules (where required), job streams, other components of the production environment, and all documentation are ready and organized for the production turnover.
D.9 Maintenance and Technical Support Requirements D.9.0 General Successful Respondent shall maintain the operating condition of the ECM Solution. CPA shall, in accordance with CPA policies and procedures, provide Successful Respondent reasonable access to the Licensed Software and hardware to perform Maintenance and Technical Support services. All such Maintenance and Technical Support must be unlimited during the term of any contract resulting from this RFO. In its Offer, Respondent shall explain in detail its pricing methodology for calculating Maintenance and Technical Support costs for Licensed Software and hardware provided as part of the ECM Solution. Respondent’s methodology for calculating Maintenance and Technical Support costs will be evaluated as part of the Cost criterion listed in Section I, Part 18 of this RFO. Successful Respondent’s Maintenance and Technical Support shall include the following services: D.9.1
Licensed Software Maintenance (See Part D.9.1); Full Service Hardware Maintenance (See Part D.9.2); Technical Support (See Part D.9.3); and Escalation Protocol (See Part D.9.4).
Licensed Software Maintenance Successful Respondent’s Licensed Software Maintenance Services for the ECM Solution shall include, but are not limited to, telephone and on-line Technical Support, error corrections, updates, upgrades, fixes, patches, enhancements, extensions, releases, latest features, performance improvements, Documentation, and technical resource library, if applicable. Successful Respondent shall provide any Licensed Software released corrections, Software Updates and Software Upgrades for all Licensed Software included under this RFO. Successful Respondent shall send all upgrades or patches automatically. Electronic/Overnight delivery of software updates, replacement software and/or software patches will be supplied in the event of system failure.
D.9.2
Full Service Hardware Maintenance Successful Respondent shall provide Full Service Hardware Maintenance for any hardware components included as part of the ECM Solution. Full Service Hardware Maintenance is defined as responding to and repairing system problems as requested by CPA. Full Service Hardware Maintenance includes coverage for remedial and preventative maintenance. CPA considers any repair problem or Technical Support service request to be within the scope of Full Service Hardware Maintenance. Successful Respondent’s service technician shall diagnose the problem and perform the repair. All parts used must be new. Successful Respondent’s service technician must be qualified to provide Full Service Hardware Maintenance services for the hardware and must be certified by the OEM. Successful Respondent shall provide only highly qualified professionals in its performance of the Full Service Hardware Maintenance services to handle service requests submitted by CPA to repair hardware to a production ready state. Quarterly preventative maintenance is required on production scanners provided as part of the ECM Solution. In its Offer, Respondent must include all costs for Full Service Hardware Maintenance including all parts, labor, and travel associated with the Full Service Hardware Maintenance Service on the Mandatory Pricing Form located in Section IV of this RFO. Request for Offers: Enterprise Content Management Solution Page 22 of 65
RFO# 304-14-0539PS D.9.3
Technical Support Successful Respondent must provide a toll-free telephone number, email, or website for the reporting of problems or issues with the Licensed Software and any hardware provided as part of the ECM Solution. Successful Respondent is responsible for providing Technical Support during CPA business hours (7:00 a.m. to 5:00 p.m. CZT, Monday through Friday). Successful Respondent must allow a minimum of three (3) authorized CPA contacts. CPA will provide the list of authorized technical support staff to contact Successful Respondent for Technical Support. Successful Respondent must have a primary maintenance service location in Texas. In its Offer, Respondent shall provide the physical address of the maintenance service location closest to CPA’s Headquarters located in downtown Austin, Texas. Successful Respondent must provide, at a maximum, a two (2) hour Response Time for a Priority 1 (P1) service call and, at a maximum, a four (4) hour Response Time for a Priority 2 (P2) service call. These and other response time guidelines are described in the Maximum Response Times table. CPA, in its sole discretion, will determine the service priority at time of call. Response Time is defined as the period between Successful Respondent’s receipt of a service call from CPA and the time until a service technician responds with repair efforts underway. Repair Time is defined as the timeframe for Successful Respondent to complete the maintenance services required to return the affected systems to normal operations. Successful Respondent shall respond to service requests in accordance with the priority and within timeframes listed below. Maximum Response Times PRIORITY LEVEL Priority 1 (P1) – Critical Priority 2 (P2) – High
DESCRIPTION a. b. a. b. a.
Priority 3 (P3) – Medium
b. c. a. b.
Priority 4 (P4) – Low
c. d.
Total outage or an outage of a critical component that renders the software unusable or unable to perform pending critical tasks. Security issue that affects the production environment. Performance degradation or diminished processing, capacity, or functionality that affects multiple users within the production environment. Issue that affects fulfillment of a pending deadline or causes staff to be idle. Performance issue related to non-production environments, noncritical issue that is time sensitive, or non-impacting issue requiring additional troubleshooting. Issue that does not affect current work but will affect customer’s ability to perform work within one business day. Frequent issue of minor importance yet obviously affecting work efficiency. Scheduled maintenance outage. Request for information prior to diminished processing, capacity, or functionality. Low frequency error of marginal importance. Minor problem that requires research, testing, or cooperative effort to resolve.
MAX RESPONSE TIME 2 hrs
4 hrs
12 hrs
72 hrs
Respondent must describe in its Offer its ability to meet the Response Times listed above. In its Offer, Respondent must clearly state that CPA’s Maximum Response Times service level can be met or exceeded for the ECM Solution. If Respondent is unable to meet CPA’s Maximum Response Times service levels, then Respondent must explicitly state its proposed alternative service level offering in its Offer.
Request for Offers: Enterprise Content Management Solution Page 23 of 65
D.9.4
RFO# 304-14-0539PS Escalation Protocol Successful Respondent must be capable of performing all Technical Support Services within the required response and repair times outlined in Part D.9.3 (Technical Support). In its Offer, Respondent shall propose for CPA’s consideration a protocol for escalating nonperformance issues encountered during the term of any resulting contract. Respondent’s proposed escalation process protocol must explain how Priority Levels 1 and 2 issues or complaints are prioritized and resolved by Respondent. This protocol shall, at a minimum, include an organization chart and address topics such as specific steps to be taken to address top priority issues or disputes arising due to missed appointments, untimely response to remedial repair service requests for system down or critical malfunction, and any other top priority service requirement identified in this RFO which is not met. If Successful Respondent fails to meet the timeframes as outlined in Part D.9.3 (Technical Support), CPA will invoke the escalation protocol as needed to resolve the issues as quickly as possible according to the severity of the issue. If Successful Respondent fails to meet the Response Times for two Priority 1 service calls within a rolling thirty (30) day period, then CPA may impose Liquidated Damages as set forth in Section II, Part T.
D.10 Training In its Offer, Respondent must include all training associated with the Licensed Software provided under any PO resulting from this RFO. Successful Respondent will provide comprehensive training for System administrators, System Developers and End Users. In CPA’s sole discretion and depending upon the Licensed Software provided, CPA may require at least two (2) training classes with up to fifteen (15) students in attendance. In its Offer, Respondent must describe in detail the training that would be provided to CPA personnel, its training approach, strategies, tools and suggested timeframes. This description should include course outline, intended audience, length of class, instructor’s qualifications, experience, and knowledge of the ECM Solution. It is preferred that all training be performed at CPA’s training center in Austin, Texas; however, CPA will also accept training at vendor location. Successful Respondent must provide at least one (1) copy of the CPA-approved individual Training Manuals for each training attendee. All training costs shall be based on a firm fixed price i.e., “fully loaded.” Successful Respondent shall not invoice and CPA shall not pay for any additional charges associated with the training such as travel costs, per diem expenses, or other out-ofpocket expenditures. All costs associated with training must be included in the Respondent’s Offer on the Mandatory Pricing Form included in Section IV of this RFO. D.11 Optional Features, Products or Services Respondents are encouraged to submit and describe in detail in their offers optional features, products or services that would benefit CPA but are not part of the minimum requirements of this RFO. Optional features, products, or services, may include additional training, additional maintenance, perpetual software licenses, increased service levels, etc. In its Offer, Respondent must describe with specificity any proposed optional features, products, or services. For pricing associated with optional items that exceed the minimum requirements of this RFO, Respondent must include the line item cost associated with each proposed optional feature, product, or service in the “Optional Features, Products, or Services” pricing portion of the Mandatory Pricing Form, Section IV of this RFO. D.12 License Grant (Production/Development Environment, Disaster Recovery). Under any PO resulting from this RFO, Successful Respondent must grant CPA a non-exclusive, irrevocable, universal license to the IP rights for the purposes of (1) using, displaying and performing the Licensed Software in connection with CPA’s network; (2) using, displaying and performing the Licensed Software in connection with backup and disaster recovery procedures in the event of destruction or corruption of the Licensed Software or disasters or emergencies which require CPA or any of its Affiliates to initiate disaster recovery procedures; (3) using one copy of the Licensed Software for test and development purposes in a non-production environment; and (4) making, reproducing and distributing the Licensed Software copies and related Documentation, either electronically or otherwise, to the extent necessary to fully utilize the license rights granted in (1), (2), and (3). CPA shall not permit any Licensed Software to be used by any other person, except for employees, agents, consultants, outsourcing companies and contractors who need to use the Licensed Software in the performance of their duties for CPA and who are authorized and enabled by CPA, under CPA’s written agreement, to access and utilize the Licensed Software. For disaster recovery purposes, Successful Respondent shall grant CPA the right to install the Licensed Software on equivalent capacity equipment that is located at an installation site that is (a) owned or controlled by CPA or (b) owned or controlled by a third party with which CPA has contracted to provide disaster recovery services. The use of disaster recovery copies shall be limited (a) for the purpose of conducting disaster recovery testing and (b) during any period subsequent to the occurrence of an actual disaster or other event during which CPA is unable to operate the Licensed Request for Offers: Enterprise Content Management Solution Page 24 of 65
RFO# 304-14-0539PS Software on the hardware located at its designated primary site. Successful Respondent must provide temporary licenses, passwords, and any other items or devices that are necessary to enable CPA to conduct, at CPA’s sole discretion, two (2) Hot Site Tests per fiscal year on equivalent capacity equipment (a) owned or controlled by CPA or (b) owned or controlled by a third party with which CPA has contracted to provide disaster recovery services. D.13 Documentation. Successful Respondent must provide to CPA at least one (1) copy of the Documentation via online or hardcopy for each of the Licensed Software provided. Successful Respondent must provide CPA either (1) written approval which authorizes CPA to make additional copies of the Documentation at no charge or (2) access to additional copies of the Documentation at no charge. CPA will restrict distribution of Documentation to those users with a “Need to Know” classification. CPA shall not remove, deface, or otherwise obscure any copyright, patent, trademark, service mark, or other proprietary legend (Proprietary Legends) on the Licensed Software or the Documentation. Furthermore, CPA shall include such Proprietary Legends in any reproductions of either the Licensed Software or the Documentation that CPA is permitted to make. D.14 Vulnerability Management If Successful Respondent is a software manufacturer, then Successful Respondent represents and warrants that it has implemented processes for the protection, detection, remediation, mitigation and timely customer notification of software vulnerabilities associated with its software provided under any PO resulting from this RFO. D.15 Secure Erasure of Hard Disk Capability All equipment provided to CPA by Successful Respondent that is equipped with hard disk drives (i.e. computers, telephones, printers, fax machines, scanners, multifunction devices, etc.) shall have the capability to securely erase data written to the hard drive prior to final disposition of such equipment, either at the end of the equipment’s useful life or the end of the related services agreement for such equipment, in accordance with 1 Texas Administrative Code §202. D.16 Substitution & Removal of Personnel Successful Respondent is responsible for providing all personnel resources necessary to perform the Services described in this RFO, unless specifically stated as the responsibility of CPA or other service provider. Throughout the term of any contract resulting from this RFO, Successful Respondent shall:
Provide qualified personnel to perform all Services required in this RFO; Promptly remove and replace personnel at the request of CPA; Provide CPA written notice of any plan to add, remove and replace personnel; and Obtain CPA approval of all personnel.
In the event Successful Respondent needs to add or substitute personnel during a term of any resulting contract, Successful Respondent shall provide CPA with resumes of several qualified individuals. The resume information of proposed personnel must be provided to CPA within fifteen (15) calendar days prior to either the proposed start date of any additional personnel or, in the event of substituted personnel, the last working day of the replaced individual. CPA shall have the right to conduct a phone interview of all such personnel, provided such interview occurs before the commencement of Services by the relevant individual. CPA shall provide Successful Respondent with written notice of approval or rejection of proposed personnel within three (3) business days of receipt of the resume. CPA shall have the right to reject assignment of any of Successful Respondent’s personnel by providing to Successful Respondent a reasonable basis for such rejection. Within five (5) calendar days of CPA’s written notification of rejection, Successful Respondent shall provide CPA with additional resumes for proposed individuals for review. This process shall be repeated until CPA provides written notice to Successful Respondent of the individual selected. The approved replacement individual must be on-site at CPA within thirty (30) calendar days of selection notice. D.17 Hours of Operation, Location, Parking, Workspace CPA’s standard hours of operation are 8:00 a.m. – 5:00 p.m. Central Zone Time (CZT), Monday through Friday. However, CPA anticipates that Services to be provided by Successful Respondent will be conducted during any and/or all of the following: CPA standard hours of operation, after-hours, weekends and holidays. The Services required under this RFO will be primarily performed by Successful Respondent at CPA facilities located in Austin, Texas. CPA shall provide workspace for Successful Respondent’s personnel to include utilization of CPA desktops/notebooks, printers, phones, cubicles, etc. CPA will not provide off-site hardware for use by Successful Respondent’s personnel. Request for Offers: Enterprise Content Management Solution Page 25 of 65
RFO# 304-14-0539PS CPA currently has parking spaces for contract workers assigned to the location specified in this RFO, however, the continuation of these parking spaces cannot be guaranteed over the life of the contract. If parking spaces become unavailable, then Successful Respondent’s personnel must find alternative parking arrangements during their assignments under any Contract resulting from this RFO. CPA shall not reimburse Successful Respondent or its contract worker(s) for parking or similar expenses under any circumstances. Parking spaces are under the direct control of the Department of Public Safety and CPA must abide by applicable parking regulations. E. Independent Contractor Successful Respondent or Successful Respondent's employees, representatives, agents and any subcontractors must serve as an independent contractor in providing the services under any contract resulting from this RFO. Successful Respondent and Successful Respondent's employees, representatives, agents and any subcontractors must not be employees of CPA. Should Successful Respondent subcontract any of the services required in this RFO, Successful Respondent expressly understands and acknowledges that in entering into such subcontract(s), CPA is in no manner liable to any subcontractor(s) of Successful Respondent. In no event shall this provision relieve Successful Respondent of the responsibility for ensuring that the services rendered under all subcontracts are rendered in compliance with this RFO. F. Warranty of Performance Successful Respondent represents and warrants that its performance under any contract resulting from this RFO shall be conducted conscientiously in a professional and workmanlike manner and to the full extent of Respondent’s talents and capabilities with due diligence and in full compliance with the highest professional standards of practice in the industry applicable to the services performed. G. Use of State Property Successful Respondent is prohibited from using CPA’s Equipment, CPA’s location, or any other resources of CPA or the State of Texas for any purpose other than performing services under the contract resulting from this RFO. For this purpose, Equipment includes, but is not limited to, copy machines, fax machines, information technology resources, and telephones using State of Texas long distance services. CPA information technology resources include any CPA-issued hardware (e.g., laptops, portable personal printers, cell phones, BlackBerry devices, external hard drives, Universal Serial Bus (USB) data storage devices and data disks); any CPA-issued software or media (e.g., CD, DVD, diskette or tape); and the CPA Virtual Private Network (VPN) client. Successful Respondent shall not remove CPA Equipment from the United States. In addition, Successful Respondent may not use any computing device to access CPA's network or e-mail while outside of the United States. During the time that CPA Equipment is in possession of Successful Respondent, Successful Respondent shall be responsible for reasonable repair or replacement charges for damage beyond normal wear and tear. Any charges incurred because of Successful Respondent’s use of CPA Equipment for any purpose other than performing services under the contract resulting from this RFO must be fully reimbursed by Successful Respondent to CPA immediately upon demand by CPA; such use shall constitute breach of contract and may result in termination of the contract and other remedies available to CPA under the contract and applicable law. H. Disclosure of Security Breach Successful Respondent shall provide notice to CPA’s Project Manager and CPA’s Information Security Officer as soon as possible following Successful Respondent’s discovery or reasonable belief that there has been unauthorized use, exposure, access, disclosure, compromise, modification, or loss of sensitive or confidential CPA information (“Security Incident”). Within twenty-four (24) hours of the discovery or reasonable belief of a Security Incident, Successful Respondent shall provide a written report to CPA’s Information Security Officer detailing the circumstances of the incident, which includes at a minimum: a. b. c. d. e. f.
A description of the nature of the Security Incident; The type of CPA information involved; Who may have obtained the CPA information; What steps Successful Respondent has taken or will take to investigate the Security Incident; What steps Successful Respondent has taken or will take to mitigate any negative effect of the Security Incident; and A point of contact for additional information.
Each day thereafter until the investigation is complete, Successful Respondent shall provide CPA’s Information Security Officer with a written report regarding the status of the investigation and the following additional information as it becomes available: a.
Who is known or suspected to have gained unauthorized access to the CPA information; Request for Offers: Enterprise Content Management Solution Page 26 of 65
b. c. d. e.
RFO# 304-14-0539PS Whether there is any knowledge if the CPA information has been abused or compromised; What additional steps Successful Respondent has taken or will take to investigate the Security Incident; What steps Successful Respondent has taken or will take to mitigate any negative effect of the Security Incident; and What corrective action Successful Respondent has taken or will take to prevent future similar unauthorized use or disclosure.
Successful Respondent shall confer with CPA’s Information Security Officer regarding the proper course of the investigation and risk mitigation. CPA reserves the right to conduct an independent investigation of any Security Incident, and should CPA choose to do so, Successful Respondent shall cooperate fully by making resources, personnel, and systems access available to CPA and CPA’s authorized representative(s). Subject to review and approval of CPA’s Information Security Officer, Successful Respondent, at its own cost, shall provide notice that satisfies the requirements of applicable law to individuals whose personal, confidential, or privileged data were compromised or likely compromised as a result of the Security Incident. If CPA, in its sole discretion, elects to send its own separate notice, then all costs associated with preparing and providing notice shall be reimbursed to CPA by Successful Respondent. If Successful Respondent does not reimburse such costs within thirty (30) days of CPA’s written request, then CPA shall have the right to collect such costs. I.
Insurance and Bonds
Respondent represents and warrants that, within five (5) business days of receipt of notice of tentative contract award, it shall provide CPA with proof of coverage and represents and warrants that it shall maintain the following coverages throughout the term of the contract: o
Blanket Employee Dishonesty Bond or Employee Dishonesty Coverage under a liability insurance policy with a minimum $25,000 for each individual who will provide services under the contract. A rider or endorsement shall name the Texas Comptroller of Public Accounts as loss payee or additional named insured under the respective bond or policy;
o
Standard Workers Compensation Insurance covering all individuals who will provide services under the contract;
o
Commercial General Liability Insurance: $1,000,000 minimum each occurrence limit; $5,000,000 minimum aggregate limit; and
o
Professional Liability Insurance: $1,000,000 minimum each occurrence limit; $5,000,000 minimum aggregate limit.
Respondent represents and warrants that all coverages are with companies licensed in Texas, with “A” rating from A.M. Best Co., and authorized to provide the required coverages. Respondent also represents and warrants that all of the above policies and bonds contain endorsements prohibiting cancellation exception upon at least thirty (30) days prior written notice to Texas Comptroller of Public Accounts. Respondent must, within the time provided above, furnish proof to Texas Comptroller of Public Accounts of such coverage in the form of a Certificate of Insurance from Respondent’s insurance carrier or carriers indicating the above coverages. The Certificate shall be addressed to the Texas Comptroller of Public Accounts as the Certificate holder. J.
Criminal Conviction Certification Successful Respondent must take appropriate steps and perform due diligence to become informed as to each assigned employee’s felony criminal convictions, if any, and must inform CPA’s Contract Administrator in writing within three (3) business days of any such felony criminal convictions for any assigned employee. At each of the three (3) intervals below, Successful Respondent must take appropriate steps to review and perform due diligence of every assigned employee’s criminal history: (1) within the two (2) business days immediately following notice of a tentative contract award; (2) within the seven (7) business days prior to the proposed effective date of any renewal or extension of any contract resulting from this RFO; and (3) within the seven (7) business days prior to Successful Respondent requesting approval for assignment of a new employee (such as a substitute employee). Successful Respondent’s due diligence shall include, at a minimum, (1) Successful Respondent’s compliance with Successful Respondent’s published employee policies and procedures for background and criminal checks of Respondent’s employees and (2) Successful Respondent’s comprehensive search of the public information portion of an online criminal conviction database, such as the TxDPS criminal conviction database located at: https://records.txdps.state.tx.us/dps_web/Portal/index.aspx. If such TxDPS criminal conviction database is not appropriate for a particular assigned employee, Successful Respondent must submit a detailed explanation that an equivalent or more extensive search was conducted and that the alternate search is appropriate for the assigned employee(s) within, as appropriate, (a) two (2) business days of receipt of notice of tentative contract award, (b) two (2) business days prior to Request for Offers: Enterprise Content Management Solution Page 27 of 65
RFO# 304-14-0539PS proposed effective date of any renewal or extension of any contract resulting from this RFO, or (c) two (2) business days prior to Successful Respondent request for assignment of a new employee. For purposes of this clause, “assigned employees” includes, without limitation, all employees or other personnel provided by Successful Respondent who will or may (1) be assigned as lead or key personnel under any contract resulting from this RFO; (2) interact on-site at CPA’s premises with any CPA personnel, assets, records or resources in connection with any contract resulting from this RFO; or (3) otherwise access or interact with any assets, records or resources of CPA in connection with any contract resulting from this RFO. Upon request by CPA, Respondent must provide to CPA, no later than five (5) business days after receiving such request, the written results of Successful Respondent’s performance of these minimum steps for all assigned employees. If CPA becomes aware that Successful Respondent provided false information, or if Successful Respondent fails to promptly advise CPA of a felony criminal conviction occurring after the certification becomes effective, Successful Respondent shall be in breach of any contract resulting from this RFO and CPA shall have the option to terminate the agreement without further obligation to Successful Respondent and may pursue all other remedies and rights available to CPA under any contract resulting from this RFO, at law, or in equity. K. Purchase Order Term The initial term of any contract resulting from this RFO shall be from Date of Award to August 31, 2015. CPA may, in its sole discretion, exercise the option to extend the PO for up to three (3) additional one (1) year periods. The periods are September 1, 2015 through August 31, 2016; September 1, 2016 through August 31, 2017; and September 1, 2017 through August 31, 2018. To exercise the option to extend the term, CPA will notify Successful Respondent thirty (30) days prior to the expiration of the then-current period. Notwithstanding the termination or expiration of the PO, certain provisions e.g., indemnification, confidentiality, right to audit, shall survive the termination or expiration of the PO. L. Software Acceptance Test, ECM Solution Acceptance Criteria L.1 Software Acceptance Test. Prior to CPA’s authorization of payments for Licensed Software under any PO resulting from this RFO, CPA shall evaluate all Licensed Software provided. CPA shall provide written notice of acceptance of the Licensed Software to Successful Respondent upon successful completion of the Software Acceptance Test. CPA shall provide notice to Successful Respondent of the testing commencement date. Testing will commence on the date listed in CPA’s written notice to Successful Respondent and continue until the Licensed Software meets the Minimum Performance Standard for at least thirty (30) consecutive calendar days. In order to meet the Minimum Performance Standard, the Licensed Software must: 1. 2. 3. 4. 5.
Meet or exceed all specifications of the formal signed agreement, if any, PO, RFO and Offer; Comply with all published specifications and functional descriptions; Operate and run programs with CPA data, without interruption or failure; Operate without requiring modification(s) to other CPA operational system(s) and network(s); and Operate without causing performance degradation or malfunctions to CPA operational system(s) and network(s).
If the Licensed Software fails to meet any or all of the Minimum Performance Standards during the testing period, CPA shall notify Successful Respondent of such failure in writing and Successful Respondent will have ten (10) consecutive calendar days in which to correct or improve the Licensed Software so it will meet the Minimum Performance Standard. Thereafter, CPA shall have twenty (20) additional calendar days in which to re-conduct the Software Acceptance Test. This process will be repeated, at CPA’s discretion, until CPA accepts the new Licensed Software. CPA shall have the right and the option to cancel the Licensed Software and request removal of Licensed Software that fails to meet the Minimum Performance Standard, in which event neither party will have any further liability for that new Licensed Software under any PO resulting from this RFO. L.2 ECM Solution Acceptance Criteria. Prior to payment under any PO resulting from this RFO, CPA will evaluate the provided ECM Solution under the following criteria and any additional acceptance criteria agreed to prior to award and included in the PO: 1.
The products/services must meet all specifications and Standards of Performance of the formal signed agreement, if any, PO, RFO and Offer; and Request for Offers: Enterprise Content Management Solution Page 28 of 65
RFO# 304-14-0539PS 2.
The products/services must comply with all published specifications.
M. Payments Payments to Successful Respondent under any PO resulting from this RFO will be based upon the schedule described in Section IV and any agreement resulting from this RFO. CPA may in its sole discretion process payments on a monthly basis. Payment shall be made in accordance with Texas Prompt Payment Act, Chapter 2251, Texas Government Code. N. Discounts If Successful Respondent at any time during the term of the PO provides a discount on the final negotiated contract costs, the Successful Respondent will notify CPA in writing ten (10) days prior to effective date of discount. CPA will generate a PO Change Notice and send a corrected PO to the Successful Respondent. If an early payment discount is available to CPA, then in its Offer Respondent must describe with specificity the early payment discount offered and the discount percentage that would apply to CPA’s early payment within ten, fifteen, twenty, or twenty-five calendar days after receipt of a correct invoice. O. Addition and Deletion CPA reserves the right, in its sole discretion, to add or delete products or services during the period(s) covered under the PO. The rate at the time of the addition shall be the same as the rate quoted for the same model product or service herein. Deletions shall be processed accordingly. All additions or deletions will be processed through CPA’s Purchasing Section. The effective date of any termination or addition will be no later than five (5) days after CPA’s written notification of said termination or addition. For this purpose, written notification is defined as registered mail, regular mail, or facsimile transmission with confirmation of receipt. For any additions, CPA’s Purchasing Section will provide a corrected PO to the Successful Respondent, along with a letter indicating the time period covered for the applicable fee. The total number of additions allowed to CPA is determined by the number CPA chooses to purchase. For any deletions, CPA’s Purchasing Section will provide a corrected PO to the Successful Respondent, along with a letter indicating the amount of the refund (if any), and the effective date of the deletion along with a letter indicating the deleted product/service and serial number, if applicable. P. HUB Participation The State of Texas and CPA are committed to assisting Historically Underutilized Businesses (HUBs) through the procurement process. In accordance with Sections 2161.181 and 2161.182, Texas Government Code, each state agency shall make a good faith effort to increase the contract awards for the purchase of goods or services to HUBs based on rules adopted to implement the disparity study described by Section 2161.002(c), Texas Government Code. In accordance with Section 2161.252, Texas Government Code and 34 Texas Administrative Code §20.14, each state agency (including institutions of higher education) as defined by Section 2151.002, Texas Government Code that considers entering into a contract with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine whether subcontracting opportunities are probable under the contract. If subcontracting opportunities are probable, each state agency’s invitation for bids or other purchase solicitation documents for construction, professional services, other services, and commodities with an expected value of $100,000 or more shall state that probability and require a HUB Subcontracting Plan (HSP) and supporting documentation. The HUB goals per 34 Texas Administrative Code §20.13 are: 11.2% for heavy construction other than building contracts; 21.1% for all building construction, including general contractors and operative builders contracts; 32.7% for all special trade construction contracts; 23.6% for professional services contracts; 24.6% for all other services contracts; and 21% for commodities contracts. CPA has determined that subcontracting opportunities are probable and requires all Respondents to review Section X of this RFO and complete the HUB Subcontracting Plan (HSP). CPA has identified the subcontracting opportunities in Section X of this RFO. This procurement falls under the following category: Special Trade Construction ____
Professional Services ____
Other Services _X__
Request for Offers: Enterprise Content Management Solution Page 29 of 65
Commodities ____
RFO# 304-14-0539PS Q. Respondent Documents All Respondent documents that are related to the Services, this RFO, Respondent’s Offer, or a resulting contract, if any, including, but not limited to, boilerplate service agreements, service schedules, published specifications, license agreements, etc., are collectively referred to in this RFO as “Respondent Documents.” Respondent must include copies of all proposed Respondent Documents with Respondent’s Offer. CPA reserves the right, in its sole discretion, to amend Respondent Documents to conform to this RFO and Texas law and offer them to Respondent for approval and signature prior to CPA’s issuance of any PO resulting from this RFO. Respondent Documents that are (1) submitted as part of the Offer and (2) amended to conform to the RFO and PO, through mutual written agreement of Successful Respondent and CPA, in the described manner will be incorporated as part of the PO or other agreement resulting from the RFO. R. Respondent Exceptions If Respondent takes any exceptions to any provisions of the RFO, these exceptions must be specifically and clearly identified by Section in Respondent’s Offer in response to the RFO and Respondent’s proposed alternative must also be provided in the Offer. Respondents cannot take a ‘blanket exception’ to the entire RFO. If any Respondent takes a ‘blanket exception’ to the entire RFO or does not provide proposed alternative language, the Respondent’s Offer may be disqualified from further consideration. Respondents are strongly encouraged to submit written questions during the official question and answer period regarding any term or condition of this RFO and whether CPA may negotiate that provision under this particular RFO. S.
Electronic Copy of Respondent’s Offer At the time of submission of the hard copies by the deadline for Offers, Respondent must also deliver to CPA four (4) electronic copies of its complete Offer:
Two CDs, each containing a complete copy of the Respondent’s Offer in searchable pdf format. A complete copy of the Offer includes all documents contained in the Offer submitted in response to this RFO including those documents with Respondent’s signature. These two identical CDs should be entitled: “Complete copy of [Name of Respondent]’s Offer. CPA RFO# 304-14-0539PS.”
Two CDs, each containing a copy of Respondent’s Offer, in searchable pdf format, which has excised, blacked out, or otherwise redacted information from its Offer that Respondent reasonably considers to be confidential and exempt from public disclosure under the Texas Public Information Act, Chapter 552 of the Texas Government Code (this should be a de minimis portion, if any, of Respondent’s Offer, such as social security numbers). Each CD shall also contain an Appendix for Respondent’s Offer which provides a cross reference for the location of all information redacted by Respondent and a general description of the redacted information. These two identical CDs should be entitled “For Public Release: Redacted Version of [Name of Respondent]’s Offer and Exhibits. CPA RFO# 304-14-0539PS.”
Under Section 322.020, Texas Government Code, the Legislative Budget Board (LBB) has implemented a database of state agency contracts. See the LBB website at www.lbb.state.tx.us. CPA shall upload to the LBB’s contracts database the text of the complete contract (with limited redaction and appendix) no later than 10 days after date of contract award. In submitting an Offer in response to this RFO, Respondent acknowledges that it understands and accepts this requirement. T. Liquidated Damages In submitting an Offer in response to this RFO, Respondent agrees that the measure of damages in the event of a default or breach by Successful Respondent may be difficult or impossible to calculate. In the event Successful Respondent fails to perform services or complete the obligations under this RFO in a timely manner, CPA may require Successful Respondent to pay, as liquidated damages and not as a penalty, an amount equivalent to two percent (2%) of the total negotiated costs for those Services, awarded under any PO resulting from this RFO, per calendar day of delay. CPA may impose but is not obligated to impose these liquidated damages in lieu of monetary damages available to CPA under the agreement or any applicable law.
Request for Offers: Enterprise Content Management Solution Page 30 of 65
RFO# 304-14-0539PS
III.
Offer Requirements
Failure to comply with these Offer Requirements may result in disqualification of Respondent's Offer.
A. Number of Copies Required Respondent will deliver the following to the Issuing Office by the specified deadline: One (1) original of the Offer with required forms manually signed by Respondent with “ink” signature(s), Ten (10) additional paper copies of the Offer, One (1) electronic copy of the Offer on CD with the offer content provided in native file format (Word, Excel), and In accordance with Section II, Part S (Electronic Copy of Respondent’s Offer), four (4) pdf copies of the original Offer on CDs. Late Offers will not be accepted.
B. Format of Offer Respondent must ensure its original Offer and each paper copy are bound (e.g., 3 ring binder) to avoid separation of submitted documentation. If there is any discrepancy between the original Offer and the copies, then the original Offer will be deemed to be Respondent’s submitted response. Offers must be sequentially numbered on the bottom of each page. Web links referenced in the Offer are not acceptable; all information must be submitted in paper form. Offers must be complete. Conciseness and clarity of content are required; vague and general responses in the Offer may be considered non-responsive and may result in disqualification. Failure to provide all the information required by the RFO may result in the Offer being excluded from consideration. Offers not organized in the following manner may be subject to disqualification: 1.
Cover Page.
2.
Transmittal Letter. Respondent must submit with its Offer a transmittal letter that identifies the entity submitting the offer and includes a commitment by that entity to provide the products and/or services required by CPA. The transmittal letter must state that the Offer is valid for at least 90 days.
3.
Table of Contents. The Offer must contain an organized, paginated table of contents corresponding to the sections and pages of the Offer.
4.
Respondent Questionnaire. Respondent must include the following information in its Offer: a.
Respondent’s Contact Person. Respondent must provide contact information for the individual who will be the contact person for the term of any contract resulting from this RFO. This information must include the following: name, title, email address, phone number and fax number.
b.
References. Respondent must provide a list of three (3) state agencies, corporations or other entities—other than CPA—for which Respondent has provided the requested items in the RFO during the past three (3) years. Respondent must include names, telephone numbers and email addresses of agency’s or entity’s contact person, contract state date, implementation dates when requested or similar items in the RFO were provided. For the three references, Respondent must provide the following information: (1) Agency or Entity: Name of Contact: Telephone Number of Contact: Email Address of Contact: Contract Start Date: Implementation Date: Application title(s) and version number(s): Request for Offers: Enterprise Content Management Solution Page 31 of 65
RFO# 304-14-0539PS Project Summary: A concise description of the engagement, covering the client objectives, scope system capabilities, scale (number of documents managed, number of documents stored, number of staff in document processing area), approach, risks, and results. (2)
Agency or Entity: Name of Contact: Telephone Number of Contact: Email Address of Contact: Contract Start Date: Implementation Date: Application title(s) and version number(s): Project Summary: A concise description of the engagement, covering the client objectives, scope system capabilities, scale (number of documents managed, number of documents stored, number of staff in document processing area), approach, risks, and results.
(3)
Agency or Entity: Name of Contact: Telephone Number of Contact: Email Address of Contact: Contract Start Date: Implementation Date: Application title(s) and version number(s): Project Summary: A concise description of the engagement, covering the client objectives, scope system capabilities, scale (number of documents managed, number of documents stored, number of staff in document processing area), approach, risks, and results.
CPA may conduct reference checks with other entities regarding past performance. In addition to evaluating performance through the Vendor Performance Tracking System as authorized by 34 Texas Administrative Code §20.108, CPA may examine other sources of Respondent 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 Respondent performance may include any governmental entity, whether an agency or political subdivision of the State of Texas, another state, or the Federal government. Further, CPA may initiate such examinations of Respondent performance based upon media reports. Any such investigations shall be at the sole discretion of CPA, and any negative findings, as determined by CPA, may result in a non-award to Respondent. Information pertaining to the Vendor Performance Tracking System is located on the CPA’s website at: http://www.window.texas.gov/procurement/prog/vendor_performance/. c.
Cancellations or Terminations. Respondent must list all contracts or purchase orders that Respondent executed or accepted within the last three (3) years and which were canceled or terminated prior to completion by any state agency or other entity with which Respondent contracted. For each such contract or purchase order, Respondent must include a detailed explanation for the cancellation or termination and final resolution of the matter. Include the names and telephone numbers of each such agency's or firm’s contact person. If none, specify none.
d.
Respondent Identifying Information. Respondents must provide the following identifying information: (1) name and address of business entity submitting the proposal; (2) list of all principals; (3) type of business entity (e.g., corporation, partnership); (4) state of incorporation or organization and principal place of business; (5) full name and address for each member, partner, and employee of Respondent who will perform Services; and (6) full name and address for each member, partner, and employee of each proposed subcontractor who will perform Services.
e.
Profile. Respondent must provide a profile that: Request for Offers: Enterprise Content Management Solution Page 32 of 65
(1) (2) (3) (4) (5) f.
RFO# 304-14-0539PS describes the general nature of previous similar work performed by Respondent, particularly work in the last three (3) years; describes the size and scope of all operations, including number of Respondent’s employees and years in business; describes Respondent’s prior contracting experience with CPA and similar agencies; includes a statement regarding the financial stability of Respondent, including the ability of Respondent to perform the requisite services and any additional services included in its Offer; and includes any other information Respondent believes is pertinent to this RFO.
Personnel. Respondent must provide an overview of how the ECM Solution project team will be organized, including identification of each project team member and details such as who will perform each element of the work and where the work will be performed (i.e. onsite or remotely). Respondent must describe the roles and responsibilities of the proposed personnel and provide an organizational chart depicting the lines of authority and functional titles of the proposed personnel. Respondent must identify all proposed personnel that will have key roles on the ECM Solution project team and provide name and the title or position of the individuals who will have primary responsibility for service delivery. Respondent must describe the qualifications of its personnel to provide the offered Services. For each proposed individual, Respondent must provide a resume which includes the following information: (1) professional employment history, (2) education, (3) related professional training, and (4) professional certifications. In addition, Respondent must describe how the ECM Solution project team will be managed during the course of any contract resulting from this RFO. Respondent must fully describe its proposed organizational structure and staffing levels to support the offered Services including Respondent’s policies for retaining personal and engaging additional qualified personnel if necessary to support the requirements of this RFO.
g.
Narrative. Respondent must submit a detailed narrative explanation of how the offered products and/or services will meet the requirements of Section II of this RFO. In the narrative, Respondent must also provide the following: (1) A documented long-term product lifecycle plan for the application(s)/system(s) proposed for the ECM Solution. This product lifecycle must span at least five (5) years including 2014. (2) A detailed description of how Respondent will provide problem or trouble resolution, its escalation procedures and the timeframe in which Respondent will respond to CPA’s request for Maintenance and Technical Support. (3) A detailed description of how Respondent’s proposed Services shall comply the following state and federal requirements: (a) 1 TAC §202, Subchapter B: Security Standards for State Agencies; (b) 1 TAC §203, Subchapter B: State Agency Use of Electronic Transactions and Signed Records; (c) 1 TAC §206, Subchapter B: State Agency Web Sites; (d) 1 TAC §213, Subchapter B: Electronic and Information Resources for State Agencies; (e) Federal Information Security Management Act (FISMA): NIST SP 800-53; and (f) Payment Card Industry (PCI) standards. (4) The URL to Respondent’s Voluntary Product Accessibility Template (VPAT) for reviewing compliance with the State of Texas Accessibility requirements (based on the federal standards established under Section 508 of the Rehabilitation Act). If that is not available, indicate that the product/service accessibility information is available from the General Services Administration “Buy Accessible Wizard” (http://www.buyaccessible.gov). A Respondent that is not listed with the “Buy Accessible Wizard” or is unable to supply a URL to its VPAT shall provide CPA with a report that addresses the same accessibility criteria in substantively the same format. Information regarding the “Buy Accessible Wizard” and the VPAT is located at http://www.section508.gov/. (5) Describe any Optional Features, Products or Services that would benefit CPA, but are not part of the minimum requirements of this RFO. Refer to Section II, Part D.11 of the RFO. Respondent shall provide line-item pricing for each option on the Mandatory Pricing Form in Section IV of the RFO. (6) Describe with specificity any early payment discount offered and the discount percentage that would apply to CPA’s early payment within ten, fifteen, twenty, or twenty-five calendar days after receipt of a correct invoice. Refer to Section II, Part N of the RFO. (7) If Respondent’s proposed ECM Solution is currently available under Respondent’s contract with the Texas Department of Information Resources, then provide the applicable DIR Contract Number: ___________ Request for Offers: Enterprise Content Management Solution Page 33 of 65
5.
RFO# 304-14-0539PS Mandatory Pricing Form. Respondent must include in its Offer the Mandatory Pricing Form. See Section IV. a. All costs associated with the offered services must be reflected on the Mandatory Pricing Form and described in the Offer. b. If Optional Features, Products, or Services are offered, please refer to Section II, Part D.11 of the RFO.
6.
Execution of Offer. Document required by Section VI must be completed, signed, and included in the Offer.
7.
Conflict of Interest Form. Document required by Section VII must be completed, signed and included in the Offer.
8.
Nondisclosure Agreement. Document required by Section VIII must be completed, signed, and included in the Offer.
9.
Confidential Treatment of Information Acknowledgement. If communications with Successful Respondent necessitate the release of sensitive or confidential CPA information, the Confidential Treatment of Information Acknowledgement (CTIA) must be signed by each individual who will require access to or be exposed to that data. The CTIA, located in Section IX, must be included in the Offer.
10. HUB Subcontracting Plan (HSP) & Supporting Documentation. Document required by Section X must be completed, signed, and included in the Offer. For assistance in completing the HSP, contact the CPA HUB Administrator at 800-531-5441 Ext. 34120 or visit the website below for step by step information: http://www.window.texas.gov/procurement/prog/hub/hub-subcontractingplan.
IMPORTANT NOTE: THE FORMS LOCATED IN SECTIONS IV, VI-X OF THIS RFO ARE PREPARED EXCLUSIVELY FOR RFO# 30414-0539PS. RESPONDENT’S SUBMISSION OF OTHER FORMS OR DOCUMENTS, INCLUDING PRIOR YEAR FORMS, MAY RESULT IN DISQUALIFICATION OF THE OFFER.
Request for Offers: Enterprise Content Management Solution Page 34 of 65
RFO# 304-14-0539PS
IV.
Mandatory Pricing Form
Respondent must include all costs for providing the Enterprise Content Management Solution as defined in the RFO for the items listed on the Mandatory Pricing Form. All costs are FOB destination with title being transferred upon CPA’s written acceptance. The Mandatory Pricing Form includes the following Price Sheets: Price Sheet 1 – ECM Solution (Initial Term) Price Sheet 2 – Maintenance and Technical Support, Training (Optional Renewal Terms) Price Sheet 3 – Optional Features, Products or Services. Price Sheet No. 1 ECM Solution Initial Term: Date of Award through August 31, 2015 Itemized Costs* 1
Total Cost for ECM Solution
QTY
UNIT
1
JOB
$
QTY
UNIT
UNIT PRICE
ECM Solution All costs for Licensed Software, Hardware, and Services shall be included in the total cost for the ECM Solution: $
Licensed Software Hardware (if provided as part of the ECM Solution)
$ Provide scanner pricing detail in Lines 5-6 below
Project Management Services (See Section II, Part D.1)
$
Implementation Services (See Section II, Part D.6)
$
Testing Services (See Section II, Part D.7)
$
Deployment (Go Live) Support (See Section II, Part D.8)
$
Maintenance and Technical Support (See Section II, Part D.9)
$
Training (See Section II, Part D.10)
$ Provide Per Attendee price detail in Lines 2-4 below.
*Respondent must list itemized costs to be rolled into the total cost for the ECM Solution. Additional Line Item Cost Descriptions for ECM Solution
Per Attendee $ Per Attendee $ Per Attendee $
2
System Administrator Training
1
3
System Developer Training
1
4
End User Training
1
5
Desktop Scanner
1
EA
6
Enterprise Scanner
1
EA
Request for Offers: Enterprise Content Management Solution Page 35 of 65
$ $
RFO# 304-14-0539PS
Price Sheet No. 2 Maintenance and Technical Support, Training Optional Renewal Terms
1 2 3 4 5
Services Description
Unit
Maintenance and Technical Support Services: Licensed Software Maintenance and Technical Support Services: Hardware (if proposed as part of the ECM Solution)
YR
1st Renewal Term 9/1/15- 8/31/16
2nd Renewal Term 9/1/16- 8/31/17
3rd Renewal Term 9/1/17- 8/31/18
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
YR Per Attendee Per Attendee Per Attendee
System Administrator Training System Developer Training End User Training Price Sheet No. 2 Total
Price Sheet No. 3 Optional Features, Products, or Services Optional Features, Products, or Services (Refer to Section II, Part D.11)
Qty/ Unit
Unit Price
Initial Term 1st Option Term 2nd Option Term 3rd Option Term Date of Award 9/1/2015 9/1/2016 9/1/2017 8/31/2015 8/31/2016 8/31/2017 8/31/2018 Extension Price Extension Price Extension Price Extension Price
Migration services for microfilm 1 and microfiche documents (Refer to Section II, Part D.6) 2 3 4 5 6 Price Sheet No. 3 Total
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
THIS FORM MUST BE SUBMITTED WITH OFFER
Request for Offers: Enterprise Content Management Solution Page 36 of 65
RFO# 304-14-0539PS
V.
Standard Terms and Conditions
1. Terms and Conditions. This Section V, Standard Terms and Conditions, is incorporated into this Request for Offers (RFO) for all purposes. See representation and signature required on the Execution of Offer of this RFO. 2. Contract Award; Copyright; Reissuance. A response to a RFO is an Offer to contract with the State based upon the terms, conditions and specifications contained in the RFO. Responses (Offers) do not become contracts with CPA unless, until and to the extent, a duly authorized representative of CPA issues a valid CPA Purchase Order (PO). CPA reserves the right to reject, in its sole discretion, all or any part of any Offers, waive minor technicalities and reserves the right to negotiate price and other provisions with all Respondents or no Respondents and award a PO in the best interests of CPA and the State. CPA's waiver of any deviations in any Offers will not constitute a modification of this RFO and will not preclude CPA from asserting all rights against Respondent for failure to fully comply with all terms and conditions of this RFO. Copyrighted offers are unacceptable and are subject to disqualification as non-responsive. CPA reserves the right to make any corrections or include additional requirements in the PO prior to issuance which are necessary for CPA's compliance, as an agency of the State of Texas, with all state and federal requirements. CPA reserves the right to disqualify any Offer which asserts any copyright on any CPA-created form which is specifically designated by this RFO to be a form that must be completed and included in an Offer submitted in response to this RFO e.g., Mandatory Pricing Form and Sections VI, VII, VIII, IX, X of this RFO. CPA may reissue or issue another RFO for the requested items described in this RFO or similar items at any time. 3. Pricing; F.O.B. Destination. All pricing must be submitted in the format described in the Mandatory Pricing Form(s) and must comply with these requirements. If a trade discount is shown on the Offer, it should be deducted and net line extensions shown. Respondent must be willing to negotiate from Offer prices. “Discount from list” Offers are not acceptable unless specifically requested. Cash discounts will not be considered in determining the best value. All cash discounts offered will be taken if earned. All Respondents must quote F.O.B. destination; otherwise, Respondent must quote complete cost to deliver as specified in the RFO. All Respondents must quote unit price on quantity and unit of measure specified. Prices must be extended with total shown. In case of errors in extension in Offers, unit prices shall govern. Offers subject to unlimited price increases will not be considered. Offers subject to percentage price increases will not be considered. 4. Additional Specifications. Respondents guarantee and warrant that all requested items offered will meet or exceed all specifications of this RFO. All items offered shall be new, in first class condition, including containers suitable for shipment and storage, unless otherwise indicated in this RFO. Samples, when requested, must be furnished free of expense to CPA. Samples will be returned to Respondent, on request, at Respondent's expense. Each sample should be marked with Respondent's name, address, and CPA’s requisition number. No substitutions or cancellations are permitted without prior written approval of CPA's Purchasing Section. 5. Testing; Acceptance; Return; Revocation. Prior to award and/or payment, all samples will be subject to inspection and testing by CPA and/or the State of Texas. CPA reserves the right to test sample requested items prior to award under this RFO and all costs of such testing shall be paid by Respondent. After award and prior to payment, CPA may conduct acceptance testing on the requested items delivered under any resulting PO. If the delivered and installed requested items fail to meet or exceed the acceptance criteria or any other requirement of this RFO or CPA’s PO, CPA may refuse to accept the requested items. If CPA refuses to accept the requested items, CPA shall return such requested items at Successful Respondent's sole expense. If the delivered requested items meet or exceed all conditions and requirements of this RFO, CPA shall notify Successful Respondent in writing that Successful Respondent may submit an invoice to CPA's Accounts Payable Division for such requested items. CPA reserves the right to revoke prior acceptance for, among other things, latent defects. 6. Delivery; Dates; Delays; Delivery Hours. Regardless of whether the latest acceptable delivery date is specified in the Mandatory Pricing Form of this RFO, Respondent must list the number of days required to place equipment or goods in CPA’s designated location under normal conditions. Failure to state a delivery time obligates Respondent to complete delivery in 14 calendar days or by latest acceptable delivery date specified in Section II or the Mandatory Pricing Form of this RFO. Unrealistically short or long delivery promises may cause an Offer to be disregarded. Consistent failure to meet delivery promises without valid reason may result in Respondent's removal from the Texas Procurement and Support Services’s (TPASS’s) Centralized Master Bidders List. If Respondent determines that it will be unable to comply with any schedule deadline or delivery of the requested items required under the PO, Respondent will notify CPA in advance in writing of the expected delay, the reason for the delay, and the date by which the requested items may be expected. CPA may, in its sole discretion, approve such delay in writing. Notwithstanding anything in this Part 6 to the contrary, CPA reserves the right to terminate all or any part of the PO and CPA does not waive any rights or remedies available to CPA for Successful Respondent's nonperformance under the PO. Delivery must be made during normal working hours only, unless prior written approval for delivery before or after normal working hours has been obtained from CPA's Purchasing Section. 7. Time for Submission. Offers must be time stamped at CPA's Purchasing Section before the hour and date specified in Section I of this RFO. Late Offers properly identified will be returned to Respondent unopened. Late Offers will not be considered under any circumstances. Request for Offers: Enterprise Content Management Solution Page 37 of 65
RFO# 304-14-0539PS 8. CPA's Address. When sending Offers via the U.S. Postal Service, use the Post Office address which is listed in Section I of this RFO. When using a delivery service, which requires a street address, use CPA's street address which is listed in Section I of this RFO. Note that the ZIP codes are different. 9. Respondent Identification. Offers must include Respondent’s Texas Identification Number, which is the taxpayer number assigned and used by CPA. If this number is not known, provide the Respondent’s Federal Employer’s Identification Number, if any, or for sole proprietors that do not have a Texas Identification Number or Federal Employer’s Identification Number, provide Respondent’s Social Security Number. 10. No Alterations or Withdrawals of Offer after Deadline. Offers cannot be altered or amended after the deadline specified in Section I of this RFO. Any alterations made before this deadline must be initialed by the Respondent or his authorized agent. No Offers can be withdrawn after this deadline without approval by CPA's Purchasing Section based on a written acceptable reason. 11. Selected Definitions. This Part defines the following terms as used throughout this RFO: employee, relative and financial interest. The term “employee” includes any individuals who, on behalf of Respondent, will or may participate in any contract resulting from this RFO. The term "employee" includes all officers, personnel, replacement personnel, agents, subcontractors and other representatives of Respondent regardless of how employed or contracted by Respondent. Successful Respondent’s employees are not and will not be considered employees of CPA. Successful Respondent is solely responsible for its employees and for providing quality assurance review of all deliverables prior to their delivery to CPA under the PO. The term “relative” includes a current or former CPA’s employee’s spouse, father, mother, brother, sister, son or stepson, daughter or stepdaughter, mother-in-law, father-in-law, sister-in-law, brother-in-law, son-in-law, or daughter-in-law. The term “financial interest” means receiving, or right to receive, money or other valuable property or benefits under the actual or proposed contract; holding a position in a business such as a principal, officer, director, trustee, partner, employee, or the like, or holding any position of management; holding any of the outstanding debt of a person directly involved in the proposed or resulting contract; or owning stock or other interest in the business. 12. Tie Offers. Consistent and continued tie Offers could cause rejection of Offers by CPA's Purchasing and Contracting Sections and/or investigation of antitrust violations. 13. Facsimile Offers. If facsimile responses are allowed for this RFO, CPA will accept facsimile responses if CPA receives an identical original and correct number of additional copies by 5 p.m. the next business day. CPA will not be responsible for Offers being received late, illegible, incomplete, or otherwise non-responsive due to failure of electronic equipment or operator error. 14. Mail Preferred. RFOs are issued to allow sufficient time for receipt of the preferred mail response. CPA provides facsimile service under Part 13 of this Section V of this RFO as a convenience only. 15. Attachments. CPA will not consider any terms and conditions or other documents attached to an Offer as part of the Offer unless the Respondent specifically and prominently refers to each of them in the Transmittal Letter with its Offer. In addition, see other Parts of this Section V of this RFO, for example, Parts 16, 17, 18, 19, 20 and 21, regarding limitations on terms and conditions or attachments to Respondent's Offer. CPA reserves the right, in its sole discretion, to reject any Respondent terms and conditions or other documents or attachments as part of Respondent's Offer. 16. Incorporation of Entire RFO. Except as otherwise provided in the negotiated terms and conditions, if any, that are expressly identified as such in the formal signed agreement or PO resulting from this RFO, this entire RFO applies to and becomes part of any such agreement or PO. 17. Agreement between CPA and Respondent. Except as otherwise provided in the negotiated terms and conditions, if any, that are expressly identified as such in the formal signed agreement or PO resulting from this RFO, the entire agreement between CPA and Successful Respondent shall consist of the following documents: The PO and PO Change Notices, if any; The RFO; and Successful Respondent’s Offer. 18. Authority to Bind CPA; Execute Documents. Only the Comptroller or the Comptroller’s authorized delegate has authority to execute any documents or grant any permission on behalf of CPA with respect to this RFO or any resulting contract. CPA’s Purchasing Section has authority to issue the PO and PO Change Notices. 19. Conflicting Provisions. Except as otherwise provided in the negotiated terms and conditions, if any, that are expressly identified as such in the formal signed agreement or PO resulting from this RFO, in the event of conflicting terms or provisions between this RFO, the PO (and any PO Change Notices issued) and Respondent's Offer, this RFO and the PO and the PO Change Notices, if any, will control. 20. Unacceptable Terms in Respondent's Offer. No CPA action, including, but not limited to, issuance of a PO, will constitute an acceptance of conflicting terms, conditions or attachments in Respondent’s Offer; however, this lack of acceptance by CPA shall not apply to the negotiated terms and conditions, if any, that are expressly identified as such in the formal signed agreement Request for Offers: Enterprise Content Management Solution Page 38 of 65
RFO# 304-14-0539PS or PO resulting from this RFO. Such negotiated terms and conditions shall take precedence over the other documents that collectively constitute the contract as specifically provided in the formal signed agreement or PO resulting from this RFO. Proposed terms and conditions that may violate Texas law applicable to the specific procurement or may be unacceptable to CPA for inclusion in any formal signed agreement or PO resulting from the RFO include: Offers that incorporate the laws of a State other than Texas; Requirements for prepayment; Limitations on CPA's remedies; Requirements that CPA indemnify the Respondent; Requirements that Respondent's documents control in case of conflicts; Requirements that Respondent's documents control even if Respondent accepts or acknowledges the PO; and Disclaimer of warranties. Respondents are encouraged to submit questions regarding this Part 20, or any other provisions of this RFO, during the official question and answer period specified in this RFO or otherwise to the designated contact person for this RFO if there is no such period for this RFO. 21. Specifications; Performance. Respondent will provide the requested items of the quality and in the manner described in this RFO. Respondent's failure to conform to all requirements of this RFO may, among other things, result in CPA's withholding of acceptance and payments under the PO, CPA's cancellation of all or part of the PO, CPA’s revocation of any prior acceptance and Respondent’s refund of amounts paid prior to revocation of acceptance. 22. Respondent's Costs. Respondent will bear all costs and expenses for the provision of the requested items required by this RFO and the PO. All such costs and expenses are included in the prices detailed in the PO. No other amounts will be paid. 23. Prepayments. CPA, in its sole discretion, reserves the right to the extent permitted by Texas law and CPA regulations to prepay for any requested items delivered to or provided to CPA by Successful Respondent in its performance under the PO. CPA may inspect, test and evaluate the requested items prior to acceptance and payment. 24. Refunds. Successful Respondent will promptly refund or credit within thirty (30) calendar days any funds erroneously paid by CPA which are not expressly authorized under the PO. 25. Invoicing; Travel-related Expenses; Withholding of Payments. Successful Respondent will submit one copy of an itemized invoice showing the PO number to CPA’s Accounts Payable Division for all requested items which have been delivered, inspected, tested, evaluated and accepted by CPA. CPA will not reimburse for travel, meals, lodging or other related expenses unless specifically provided for in the agreement. In that event, such costs will be invoiced to CPA based on actual expenses and CPA shall not be liable for reimbursement of expenses that (1) were not pre-approved in writing by CPA or (2) exceed the current State Travel Regulations. Receipts are required to validate invoicing. 26. Termination and Cancellation Circumstances. circumstances:
The PO may be terminated or cancelled in any one of the following
26.1. Mutual Agreement. Upon the mutual written agreement of CPA and Successful Respondent, the PO may be terminated or cancelled. 26.2. CPA Upon 30 days Notice. CPA may, in its sole discretion, terminate or cancel the PO with thirty (30) calendar days written notice to Successful Respondent. Upon termination under this provision, Successful Respondent shall refund to CPA any amounts attributable to the terminated months within thirty (30) days of the termination. 26.3. Successful Respondent's Nonperformance. If Successful Respondent fails to comply with any requirement of the PO, including, but not limited to, this RFO, CPA may immediately terminate or cancel all or any part of the PO, may obtain substitute requested items, may withhold acceptance and payments to Successful Respondent, may revoke any prior acceptance, may require Successful Respondent to refund amounts paid prior to revocation of acceptance and may pursue all rights and remedies against Successful Respondent under the PO and any applicable law. In addition, CPA will report defaulting Successful Respondent to TPASS for TPASS's possible action against defaulting Successful Respondent. 26.4. Availability of State Funds; Legislative Action; Necessity of Performance. The PO is subject to termination or cancellation, without penalty to CPA, either in whole or in part, subject to the availability of state funds. CPA is a state agency whose authority and appropriations are subject to actions of the Texas Legislature. If CPA becomes subject to a legislative change, revocation of statutory authority, or lack of appropriated funds which would render either CPA’s or Successful Respondent’s delivery or performance under the PO impossible or unnecessary, the PO will be terminated or cancelled and be deemed null and void. In the event of a termination or cancellation under this Part, CPA will not be liable to Successful Respondent for any damages, which are caused or associated with such termination, or cancellation and CPA will not be required to give prior notice. Request for Offers: Enterprise Content Management Solution Page 39 of 65
RFO# 304-14-0539PS CPA reserves the right to recover reasonable costs, fees, expenses, and other amounts or damages available to CPA under the PO or under applicable law, including, but not limited to, attorneys' fees and court costs, if termination or cancellation is at Successful Respondent's request or if termination or cancellation is for cause. This right is in addition to any other remedies available to CPA under the PO or under applicable law. CPA reserves the right to pursue any and all applicable rights and remedies if the PO is terminated for any reason and CPA expressly waives no such rights or remedies. 27. Substitute Hardware, Software, Services or Warranties. In the event CPA terminates or cancels the PO for Successful Respondent’s nonperformance or for cause, CPA may procure, upon such reasonable terms and in such manner as it deems appropriate, substitute requested items similar to those so terminated or cancelled and Respondent will be liable to CPA for any excess or additional costs incurred by CPA in acquiring such requested items plus court costs and attorneys' fees. CPA's recovery of costs under this Part 27 is in addition to any other remedies available to CPA under the PO or under applicable law. 28. Notice of Termination or Cancellation Delivery. Any termination by CPA of the PO, which requires notice, may be accomplished by CPA's delivery to Successful Respondent of a notice of termination or cancellation specifying that the PO is terminated or cancelled. 29. Hours. If requested by CPA, Successful Respondent will provide delivery on-site at CPA five (5) days a week, Monday through Friday, 8:00 am to 5:00 pm, excluding weekends and State of Texas holidays; unless otherwise defined in Section II of this RFO. 30. Respondent Assignments. Respondent hereby assigns to CPA any and all claims for overcharges associated with this contract which arise under the antitrust laws of the United States 15 U.S.C.A. Section 1, et seq., and which arise under the antitrust laws of the State of Texas, Texas Business and Commerce Code Section 15.01, et seq. See also Part 38 of Section V of this RFO. 31. CPA’s Tax Exemption; Independent Contractor; Payment of Taxes by Respondent. Purchases made for State use are exempt from the State Sales Tax and Federal Excise Tax. Respondents must not include taxes in Offers. CPA will furnish Tax Exemption Certificates upon request. Successful Respondent will serve as an independent contractor under any PO resulting from this RFO. Successful Respondent must be able to demonstrate on-site compliance with the Federal Tax Reform Act of 1986 dealing with issuance of Form W-2’s to Respondent’s employees. Successful Respondent will be solely responsible for payment of all taxes, including, but not limited to, state, federal, foreign, or local taxes, income taxes, withholding taxes, social security taxes, pension contributions, and any other form of payroll or any other taxes, for Successful Respondent and Successful Respondent’s employees. CPA will have no responsibility for payment of any such taxes or amounts related to such taxes. At Successful Respondent’s sole cost and expense, Successful Respondent will secure and maintain any and all insurance premiums which are required by this RFO, the PO or are necessary to protect the interests of the State of Texas and CPA or which Successful Respondent may need or desire for Successful Respondent or Successful Respondent’s employees. Successful Respondent shall indemnify CPA and pay to CPA all costs, penalties, losses, and other amounts resulting from the Successful Respondent’s omission or breach of this Part 31. 32. Warranties. Notwithstanding any disclaimers in any Offer or other Respondent document and notwithstanding any other provision of this RFO or the PO to the contrary, Respondent warrants and guarantees all of the following with respect to all requested items required under the PO: 32.1. RFO and Manufacturer’s Warranties. Respondent warrants and guarantees that all requested items meet all specifications of the PO, including, but not limited to, this RFO; in addition, Respondent shall provide manufacturer’s standard warranty for all requested items. 32.2. Replacement and Other Warranties. Respondent will provide a one (1) year full replacement warranty for all requested items and will provide any other warranties specified in Section II of the RFO. These warranties begin on the date CPA accepts the hardware and/or software. All warranties required by the PO survive beyond the termination, cancellation or expiration date of this RFO and the PO. Respondent Documents and this RFO’s requirements will not be construed to limit any rights or remedies otherwise available to CPA under this RFO, the PO or any applicable law. 33. Termination or Cancellation Effectiveness. Unless otherwise specified in this RFO or the PO, any termination or cancellation of the PO will be effective upon the date specified in CPA's notice of termination or cancellation. 34. Limitation on Authority; No Other Obligations. Respondent will have no authority to act for or on behalf of CPA or the State of Texas except as expressly provided for in the PO; no other authority, power or use is granted or implied. Respondent may not incur any debt, obligation, expenses, or liability of any kind on behalf of CPA or the State of Texas. 35. Confidential Information; Nondisclosure Agreements; Texas Public Information Act (formerly Texas Open Records Act). Successful Respondent and Successful Respondent’s employees shall not disclose to anyone, directly or indirectly, any information designated by CPA as confidential or to information accessed as a result of any contract resulting from this RFO without the prior written consent of CPA. In addition, Successful Respondent and Successful Respondent’s employees initially assigned to the contract must sign a copy of the Nondisclosure Agreement prior to the contract commencement date. Any Request for Offers: Enterprise Content Management Solution Page 40 of 65
RFO# 304-14-0539PS additional or replacement employees of Successful Respondent assigned to the contract must sign the Nondisclosure Agreement prior to the start of their assignment. The Nondisclosure Agreement is Section VIII of this RFO. Notwithstanding any provisions of this RFO to the contrary, Respondent understands that CPA will comply with the Texas Public Information Act (Chapter 552, Texas Government Code) as interpreted by judicial opinions and opinions of the Attorney General of the State of Texas. Successful Respondent is required to make any information created or exchanged with the state pursuant to any contract resulting from this RFO, and not otherwise excepted from disclosure under the Texas Public Information Act, available in a format that is accessible by the public at no additional charge to the state. In order to comply with such requirement, any information created or exchanged with CPA shall be in Word, Excel, or pdf format, as applicable. Information, documentation and other material in connection with this RFO and any resulting contract will be subject to public disclosure pursuant to the Texas Public Information Act. All Offers become the property of CPA and may be subject to release to any requester under the provisions of the Texas Public Information Act. After the award and/or execution of a final contract for a particular procurement, Offers submitted shall be presumed to be public information and to be subject to disclosure unless a specific exception to disclosure under the Texas Public Information Act applies. Each Respondent is advised to consult with its legal counsel regarding disclosure issues and take the appropriate precautions to safeguard trade secrets or other proprietary information. CPA assumes no obligation or responsibility relating to the disclosure or nondisclosure of information submitted by Respondent. If a Respondent believes that any portion of its Offer is confidential, then Respondent must so specify in its Offer. Respondent must stamp in bold red letters the term “CONFIDENTIAL” on that specific part or page of the Offer which Respondent believes to be confidential. Respondent must submit in writing specific detailed reasons, including any relevant legal authority, stating why Respondent believes the material to be confidential. Merely making a blanket claim that the entire Offer is protected from disclosure because it contains some proprietary information is not acceptable and will not render the entire Offer confidential. Vague and general claims as to confidentiality will not be accepted. CPA will determine whether a claim is general and/or vague in nature. All Offers and parts of Offers which are not marked as confidential will be automatically considered public information after the contract is awarded. The successful Offer may be considered public information even though parts are marked confidential. In the event CPA receives a request for portions of an Offer marked as “CONFIDENTIAL” as specified above, CPA shall forward such request to the Texas Attorney General’s Office for an opinion on whether such information may be withheld from disclosure under the Texas Public Information Act. CPA will notify the Respondent whose Offer is the subject of the request when the information is forwarded to the Texas Attorney General’s Office. CPA assumes no obligation for asserting legal arguments on behalf of a Respondent. See Section V, Part 2 regarding possible disqualification of an Offer due to certain copyrighted portions. Within three (3) days of receipt, Successful Respondent will refer to CPA any third party requests, received directly by Successful Respondent, for information to which Successful Respondent has access as a result of or in the course of performance under a contract resulting from this RFO. The provisions of this Part 35 survive the termination or expiration of any agreement resulting from this RFO. 36. No Other Benefits. Respondent has no exclusive rights or benefits other than those set forth herein. 37. Parties Bound. The PO will be binding upon and inure to the benefit of CPA and Successful Respondent and to their respective heirs, executors, administrators, legal representatives and successors. 38. Assignment. CPA or Successful Respondent may assign its interest in or duties or rights under the PO without prior written approval to: i) a successor in interest (for CPA, another state agency as designated by the Texas Legislature), or ii) a subsidiary, parent company, or affiliate. Assignment of the PO under the above terms shall require written notification by the assigning party. Any other assignment by a party shall require the written consent of the other party. 39. Time Limits. Time is of the essence in the PO and accordingly all time limits will be strictly construed and rigidly enforced. 40. No Waiver. No provision of the PO will constitute or be construed as a waiver of any of the privileges, rights, defenses, remedies, or immunities available to CPA as an agency of the State of Texas or otherwise available to CPA. The failure to enforce or any delay in the enforcement of any privileges, rights, defenses, remedies, or immunities detailed in the PO or otherwise available to CPA by law will not constitute a waiver of said privileges, rights, defenses, remedies, or immunities or be considered as a basis for estoppel. By issuing a PO, by its conduct prior to or subsequent to issuing the PO or by executing any agreement resulting from this RFO, CPA does not waive any privileges, rights, defenses, remedies, or immunities available to CPA as an agency of the State of Texas or otherwise available to CPA. The modification of any privileges, rights, defenses, remedies, or immunities available to CPA must be in writing, must reference this section, and must be signed by CPA to be effective, and such modification of any privileges, rights, defenses, remedies, or immunities available to CPA will not constitute a waiver of any subsequent privileges, rights, defenses, remedies, or immunities under the PO or under applicable law. 41. CPA Not Liable Upon Termination. If the PO is terminated for any reason, CPA and the State of Texas will not be liable to Successful Respondent for any damages, claims, losses or any other amounts arising from or related to any such termination. 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RFO# 304-14-0539PS 42. Personal Injury; Property Damage. Successful Respondent will be liable for any bodily injury or personal injury to any individual caused by Successful Respondent or Successful Respondent’s employees or Successful Respondent’s defective products. In the event of loss, destruction or damage to any CPA or State of Texas property by Successful Respondent or Successful Respondent’s employees, Successful Respondent will indemnify CPA and the State of Texas and pay to CPA and the State of Texas the full cost of repair, reconstruction or replacement of the lost, destroyed or damage property, at CPA’s election. Successful Respondent will reimburse CPA and the State of Texas for such property damage within ten (10) calendar days after Successful Respondent’s receipt of CPA’s notice of amount due. 43. INDEMNIFICATION. SUCCESSFUL RESPONDENT SHALL DEFEND, INDEMNIFY, AND HOLD HARMLESS THE STATE OF TEXAS, ITS OFFICERS, AND EMPLOYEES, AND CPA, ITS OFFICERS, AND EMPLOYEES AND CONTRACTORS, FROM AND AGAINST ALL CLAIMS, ACTIONS, SUITS, DEMANDS, PROCEEDINGS, COSTS, DAMAGES, AND LIABILITIES, INCLUDING WITHOUT LIMITATION ATTORNEYS’ FEES AND COURT COSTS, ARISING OUT OF, CONNECTED WITH, OR RESULTING FROM ANY ACTS OR OMISSIONS OF SUCCESSFUL RESPONDENT OR ANY AGENT, EMPLOYEE, SUBCONTRACTOR, OR SUPPLIER OF SUCCESSFUL RESPONDENT IN THE EXECUTION OR PERFORMANCE OF ANY CONTRACT RESULTING FROM THIS RFO. SUCCESSFUL RESPONDENT SHALL COORDINATE ITS DEFENSE WITH THE TEXAS ATTORNEY GENERAL AS REQUESTED BY CPA. SUCCESSFUL RESPONDENT MAY NOT AGREE TO ANY SETTLEMENT WITHOUT FIRST OBTAINING THE CONCURRENCE FROM THE TEXAS ATTORNEY GENERAL. SUCCESSFUL RESPONDENT AND CPA AGREE TO FURNISH TIMELY WRITTEN NOTICE TO EACH OTHER OF ANY SUCH CLAIM. THIS PARAGRAPH 43 IS NOT INTENDED TO AND SHALL NOT BE CONSTRUED TO REQUIRE SUCCESSFUL RESPONDENT TO INDEMNIFY OR HOLD HARMLESS THE STATE OR CPA FOR ANY CLAIMS OR LIABILITIES RESULTING FROM THE NEGLIGENT ACTS OR OMISSIONS OF CPA OR ITS EMPLOYEES. 44. Patent, Trademark, Copyright Infringement. Respondent will defend and indemnify CPA and the State of Texas against claims of patent, trademark, copyright, trade secret or other proprietary rights, violations or infringement arising from CPA's or Successful Respondent's use of or acquisition of any requested services or other items provided to CPA by Successful Respondent or otherwise to which CPA has access as a result of Successful Respondent’s performance under the PO, provided that CPA will notify Successful Respondent of any such claim within a reasonable time of CPA’s receiving notice of any such claim. If Successful Respondent is notified of any claim subject to this Part 44, Successful Respondent will notify CPA of such claim within five (5) working days of such notice. Successful Respondent will make no settlement of any such claim without CPA's prior written approval. Successful Respondent will reimburse CPA and the State of Texas for any claims, damages, costs, expenses or other amounts, including, but not limited to, attorneys' fees and court costs, arising from any such claim. Successful Respondent shall pay all reasonable costs of CPA’s counsel. If CPA determines that a conflict exists between its interests and those of Successful Respondent or if CPA is required by applicable law to select separate counsel, CPA will be permitted to select separate counsel and Successful Respondent will pay all reasonable costs of such CPA counsel. Successful Respondent represents and warrants that it has determined what licenses, patents and permits are required under the PO and has acquired all such licenses, patents and permits. 45. Texas Law; Venue. The PO will be governed by and construed under and in accordance with the laws of the State of Texas. Any and all obligations or payments under the PO are due and payable in Travis County, Texas, and venue is proper in only such county. 46. Support Documents; Inspection of Records. Successful Respondent will maintain and retain supporting fiscal documents adequate to ensure that claims for contract funds are in accordance with applicable State of Texas requirements. These supporting fiscal documents will be maintained and retained by Successful Respondent for a period of four (4) years after the date of submission of the final invoices or until a resolution of all billing questions, whichever is later. Successful Respondent will make available at reasonable times and upon reasonable notice, and for reasonable periods, work papers, reports, books, records, and supporting documents kept current by Successful Respondent pertaining to the PO for purposes of inspecting, monitoring, auditing, or evaluating by CPA or the State of Texas. 47. Notices. Any written notices required under the PO will be by either hand delivery to Successful Respondent’s office or to CPA’s Austin office, attention Manager of Support Services Division, or by U.S. Mail, certified, return receipt requested. Notice will be effective on receipt by the affected party. CPA and Successful Respondent agree that either party may change the designated notice address in this Part by written notification to the other party. 48. Deceptive Trade Practices Act (DTPA), Unfair Business Practices. Respondent represents and warrants that it has not been the subject of a DTPA or any unfair business practice administrative hearing or court suit and that Respondent has not been found to be liable of such practices in such proceedings. Respondent certifies that it has no officers who have served as officers of other entities who have been the subject of a DTPA or any unfair business administrative hearing or court suit and that such officers have not been found to be liable of such practices in such proceedings. 49. Immigration. Respondent represents and warrants that it shall comply with the requirements of the Immigration Reform and Control Act of 1986 and 1990 regarding employment verification and retention of verifications forms for any individuals hired on Request for Offers: Enterprise Content Management Solution Page 42 of 65
RFO# 304-14-0539PS or after November 6, 1986, who will perform any labor or services under the PO and the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA) enacted on September 30, 1996. 50. Franchise Taxes. Respondent represents and warrants that it is not currently delinquent in the payment of any franchise taxes owed the State of Texas under Chapter 171, Texas Tax Code. 51. No Conflicts. Respondent represents and warrants that Respondent has no actual or potential conflicts of interest in providing the requested items to CPA under the RFO and any resulting PO, if any, and that Respondent’s provision of the requested items under the RFO and any resulting PO, if any, would not reasonably create an appearance of impropriety. 52. False Statements; Breach of Representations, etc. If Respondent signs the Offer with a false statement or it is subsequently determined that Respondent has violated any of the representations, warranties, guarantees, certifications or affirmations included in this RFO, Respondent will be in default under the PO and CPA may terminate or void the PO. 53. Force Majeure. Except as otherwise provided, neither Successful Respondent nor CPA shall be liable to the other for any delay in, or failure of performance, of any requirement included in the PO caused by force majeure. The existence of such causes of delay or failure shall extend the period of performance until after the causes of delay or failure have been removed provided the non-performing party exercises all reasonable due diligence to perform. Force majeure is defined as acts of God, war, fires, explosions, hurricanes, floods, failure of transportation, or other causes that are beyond the reasonable control of either party and that by exercise of due foresight such party could not reasonably have been expected to avoid, and which, by the exercise of all reasonable due diligence, such party is unable to overcome. Each party must inform the other in writing, with proof of receipt, within three (3) business days of the existence of such force majeure, or otherwise waive this right as a defense. 54. Subcontracts. Respondent may not subcontract for any of the equipment, software, warranties or services required under the PO without the prior written consent of CPA. Respondent expressly understands and acknowledges that in entering into any approved subcontract, CPA or the State of Texas is not liable to any subcontractor of Respondent for any amounts. Respondent will retain responsibility for ensuring that the performances rendered under any subcontracts comply with all requirements of this procurement as if Respondent rendered such performances. 55. Title; Ownership; Licenses. CPA and the State of Texas will receive and Successful Respondent will convey to CPA and the State clear title, ownership and licenses, whichever is applicable, to all requested items under the PO. 56. Severability. If any provision of the PO will, for any reason, be held to violate any applicable law, and so much of the PO is held to be unenforceable, then the invalidity of such a specific provision will not be held to invalidate any other provisions, which other provisions will remain in full force and effect unless removal of said invalid provisions destroys the legitimate purpose of the PO, in which event the PO will be canceled. 57. Recycled, Remanufactured, or Environmentally Sensitive Materials. Under Section 2155.445, Texas Government Code (relating to preference to recycled materials), CPA will give preference in the solicitation of products made of recycled, remanufactured, or environmentally sensitive products if the products meet applicable specifications as to quantity and quality. CPA and the State of Texas are required to expend a minimum of eight percent (8%) of its consumable procurement budget for materials, supplies, and equipment that have recycled material content or are remanufactured or environmentally sensitive as those terms are defined by TPASS. 58. Entire Agreement. Except as expressly provided otherwise herein, the PO will represent the entire agreement by and between CPA and Successful Respondent regarding the subject matter of this RFO. This agreement may not be changed except by CPA's written Change Notice to the PO or otherwise by the mutual written agreement of the parties. 59. Dispute Resolution Processes. Chapter 2260, Texas Government Code (“Chapter 2260”) prescribes dispute resolution processes for certain breach of contract claims applicable to certain contracts for goods and services. As required by Chapter 2260, CPA has adopted rules under Chapter 2260, codified at 34 Texas Administrative Code §§1.360 – 1.387, and may adopt revisions to these rules throughout the term of the contract, including any extensions. The Successful Respondent and CPA shall comply with such rules. The dispute resolution process provided for in Chapter 2260 shall be used, as further described herein, by CPA and the Successful Respondent to attempt to resolve any claim for breach of contract made by the Successful Respondent under any contract resulting from this RFO: (A) The Successful Respondent’s claim for breach of the contract that the parties cannot resolve in the ordinary course of business shall be submitted to the negotiation process provided in Chapter 2260. To initiate the process, the Successful Respondent shall submit written notice, as required by Chapter 2260, to the Deputy Comptroller or his or her designee. Said notice shall also be given to all other representatives of CPA and the Successful Respondent otherwise entitled to notice under the contract. Compliance by the Successful Respondent with Chapter 2260 is a condition precedent to the filing of a contested case proceeding under Chapter 2260.
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RFO# 304-14-0539PS (B) The contested case process provided in Chapter 2260 is the Successful Respondent’s sole and exclusive process for seeking a remedy for an alleged breach of contract by CPA if the parties are unable to resolve their disputes under subparagraph (A) of this Section. (C) Compliance with the contested case process provided in Chapter 2260 is a condition precedent to seeking consent to sue from the Legislature under Chapter 107, Civ. Prac. and Rem. Code. Neither the execution of a contract by CPA nor any other conduct of any representative of CPA relating to a contract resulting from this RFO shall be considered a waiver of sovereign immunity to suit. For all other specific breach of contract claims or disputes under the contract, the following shall apply: Should a dispute arise out of the contract, CPA and the Successful Respondent shall first attempt to resolve it through direct discussions in a spirit of mutual cooperation. If the parties’ attempts to resolve their disagreements through negotiations fail, the dispute will be mediated by a mutually acceptable third party to be chosen by CPA and the Successful Respondent within fifteen (15) days after written notice by one of them demanding mediation under this Section. The Successful Respondent shall pay all costs of the mediation unless CPA has appropriated funds available to pay up to half of such costs. By mutual agreement, CPA and the Successful Respondent may use a non-binding form of dispute resolution other than mediation. The purpose of this Section is to reasonably ensure that CPA and the Successful Respondent shall in good faith utilize mediation or another non-binding dispute resolution process before pursuing litigation. CPA’s participation in or the results of any mediation or another non binding dispute resolution process under this Section or the provisions of this Section shall not be construed as a waiver by CPA of (1) any rights, privileges, defenses, remedies or immunities available to CPA as an agency of the State of Texas or otherwise available to CPA; (2) CPA’s termination rights; or (3) other termination provisions or expiration dates of the contract. Notwithstanding any other provision of the contract to the contrary, the Successful Respondent shall continue performance and shall not be excused from performance during the period any breach of contract claim or dispute is pending under either of the above processes, however, Successful Respondent may suspend performance during the pendency of such claim or dispute if Successful Respondent has complied with all provisions of Section 2251.051, Texas Government Code, and such suspension of performance is expressly applicable and authorized under that law. 60. Applicable Law and Conforming Amendments. Successful Respondent must comply with all laws, regulations, requirements and guidelines applicable to a vendor providing services and products described in this RFO to the State of Texas, as these laws, regulations, requirements and guidelines currently exist and as amended throughout the term of any contract resulting from this RFO. CPA reserves the right, in its sole discretion, to unilaterally amend any PO resulting from this RFO prior to award and throughout the term of the contract to incorporate any modifications necessary for CPA’s compliance, as an agency of the State of Texas, with all applicable state and federal laws, regulations, requirements and guidelines. 61. Media Releases. CPA does not endorse any vendor, commodity, or service. Respondents are not authorized to make or participate in any media releases pertaining to this procurement, the Offer or the services to which they relate without CPA’s prior written consent, and then only in accordance with explicit written instructions from CPA. Disclosure of any Offer prior to contract award or violation of this Part 61 may result in disqualification of Respondent’s Offer and subject the Respondent to other action deemed appropriate by CPA. 62. Direct Deposit. Certain payments from the State may be directly deposited into Successful Respondent’s bank account or may be made by warrant. Respondents who may be eligible for direct deposit and who wish to be paid by direct deposit, must complete the form titled “Vendor Direct Deposit Authorization” and return it as soon as possible to: Comptroller of Public Accounts, Attention: Budget and Internal Accounting Division, Accounts Payable Section, LBJ State Office Building, 111 E. 17 th Street, Austin, Texas 78774. 63. Equal Opportunity. Respondent represents and warrants that it shall not discriminate against any person on the basis of race, color, national origin, creed, religion, political belief, sex, sexual orientation, age, and disability in the performance of any contract resulting from this RFO. 64. Favors. Respondent represents and warrants that it has not given, 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 any public servant or employee in connection with the Offer. 65. Antitrust. Respondent represents and warrants that, pursuant to 15 U.S.C. Section 1, et seq. and Texas Business and Commerce Code Section 15.01, et seq., neither Respondent nor the firm, corporation, partnership, or institution represented by Respondent, or anyone acting for such a firm, corporation or institution has violated the antitrust laws of this state, federal antitrust laws, nor communicated directly or indirectly the Offer made to any competitor or any other person engaged in such line of business. 66. Financial Interests. Pursuant to Section 2155.004(a), Texas Government Code, Respondent represents and warrants that neither Respondent nor any person or entity which will participate financially in any PO resulting from this RFO has received Request for Offers: Enterprise Content Management Solution Page 44 of 65
RFO# 304-14-0539PS compensation for participation in preparation of specifications for this RFO. Under Section 2155.004, Texas Government Code, Respondent certifies that the individual or business entity named in this Offer or any PO resulting from this RFO is not ineligible to receive the specified contract and acknowledges that the PO may be terminated and payment withheld if this certification is inaccurate. 67. Americans With Disabilities Act (ADA). Respondent represents and warrants that it will comply with the requirements of the ADA. 68. Child Support. Under Section 231.006, Texas Family Code, regarding child support, Respondent certifies that the individual or business named in the offer is not ineligible to receive the specified payment and acknowledges that the PO may be terminated and payment may be withheld if this certification is inaccurate. Furthermore, any Respondent subject to Section 231.006, Texas Family Code, must include names and Social Security numbers of each person with at least 25% ownership of the business entity submitting the offer. This information must be provided prior to award. 69. Protest Procedures. Any actual or prospective Respondent who is aggrieved in connection with this RFO, evaluation, or award of any contract resulting from this RFO may formally protest as provided in CPA’s rules at 34 Texas Administrative Code §1.72. Respondents may protest any term or condition of this RFO within ten (10) working days of issuance of the RFO, as provided in that rule. 70. Buy Texas, Product Preference. In accordance with Section 2155.4441, Texas Government Code, Respondent agrees that during the performance of a contract for services it shall purchase products and materials produced in Texas when they are available at a price and time comparable to products and materials produced outside this state. 71. Debts or Delinquencies to State. Respondent acknowledges and agrees that, to the extent Respondent owes any debt, including but not limited to delinquent taxes or child support to the State of Texas, any payments or other amounts Respondent is otherwise owed under or related to any PO resulting from this RFO may be applied by CPA toward any debt Respondent owes the State of Texas until the debt is paid in full. These provisions are effective at any time Respondent owes any such debt or delinquency. Respondent shall comply with rules adopted by CPA under Sections 403.055, 403.0551, 2252.903, Texas Government Code and other applicable laws and regulations regarding satisfaction of debts or delinquencies to the State of Texas. 72. Acceptance of Terms. By submitting an Offer, acknowledging and accepting the PO or delivering any of the required items under the PO, Respondent acknowledges, accepts and agrees to all terms of the PO, including, but not limited to, this RFO; however this acceptance by Respondent of all terms of the RFO by submission of an Offer does not apply to terms to which Respondent specifically takes an exception and offers an alternative in Respondent’s Offer as provided in Section II of this RFO. 73. Right to Audit. In addition to and without limitation on the other audit provisions of this RFO or any PO resulting from this RFO, pursuant to Section 2262.003, Texas Government Code, the state auditor may conduct an audit or investigation of Successful Respondent or any other entity or person receiving funds from the state directly under any PO resulting from this RFO or indirectly through a subcontract under any PO resulting from this RFO. The acceptance of funds by Successful Respondent or any other entity or person directly under any PO resulting from this RFO or indirectly through a subcontract under any PO resulting from this RFO acts as acceptance of the authority of the state auditor, under the direction of the legislative audit committee, to conduct an audit or investigation in connection with those funds. Under the direction of the legislative audit committee, the Successful Respondent or other entity that is the subject of an audit or investigation by the state auditor must provide the state auditor with access to any information the state auditor considers relevant to the investigation or audit. This RFO or any PO resulting from this RFO may be amended unilaterally by CPA to comply with any rules and procedures of the state auditor in the implementation and enforcement of Section 2262.003, Texas Government Code. Successful Respondent shall ensure that this paragraph concerning the authority to audit funds received indirectly by subcontractors through the Successful Respondent and the requirement to cooperate is included in any subcontract it awards. 74. Prohibited Use of Appropriated or Other Funds Under Control of State Agency; Lobbying. Respondent represents and warrants that CPA's payments to Respondent and Respondent's receipt of appropriated or other funds under any PO resulting from this RFO are not prohibited by Sections 556.005, 556.0055, or 556.008, Texas Government Code. 75. Most Favored Customer. Successful Respondent represents and warrants that all prices, charges, benefits, warranties, and terms granted to CPA pursuant to any PO or other agreement resulting from this RFO are comparable to, or more favorable to, CPA than the prices, charges, benefits, warranties, and terms that Successful Respondent has heretofore offered to any person or entity for the products and/or services covered under any other agreement. If at any time during the term of any PO or other agreement resulting from this RFO, Successful Respondent shall contract with any other person or entity for prices, charges, benefits, warranties and terms more favorable to such person or entity, Successful Respondent must notify CPA of such more favorable terms and CPA, in its sole discretion, may require that such more favorable prices, charges, benefits, warranties or other terms be available to CPA under any PO or other agreement resulting from this RFO, and be retroactive to the date of such PO or other agreement. Request for Offers: Enterprise Content Management Solution Page 45 of 65
RFO# 304-14-0539PS 76. Rolling Estoppel. If Successful Respondent is aware a problem exists and fails to report the problem to CPA, Successful Respondent continues to be responsible for meeting the goals and timelines established in the final approved PO. Under these circumstances, CPA will not be liable for any detrimental consequences. 77. Property Rights. For purposes of this RFO, the term “Work” is defined as all work papers, work products, materials, approaches, designs, specifications, systems, software, programs, source code, documentation methodologies, concepts, intellectual property or other property developed, produced or generated in connection with the services provided under any agreement resulting from this RFO. CPA and Successful Respondent intend any agreement resulting from this RFO to be a contract for the services and each considers the Work and any and all documentation or other products and results of the services to be rendered by Successful Respondent to be a work made for hire. In submitting an offer in response to this RFO, Successful Respondent acknowledges and agrees that the Work (and all rights therein) belongs to and shall be the sole and exclusive property of CPA. If for any reason the Work would not be considered a work-for-hire under applicable law, Successful Respondent does hereby sell, assign, and transfer to CPA, its successors and assigns, the entire right, title and interest in and to the copyright in the Work and any registrations and copyright applications relating thereto and any renewals and extensions thereof, and in and to all works based upon, derived from, or incorporating the Work, and in and to all income, royalties, damages, claims and payments now or hereafter due or payable with respect thereto, and in and to all causes of action, either in law or in equity for past, present, or future infringement based on the copyrights, and in and to all rights corresponding to the foregoing. Successful Respondent agrees to execute all papers and to perform such other property rights, as CPA may deem necessary to secure for CPA or its designee the rights herein assigned. Successful Respondent and Successful Respondent’s employees will have no rights in or ownership of the Work and any and all documentation or other products and results of the services or any other property of CPA. No later than the first calendar day after the termination or expiration of any agreement resulting from this RFO or after CPA’s request, Successful Respondent will deliver to CPA all completed, or partially completed, Work and any and all documentation or other products and results of the services. Failure to timely deliver such Work or any and all documentation or other products and results of the services will be considered a material breach of the agreement. Successful Respondent will not make or retain any copies of the Work or any and all documentation or other products and results of the services without the prior written consent of CPA. 78. Evaluation Process. CPA will establish an evaluation committee. Evaluation of Offers will begin as soon as practical after receipt. Only those Offers that meet minimum qualifications will be evaluated. Offers that meet the minimum qualifications will be evaluated using the criteria and the weights set forth in Section I of this RFO. Clarifications on issues raised in the Offers may be sought from individual Respondents. Best and Final Offers may be sought from the Respondents whose Offers are ranked most highly by the evaluation committee. CPA reserves the right in its sole judgment and discretion, and at any time upon failure of negotiations, to reissue or withdraw the RFO rather than continue with negotiations. 79. Outsourcing. Respondent must understand that CPA may, in its sole discretion, enter into an outsourcing agreement with another provider which shall perform certain services for CPA. If CPA enters into such written agreement, Successful Respondent shall, as consistent with the terms of any contract or PO resulting from this RFO, grant the outsourcing vendor the right to use and access the services and/or equipment (e.g., software, hardware) on the same terms and conditions that Successful Respondent has granted CPA the right to use and access such services and/or equipment provided the outsourcing vendor also agrees that it (i) shall only use the services and/or equipment for the benefit of CPA, and (ii) shall enter into confidentiality agreement with CPA, which contains confidentiality terms that are substantially no less restrictive than the confidentiality terms contained in this RFO and any contract or PO resulting from this RFO. Successful Respondent further shall either fully cooperate with all such transition activities regarding such outsourcing; or Successful Respondent agrees that CPA shall have the right to immediately terminate or assign to the outsourcing vendor, any PO or contract resulting from this RFO without any liability for any amounts to Respondent. Notwithstanding the above, in no event may CPA transfer the services and/or equipment to another provider without the prior written consent of Successful Respondent. If the services and/or equipment are to be used at a site other than CPA’s, Successful Respondent, CPA and the third party must enter into a written third party use agreement prior to such use or access by such third party. 80. Information Security Requirements for Successful Respondent. a)
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b) Access to Confidential CPA Information. Successful Respondent represents and warrants that it will take all necessary and appropriate action within its abilities to safeguard CPA Confidential Information and to protect it from unauthorized disclosure. If communications with Successful Respondent necessitate the release of Confidential CPA Information, the Confidential Treatment of Information Acknowledgement (CTIA) form must be signed by each individual who will require access to or may be exposed to that information. See Section IX for the CTIA. Successful Respondent shall access CPA’s systems or Confidential CPA Information only for the purposes for which it is authorized. Request for Offers: Enterprise Content Management Solution Page 46 of 65
RFO# 304-14-0539PS Successful Respondent shall ensure that any confidential CPA Information in the custody of Successful Respondent is properly sanitized or destroyed when the information is no longer required to be retained by CPA or Successful Respondent in accordance with any agreement resulting from this RFO. Electronic media used for storing any Confidential CPA Information must be sanitized by clearing, purging or destroying in accordance with NIST Special Publication 800-88 Guidelines for Media Sanitization. Successful Respondent must maintain a record documenting the removal and completion of all sanitization procedures with the following information:
Date and time of sanitization/destruction, Description of the item(s) and serial number(s) if applicable, Inventory number(s), and Procedures and tools used for sanitization/destruction.
No later than sixty (60) days from contract expiration or termination or as otherwise specified in any agreement resulting from this RFO, Successful Respondent must complete the sanitization and destruction of the data and provide to CPA all sanitization documentation. Successful Respondent shall not access, process, store or transmit IRS Federal Taxpayer Information unless expressly authorized by an agreement resulting from this RFO. Successful Respondent shall comply with IRS Publication 1075 requirements if it accesses, processes, stores, or transmits IRS Federal Taxpayer Information. See Section V, Part 81 (Internal Revenue Service Data). c)
Access to Internal CPA Network and Systems. As a condition of gaining remote access to any internal CPA network and systems, Successful Respondent must comply with CPA’s policies and procedures. CPA’s remote access request procedures will require Successful Respondent to submit a Remote Access Request form for CPA’s review and approval. Remote access technologies provided by Successful Respondent must be approved by CPA’s Information Security Officer. Individuals who are provided with access to the CPA network or systems will be required to participate in CPA’s Security Awareness Training on an annual basis. The State of Texas and CPA’s Fiscal Year begins on September 1 and ends on August 31. Successful Respondent shall maintain records of all individuals who have completed the CPArequired training for the duration of the individual’s employment with Successful Respondent, plus five years. Upon CPA’s written request, Successful Respondent shall provide copies of the certificates of completion for the CPA’s Security Awareness Training. On November 1st of each year, Successful Respondent shall submit a list to CPA which identifies all individuals who have current access to CPA network or systems as well as the most recent training completion date for each individual. CPA, in its sole discretion, may deny network or system access to any individual that does not complete the CPA-required training within thirty (30) calendar days following the date of CPA’s grant of access under any PO resulting from this RFO. Successful Respondent must secure its own connected systems in a manner consistent with CPA requirements. CPA reserves the right to audit the security measures in effect on Successful Respondent’s connected systems without prior warning. CPA also reserves the right to immediately terminate network and system connections not meeting such requirements.
81. Internal Revenue Service Data. Reference Exhibit 7 (Contract Language for General Services) of IRS Publication No. 1075 posted 7-17-12. In performance of any contract resulting from this RFO, the Successful Respondent agrees to comply with and assume responsibility for compliance by its employees with the following requirements: (1) All work will be performed under the supervision of the Successful Respondent or the Successful Respondent's responsible employees. (2) Any Federal tax returns or return information (hereafter referred to as returns or return information) made available shall be used only for the purpose of carrying out the provisions of any contract resulting from this RFO. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of any contract resulting from this RFO. Inspection by or disclosure to anyone other than an officer or employee of the Successful Respondent is prohibited. (3) All returns and return information will be accounted for upon receipt and properly stored before, during, and after processing. In addition, all related output and products will be given the same level of protection as required for the source material. (4) No work involving returns and return information furnished under any contract resulting from this RFO will be subcontracted without prior written approval of the IRS. (5) The Successful Respondent will maintain a list of employees authorized access. Such list will be provided to CPA and, upon request, to the IRS reviewing office. (6) CPA will have the right to void the contract if the Successful Respondent fails to provide the safeguards described above. Each officer or employee of any person to whom returns or return information is or may be disclosed shall be notified in writing by such person that returns or return information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such returns or return information for a purpose or to an extent unauthorized herein constitutes a felony punishable upon conviction by a fine of as much as $5,000 or imprisonment for as long as five years, or both, together with the costs of prosecution. Such person shall also notify each such officer and employee that any Request for Offers: Enterprise Content Management Solution Page 47 of 65
RFO# 304-14-0539PS such unauthorized future disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount not less than $1,000 with respect to each instance of unauthorized disclosure. These penalties are prescribed by IRC Sections 7213 and 7431 and set forth at 26 CFR 301.6103(n)-1. Each officer or employee of any person to whom returns or return information is or may be disclosed shall be notified in writing by such person that any return or return information made available in any format shall be used only for the purpose of carrying out the provisions of any contract resulting from this RFO. Information contained in such material shall be treated as confidential and shall not be divulged or made known in any manner to any person except as may be necessary in the performance of any contract resulting from this RFO. Inspection by or disclosure to anyone without an official need to know constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000.00 or imprisonment for as long as 1 year, or both, together with the costs of prosecution. Such person shall also notify each such officer and employee that any such unauthorized inspection or disclosure of returns or return information may also result in an award of civil damages against the officer or employee in an amount equal to the sum of the greater of $1,000.00 for each act of unauthorized inspection or disclosure with respect to which such defendant is found liable or the sum of the actual damages sustained by the plaintiff as a result of such unauthorized inspection or disclosure plus in the case of a willful inspection or disclosure which is the result of gross negligence, punitive damages, plus the costs of the action. The penalties are prescribed by IRC Sections 7213A and 7431. Additionally, it is incumbent upon the Successful Respondent to inform its officers and employees of the penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C. 552a. Specifically, 5 U.S.C. 552a(i)(1), which is made applicable to contractors by 5 U.S.C. 552a(m)(1), provides that any officer or employee of a contractor, who by virtue of his/her employment or official position, has possession of or access to agency records which contain individually identifiable information, the disclosure of which is prohibited by the Privacy Act or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000. Granting Successful Respondent access to FTI must be preceded by certifying that each individual understands CPA’s security policy and procedures for safeguarding IRS information. Successful Respondent must maintain its authorization to access FTI through annual recertification. The initial certification and recertification must be documented and placed in CPA's files for review. As part of the certification and at least annually afterwards, Successful Respondent should be advised of the provisions of IRC Sections 7431, 7213, and 7213A (see Exhibit 6, IRC Sec. 7431 Civil Damages for Unauthorized Disclosure of Returns and Return Information and Exhibit 5, IRC Sec. 7213 Unauthorized Disclosure of Information). The training provided before the initial certification and annually thereafter must also cover the incident response policy and procedure for reporting unauthorized disclosures and data breaches. (See Section 10 of Publication 1075) For both the initial certification and the annual certification, the Successful Respondent should sign, either with ink or electronic signature, a confidentiality statement certifying their understanding of the security requirements. The IRS and CPA shall have the right to send its officers and employees into the offices and plants of the Successful Respondent for inspection of the facilities and operations provided for the performance of any work under any contract resulting from this RFO. On the basis of such inspection, specific measures may be required in cases where Successful Respondent is found to be noncompliant with contract safeguards. 82. Independent Contractor. Successful Respondent or Successful Respondent's employees, representatives, agents and any subcontractors shall serve as an independent contractor in providing the services under any PO resulting from this RFO. Successful Respondent and Successful Respondent's employees, representatives, agents and any subcontractors shall not be employees of CPA. Should Successful Respondent subcontract any of the services required in this RFO, Successful Respondent expressly understands and acknowledges that in entering into such subcontract(s), CPA is in no manner liable to any subcontractor(s) of Successful Respondent. In no event shall this provision relieve Successful Respondent of the responsibility for ensuring that the services rendered under all subcontracts are rendered in compliance with this RFO. 83. Representations and Warranties related to Software. If any Software is provided under any PO resulting from this RFO, Successful Respondent represents and warrants each of the following: Successful Respondent has sufficient right, title, and interest in the Software to grant the license required in this RFO; contract terms and conditions included in any “clickwrap,” “browsewrap,” “shrinkwrap,” or other license agreement that accompanies any Software, including but not limited to Software Updates, Software Patch/Fix, or Software Upgrades, provided under any PO resulting from this RFO are void and have no effect unless CPA specifically agrees to such licensure terms in a PO resulting from this RFO; the Software provided under any PO resulting from this RFO does not infringe upon or constitute a misuse or misappropriation of any patent, trademark, copyright, trade secret or other proprietary right; Software and any Software Updates, Software Maintenance, Software Patches/Fixes, and Software Upgrades provided under any PO resulting from this RFO shall not contain viruses, malware, spyware, key logger, back door or other covert communications, or any computer code intentionally designed to disrupt, disable, harm, or otherwise impede in any manner, including aesthetical disruptions or distortions, the operation of the computer program, or any other associated software, firmware, hardware, or computer system, (including local area or wide-area networks), in a manner not intended by its creator(s); and Software provided under any PO resulting from this RFO does not and will not contain any computer code that would disable the Software or impair in any way its operation based on the elapsing of a period of time, exceeding an authorized Request for Offers: Enterprise Content Management Solution Page 48 of 65
RFO# 304-14-0539PS number of copies, advancement to a particular date or other numeral, or other similar self-destruct mechanisms (sometimes referred to as a “time bombs”, “time locks”, or “drop dead” devices) or that would permit Successful Respondent to access the Software to cause such disablement or impairment (sometimes referred to as a “trap door” devices). 84. Discounts. If Successful Respondent at any time during the term of the contract provides a discount on the final negotiated contract costs, the Successful Respondent will notify CPA in writing ten (10) business days prior to effective date of discount. CPA will generate a PO Change Notice and send a corrected PO to the Successful Respondent. 85. Business Attire; Conduct; CPA guidelines. Successful Respondent must ensure that its employees conduct themselves in a professional manner and are in appropriate business attire when on CPA’s premises as a result of any PO issued under this RFO. In addition, Successful Respondent must ensure that its employees comply with all guidelines established by CPA for independent contractors required to provide services on CPA’s premises. These guidelines may address issues which include, but are not limited to, the following: building security, IT security, records, safety, professional conduct, use of State owned property, nondisclosure of confidential information, drug and alcohol free workplace rules, and other requirements for on-site independent contractors. 86. Executive Order #13224; Debarred Vendor List. Respondent represents and warrants that the offering entity and its principals are eligible to participate in this transaction and have not been subjected to suspension, debarment, or similar ineligibility determined by any federal, state, or local governmental entity and that Respondent is in compliance with the State of Texas statutes and rules relating to procurement and that Respondent is not listed on the federal government's terrorism watch list as described in Executive Order 13224. Entities ineligible for federal procurement are listed at http://www.sam.gov. 87. Technology Access Clause. The Respondent expressly acknowledges that state funds may not be expended in connection with the purchase of an automated information system unless that system meets certain statutory requirements relating to accessibility by persons with visual impairments. Accordingly, the Respondent represents and warrants to CPA that the technology provided to CPA for purchase is capable, either by virtue of features included within the technology or because it is readily adaptable by use with other technology, of: providing equivalent access for effective use by both visual and non-visual means; presenting information, including prompts used for interactive communications, in formats intended for non-visual use; and being integrated into networks for obtaining, retrieving, and disseminating information used by individuals who are not blind or visually impaired. For purposes of this paragraph, the phrase “equivalent access” means a substantially similar ability to communicate with or make use of the technology, either directly by features incorporated within the technology or by other reasonable means such as assistive devices or services which would constitute reasonable accommodations under the Americans With Disabilities Act or similar state or federal laws. Examples of methods by which equivalent access may be provided include, but are not limited to, keyboard alternatives to mouse commands and other means of navigating graphical displays, and customizable display appearance.” In accordance with Section 2157.005, Texas Government Code, the Technology Access Clause contract provision remains in effect for any contract entered into before September 1, 2006. 88. Electronic and Information Resources Accessibility Standards, 1 TAC §213.17. Respondent represents and warrants that any electronic and information resources products developed, procured, maintained, or used by CPA directly or used by the Respondent under any PO resulting from this RFO which requires the use of such product, or requires the use, to a significant extent, of such product in the performance of a service or the furnishing of a product complies with the applicable State of Texas Accessibility requirements for Electronic and Information Resources specified in the Department of Information Resources’ rules at 1 Texas Administrative Code Chapter 213. 89. Drug Free Workplace. Respondent represents and warrants that it shall comply with the applicable provisions of the DrugFree Work Place Act of 1988 (Public Law 100-690, Title V, Subtitle D; 41 U.S.C. 701 et seq.) and maintain a drug-free work environment; and the final rule, government-wide requirements for drug-free work place (grants), issued by the Office of Management and Budget and the Department of Defense (32 CFR Part 280, Subpart F) to implement the provisions of the DrugFree Work Place Act of 1988 is incorporated by reference and Respondent shall comply with the relevant provisions thereof, including any amendments to the final rule that may hereafter be issued. 90. Federal Occupational Safety and Health Law. Respondent represents and warrants that all articles and services quoted in response to this RFO meet or exceed the safety standards established and promulgated under the Federal Occupational Safety and Health Law and its regulations in effect or proposed as of the date of this solicitation. 91. Survival of Terms. Termination of the PO for any reason shall not release the Respondent from liability or obligation set forth in the PO that is expressly stated to survive any such termination or by its nature would be intended to be applicable following any such termination, including the provisions regarding confidentiality, indemnification, transition, records, audit, property rights, dispute resolution, invoice and fees verification. Request for Offers: Enterprise Content Management Solution Page 49 of 65
RFO# 304-14-0539PS 92. Respondent is responsible for any expense related to the preparation and submission of an Offer. CPA shall pay no costs or other amounts incurred by any entity in responding to this RFO or incurred prior to the effective date of any PO resulting from this RFO. CPA reserves the right, in its sole discretion, to award the PO without discussion of responses with Respondent(s). CPA reserves the right to reject any or all submitted Offers, and thereby, is not required to award any PO as a result of this RFO. All Offers will become a part of CPA’s official procurement files and will be available for public inspection.
Request for Offers: Enterprise Content Management Solution Page 50 of 65
RFO# 304-14-0539PS
VI.
Execution of Offer
1.
By signature hereon, Respondent represents and warrants that the provisions in this Execution of Offer apply to Respondent and all of Respondent’s principals, officers, directors, shareholders, partners, owners, agents, employees, subcontractors, independent contractors, and any other representatives who may provide services under, who have a financial interest in, or otherwise are interested in this RFO or any contract resulting from it.
2.
By signature hereon, Respondent represents and warrants its intent to furnish the requested items at the prices quoted in its Offer.
3.
By signature hereon, Respondent represents and warrants that it has read and understood and shall comply with CPA’s AntiFraud Policy, located on CPA's website at http://www.window.texas.gov/ssv/ethics.html, as such Policy currently reads and as it is amended throughout the term of any resulting contract.
4.
By signature hereon, Respondent represents and warrants that its prices include all costs of Respondent in providing the requested items that meet all specifications of this RFO, and that its prices will remain firm for acceptance for a minimum of ninety (90) days from deadline for submission of Offer.
5.
By signature hereon, Respondent represents and warrants that each employee, including ‘replacement employees’, will possess the qualifications, education, training, experience and certifications necessary to perform the services in the manner required by this RFO.
6.
By signature hereon, Respondent represents and warrants that it has no actual or potential conflicts of interest in providing the requested items to CPA under the RFO and any resulting contract, if any, and that Respondent’s provision of the requested items under the RFO and any resulting contract, if any, would not reasonably create an appearance of impropriety.
7.
By signature hereon, Respondent represents and warrants that, pursuant to Section 2155.003, Texas Government Code, it has not given, nor intends to give at any time hereafter, any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor or service to a public servant in connection with the submitted Offer.
8.
By signature hereon, Respondent represents and warrants that it is not currently delinquent in the payment of any franchise taxes owed the State of Texas under Chapter 171, Texas Tax Code.
9.
By signature hereon, Respondent hereby represents and warrants that, pursuant to 15 U.S.C. Section 1, et seq. and Texas Business and Commerce Code Section 15.01, et seq., neither Respondent nor the firm, corporation, partnership, or institution represented by Respondent, or anyone acting for such a firm, corporation or institution has violated the antitrust laws of this state, federal antitrust laws, nor communicated directly or indirectly the Offer made to any competitor or any other person engaged in such line of business.
10. By signature hereon, Respondent represents and warrants that all statements and information prepared and submitted in response to this RFO are current, complete and accurate. 11. By signature hereon, Respondent represents and warrants that the individual signing this document and the documents made part of this RFO and Offer is authorized to sign such documents on behalf of the company and to bind the company under any contract which may result from the submission of this Offer. 12. By signature hereon, Respondent represents and warrants that if a Texas address is shown as the address of the Respondent, Respondent qualifies as a Texas Bidder as defined by 34 Texas Administrative Code §20.32(68). 13. Check below if preference claimed under 34 Texas Administrative Code §20.38: □ Goods produced or offered by a Texas bidder that is owned by a Texas resident service-disabled veteran □ Goods produced in Texas or offered by a Texas bidder that is not owned by a Texas resident service-disabled veteran □ Agricultural products grown in Texas □ Agricultural products offered by a Texas bidder □ Services offered by a Texas bidder that is owned by a Texas resident service-disabled veteran □ Services offered by a Texas bidder that is not owned by a Texas resident service disabled veteran □ Texas Vegetation Native to the Region □ USA produced supplies, materials or equipment □ Products of persons with mental or physical disabilities □ Products made of recycled, remanufactured, or environmentally sensitive materials including recycled steel □ Energy Efficient Products □ Rubberized asphalt paving material □ Recycled motor oil and lubricants □ Products produced at facilities located on formerly contaminated property □ Products and services from economically depressed or blighted areas Request for Offers: Enterprise Content Management Solution Page 51 of 65
RFO# 304-14-0539PS □ □ □ □
Vendors that meet or exceed air quality standards Recycled or Reused Computer Equipment of Other Manufacturers Foods of Higher Nutritional Value Commercial production company or advertising agency located in Texas
14. By signature hereon, under Section 231.006, Texas Family Code, regarding child support, Respondent certifies that the individual or business named in the offer is not ineligible to receive the specified payment and acknowledges that the contract may be terminated and payment may be withheld if this certification is inaccurate. Furthermore, any Respondent subject to Section 231.006, Texas Family Code, must include names and Social Security numbers of each person with at least 25% ownership of the business entity submitting the offer. This information must be provided prior to award. Enter the Name and Social Security Number for each person below: Name: _______________________________________________________ Name: _______________________________________________________ Name: _______________________________________________________
SSN: _________________________ SSN: _________________________ SSN: _________________________
FEDERAL PRIVACY ACT NOTICE: This notice is given pursuant to the Federal Privacy Act. Disclosure of your Social Security Number (SSN) is required under Section 231.006(c) and Section 231.302(c)(2), Texas Family Code. 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 Section 231.302(e), Texas Family Code.
15. By signature hereon, Respondent represents and warrants that no relationship, whether by relative, business associate, capital funding contract or by any other such kinship exist between Respondent and an employee of any CPA component, and Respondent has not been an employee of any CPA component within the immediate twelve (12) months prior to Respondent’s Offer. By signature hereon, Respondent certifies that it is in compliance with Section 669.003, Texas Government Code, relating to contracting with executive head of a state agency. Respondent must complete the following, marking “N/A” if not applicable: Name of Former Executive: ______________________________ Name of State Agency: __________________________________ Date of Separation from State Agency: ______________________ Position with Respondent: ________________________________ Date of Employment with Respondent: ______________________ All such disclosures will be subject to administrative review and approval prior to CPA entering into any contract with Respondent. Respondent acknowledges that any contract resulting from this RFO may be terminated at any time, and payments withheld, if this information is false. 16. By signature hereon, pursuant to Section 2155.004(a), Texas Government Code Respondent represents and warrants that neither it nor any person or entity which will participate financially in any contract resulting from this RFO has received compensation for participation in the preparation of specifications for this RFO. In addition, under Section 2155.004, Texas Government Code, Respondent certifies that the individual or business entity named in this Offer or any contract resulting from this RFO is not ineligible to receive the specified contract and acknowledges that the contract may be terminated and payment withheld if this certification is inaccurate. 17. By signature hereon, in accordance with Section 2155.4441, Texas Government Code, Respondent agrees that during the performance of a contract for services it shall purchase products and materials produced in Texas when they are available at a price and time comparable to products and materials produced outside this state. 18. By signature hereon, Respondent represents and warrants that CPA's payments to Respondent and Respondent's receipt of appropriated or other funds under any contract resulting from this RFO are not prohibited by Sections 556.005, 556.0055 or 556.008, Texas Government Code. 19. By signature hereon, Respondent represents and warrants that the offering entity and its principals are eligible to participate in this transaction and have not been subjected to suspension, debarment, or similar ineligibility determined by any federal, state, or local governmental entity and that Respondent is in compliance with the State of Texas statutes and rules relating to procurement and that Respondent is not listed on the federal government's terrorism watch list as described in Executive Order 13224. Entities ineligible for federal procurement are listed at http://www.sam.gov. 20. Sections 2155.006 and 2261.053, Texas Government Code, prohibit state agencies from awarding a contract to any person who, in the past five years, has been convicted of violating a federal law or assessed a penalty in connection with a contract involving relief for Hurricane Rita, Hurricane Katrina, or any other disaster, as defined by Section 418.004, Texas Government Code, occurring after September 24, 2005. Under Section 2155.006, Texas Government Code, Respondent certifies that the individual or business entity named in its Offer is not ineligible to receive the specified contract and acknowledges that any contract resulting from this RFO may be terminated and payment withheld if this certification is inaccurate. Request for Offers: Enterprise Content Management Solution Page 52 of 65
RFO# 304-14-0539PS 21. By signature hereon, if Respondent is submitting an offer for the purchase or lease of computer equipment, then Respondent hereby certifies its compliance with Subchapter Y, Chapter 361, Texas Health and Safety Code and the Texas Commission on Environmental Quality rules, 30 TAC Chapter 328. 22. By signature hereon, Respondent represents and warrants that it is not aware of and has received no notice of any court or governmental agency actions, proceedings or investigations, etc., pending or threatened against Respondent or any of the individuals or entities included in Part 1 of this Section VI within the five (5) calendar years immediately preceding the submission of Respondent’s Offer in response to this RFO that would or could impair Respondent’s performance under any contract resulting from this RFO, relate to the solicited or similar goods or services, or otherwise be relevant to CPA’s consideration of Respondent’s Offer. If Respondent is unable to make the preceding representation and warranty, then Respondent instead represents and warrants that it has included as a detailed attachment in its Offer a complete disclosure of any such court or governmental agency actions, proceedings or investigations, etc. that would or could impair Respondent’s performance under any contract resulting from this RFO, relate to the solicited or similar goods or services, or otherwise be relevant to CPA’s consideration of Respondent’s Offer. In addition, Respondent represents and warrants that it shall notify CPA in writing within five (5) business days of any changes to the representations or warranties in this clause and understands that failure to so timely update CPA shall constitute breach of contract and may result in immediate termination of any agreement resulting from this RFO. 23. By signature hereon, Respondent represents and warrants to CPA that it and each of its subcontractors have the requisite resources, qualifications and independence to conduct the services free from outside direction, control, or influence, and subject only to the accomplishment of CPA’s objectives. 24. By signature hereon, Respondent represents that neither Respondent or any of its employees, agents, or representatives, including any subcontractors and employees, agents, or representative of such subcontractors, proposed in the Offer has been convicted of a felony criminal offense, or that if such a conviction has occurred Respondent has fully advised CPA of the facts and circumstances in its Offer. 25. By signature hereon, Respondent represents and warrants that it has read and agrees to all terms and conditions of this RFO, unless Respondent specifically takes an exception and offers an alternative provision in Respondent’s Offer as provided in Section II of this RFO. Authorized representative on behalf of Respondent must complete and sign the following:
Signature of Authorized Representative
Date Signed
Printed Name & Title of Authorized Representative
Phone Number
Company Name (“Respondent”)
Fax Number
Federal Employer Identification Number
E-Mail Address
Physical Street Address
City, State, Zip Code
Mailing Address, if different
City, State, Zip Code
DUNS Number:______________________________
Request for Offers: Enterprise Content Management Solution Page 53 of 65
RFO# 304-14-0539PS
VII. Conflict of Interest/Disclosures A. Disclosures. Provide the requested information in the space provided; indicate “N/A” as appropriate. 1.
Respondent must disclose any proposed personnel who are current or recent former employees of CPA or the State of Texas. ____________________________________________________________________________ ____________________________________________________________________________
2.
Respondent must disclose the following: a.
any existing or potential conflicts of interest or possible issues that might create appearances of impropriety relative to Respondent’s and its proposed subcontractors’ submission of an Offer, possible selection as Successful Respondent, or its performance of the contract. ____________________________________________________________________________ ____________________________________________________________________________
b.
all past and present contractual, business, financial or personal relationships between Respondent and CPA and between Respondent’s proposed subcontractors, if any, and CPA. ____________________________________________________________________________ ____________________________________________________________________________
For each item, Respondent must also provide a detailed explanation of why Respondent does or does not believe such item poses a conflict of interest, potential conflict of interest, or appearance of impropriety issue relative to Respondent’s submission of an Offer, possible selection as the Successful Respondent, or its performance of the contract. B. Defined Terms. For purposes of the disclosure statements required by this solicitation, the terms below are defined as follows: “past” is defined as within the two (2) calendar years prior to the deadline for submission of offers in response to this solicitation. “CPA” is defined as the statewide elected official who heads the agency as well as the agency’s employees or recent former employees. “recent former employees” are defined as those CPA employees who have terminated agency employment within the two (2) calendar years prior to the deadline for submission of offers in response to this solicitation. “personal relationship” is defined as a current or past connection other than a clearly contractual, business, financial or similar relationship and includes family relationships or other connections outside simply providing a response to this solicitation. For this purpose, “family relationship” means a relationship within the third degree of consanguinity or second degree of affinity; see Chapter 573, Texas Government Code, which defines these degrees of consanguinity and affinity. Connections other than such family relationships fall within this definition and must be disclosed if: (a) a reasonable person could expect the connection to diminish Respondent’s independence of judgment or effectiveness in the performance of the Respondent’s responsibilities to CPA or the State under the contract; (b) a reasonable person could expect the connection, within the overall context of Respondent’s submission of an Offer, possible selection as Successful Respondent or its performance of the contract, to create an issue for the agency’s consideration relative to a potential appearance of impropriety or conflict of interest; or (c) the relationship is with a CPA or other State of Texas employee with authority to make decisions or recommendations on state contracting or procurement or this solicitation. For purposes of this provision, those persons with authority to make decisions or recommendations are those persons who fall within the definition of “purchasing personnel” in Section 2262.004(a)(2), Texas Government Code. C. Continuing Duty to Disclose. If circumstances change or additional information is obtained subsequent to submission of the Offer, Successful Respondent’s duty to disclose under these provisions continues under the term of the contract and does not end with submission of an Offer or receipt of contract award. D. Disclosures under these provisions are information that will be evaluated by CPA; however, all information provided will not necessarily lead to a restriction or disqualification. Issues will be considered on a case by case basis in the best interests of the State of Texas. If Respondent is in doubt about whether information should be disclosed, Respondent should consult with its legal counsel. Failure to disclose any required information under these provisions may be cause for offer disqualification or termination of the contract resulting from this solicitation. CPA reserves the right, in its sole discretion, to determine if an issue should result in offer disqualification or termination of the contract. Signature of Authorized Representative
Date Signed
Printed Name & Title of Authorized Representative
Company Name (“Respondent”)
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RFO# 304-14-0539PS
VIII.
Nondisclosure Agreement
In consideration of Texas Comptroller of Public Accounts (“CPA”) communicating with Respondent regarding a potential contract or project and because of the sensitivity of certain information provided to Respondent, both parties agree that all information regarding CPA or gathered, produced, collected or derived from or related to the potential contract or project, or provided to Respondent under a resulting contract (“Confidential Information”) must remain confidential subject to release only upon prior written approval of CPA, and more specifically agree as follows: 1.
The Confidential Information may be used by Respondent only to assist Respondent in connection with the solicitation or any contract with CPA resulting from the solicitation.
2.
Respondent shall not, at any time, use the Confidential Information in any fashion, form, or manner except in its capacity as proposed consultant or independent contractor to CPA.
3.
Unless otherwise provided in the solicitation or resulting contract, Respondent agrees to maintain the confidentiality of any and all Confidential Information related to the solicitation or any resulting contract in the same manner that it protects the confidentiality of its own proprietary products of like kind.
4.
The Confidential Information may not be copied, reproduced, disclosed, distributed, or otherwise divulged without CPA's prior written approval. Any copies made shall be CPA’s property.
5.
All Confidential Information made available to Respondent, including copies thereof, must be returned to CPA upon the first to occur of (a) completion of the project or any resulting contract, or (b) request by CPA.
6.
The foregoing does not prohibit or limit Respondent’s use of the information (including, but not limited to, ideas, concepts, know-how, techniques and methodologies) (a) previously known to it, (b) independently developed by it, (c) acquired by it from a third party, or (d) which is or becomes part of the public domain through no breach by Respondent of this nondisclosure agreement or other contractual obligations to CPA.
7.
This nondisclosure agreement shall become effective as of the date Confidential Information is first made available to Respondent and shall survive the completion of the project and any contract resulting from this solicitation and be a continuing requirement.
8.
The breach of this nondisclosure agreement by Respondent shall entitle CPA to immediately terminate the project or any contract resulting from the solicitation upon written notice to Respondent for such breach. The parties acknowledge that the measure of damages in the event of a breach of this nondisclosure agreement may be difficult or impossible to calculate, depending on the nature of the breach. Regardless of whether CPA elects to terminate the project or any contract resulting from the solicitation upon the breach hereof, CPA may require Respondent to pay to CPA the sum of $5,000 for each breach as liquidated damages. This amount is not intended to be in the nature of a penalty, but is intended to be a reasonable estimate of the amount of damages to CPA in the event of a breach hereof by Respondent of this nondisclosure agreement. CPA does not waive any right to seek additional relief, either equitable or otherwise, concerning any breach of this nondisclosure agreement.
Signature of Authorized Representative
Date Signed
Printed Name & Title of Authorized Representative Company Name (“Respondent”)
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RFO# 304-14-0539PS
IX.
Confidential Treatment of Information Acknowledgement 70-223 (Rev.8-12/10)
Texas Comptroller of Public Accounts Confidential Treatment of Information Acknowledgement (CTIA)
I have read and understand the Comptroller’s Summary Public Information Disclosure Manual, a copy of which has been made available to me. I understand that confidential information made available to me by the Comptroller’s office may include the Comptroller’s own information and information held by the Comptroller’s office from other entities I understand that confidential information is to be held in strictest confidence, and I will act in accordance with applicable federal and state laws, regulations and Comptroller policy regarding the safekeeping and disclosure of confidential information. I understand that I am not to use such information to the detriment of the Comptroller’s office or the state of Texas. I understand that it is my responsibility to consult with the Comptroller’s office and obtain approval to disclose confidential information made available to me, and to ensure that any and all disclosures I make are made to people or entities authorized to receive such information. I understand that I shall either return to the Comptroller’s office or destroy any confidential information in my possession when I no longer require such information for authorized purposes. I understand that computer system password(s) I receive or devise to access computer systems, which may be made available to me for my use by the Comptroller’s office, are confidential. I will not disclose to any unauthorized person any password(s) which I am given or devise, and I will not write such password(s) or post them where they may be viewed by unauthorized people. I understand that I am responsible for any computer transactions performed as a result of access authorized by use of my password(s). I understand that use of a password not issued specifically to me, or to a group of which I am a member, is expressly prohibited. I understand that criminal and/or civil penalties may apply if I obtain unauthorized access to, or make an unauthorized disclosure of, certain types of confidential information (e.g., IRS Federal Taxpayer Information, Protected Health Information, Sensitive Personal Information). Such penalties may include, but are not limited to, the following: • A misdemeanor, punishable by up to 1 year in jail and/or up to a $1,000 fine (Texas Tax Code Section 171.361) • A misdemeanor, punishable by up to 180 days in jail and/or a fine of up to $2,000 (Texas Tax Code Section 22.27(c)) • A felony, punishable by up to 5 years in prison and/or a fine of up to $5,000 (26 U.S.C. Section 7213(a)) I understand that an attempt to circumvent any computer security system or other security control by any means is a violation of Comptroller policy. I also understand that failure to observe these restrictions may constitute a "Breach of Computer Security" as defined in Texas Penal Code, Section 33.02(b), and that such an offense constitutes a Class A or Class B misdemeanor, a state jail felony, or a felony of the first, second or third degree. I understand that any copyrighted material including, but not limited to, commercial computer software, which may be made available to me for my use by the Comptroller’s office, is protected by copyright laws and is not to be copied for any reason without permission from the copyright owner. I understand that the violation of copyright laws, including computer software, may result in fines and/or imprisonment. By my signature hereon, I acknowledge my understanding of the contents of this form and the continued applicability of these provisions after my access to confidential information and computer systems has been terminated. Printed name of person requesting access Signature of person requesting access
sign here Date
Name of employer Work phone (area code and number)
Work e-mail address
Under Ch. 559, Government Code, you are entitled to review, request, and correct information we have on file about you, with limited exceptions in accordance with Ch. 552, Government Code. To request information for review or to request error correction, contact your Comptroller Project Manager.
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RFO# 304-14-0539PS
X.
HUB Subcontracting Plan Information Rev. 02/12 (Rev. 10/11)
HUB SUBCONTRACTING PLAN (HSP) QUICK CHECKLIST While this HSP Quick Checklist is being provided to merely assist you in readily identifying the sections of the HSP form that you will need to complete, it is very important that you adhere to the instructions in the HSP form and instructions provided by the contracting agency. If you will be awarding all of the subcontracting work you have to offer under the contract to only Texas certified HUB vendors, complete: Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicate the percentage of the contract you expect to award to Texas certified HUB vendors Section 2 c. – Yes Section 4 – Affirmation GFE Method A (Attachment A) – Complete an Attachment A for each of the subcontracting opportunities you listed in Section 2 b. If you will be subcontracting any portion of the contract to Texas certified HUB vendors and Non-HUB vendors, and the aggregate percentage of all the subcontracting work you will be awarding to the Texas certified HUB vendors with which you have a continuous contract* in place for five (5) years or less meets or exceeds the HUB Goal the contracting agency identified in the “Agency Special Instructions/Additional Requirements”, complete: Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicate the percentage of the contract you expect to award to Texas certified HUB vendors and Non-HUB vendors Section 2 c. – No Section 2 d. – Yes Section 4 – Affirmation GFE Method A (Attachment A) – Complete an Attachment A for each of the subcontracting opportunities you listed in Section 2 b. If you will be subcontracting any portion of the contract to Texas certified HUB vendors and Non-HUB vendors or only to Non-HUB vendors, and the aggregate percentage of all the subcontracting work you will be awarding to the Texas certified HUB vendors with which you have a continuous contract* in place for five (5) years or less does not meet or exceed the HUB Goal the contracting agency identified in the “Agency Special Instructions/Additional Requirements”, complete: Section 1 – Respondent and Requisition Information Section 2 a. – Yes, I will be subcontracting portions of the contract Section 2 b. – List all the portions of work you will subcontract, and indicated the percentage of the contract you expect to award to Texas certified HUB vendors and Non-HUB vendors Section 2 c. – No Section 2 d. – No Section 4 – Affirmation GFE Method B (Attachment B) – Complete an Attachment B for each of the subcontracting opportunities you listed in Section 2 b. If you will not be subcontracting any portion of the contract and will be fulfilling the entire contract with your own resources, complete:
Section 1 – Respondent and Requisition Information Section 2 a. – No, I will not be subcontracting any portion of the contract, and I will be fulfilling the entire contract with my own resources Section 3 – Self Performing Justification Section 4 – Affirmation
*Continuous Contract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.
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RFO# 304-14-0539PS Rev. 02/12
HUB SUBCONTRACTING PLAN (HSP)
In accordance with Texas Gov’t Code §2161.252, the contracting agency has determined that subcontracting opportunities are probable under this contract. Therefore, all respondents, including State of Texas certified Historically Underutilized Businesses (HUBs) must complete and submit this State of Texas HUB Subcontracting Plan (HSP) with their response to the bid requisition (solicitation).
NOTE: Responses that do not include a completed HSP shall be rejected pursuant to Texas Gov’t Code §2161.252(b). The HUB Program promotes equal business opportunities for economically disadvantaged persons to contract with the State of Texas in accordance with the goals specified in the 2009 State of Texas Disparity Study. The statewide HUB goals defined in 34 Texas Administrative Code (TAC) §20.13 are:
11.2 percent for heavy construction other than building contracts, 21.1 percent for all building construction, including general contractors and operative builders contracts, 32.7 percent for all special trade construction contracts, 23.6 percent for professional services contracts, 24.6 percent for all other services contracts, and 21 percent for commodities contracts.
- - Agency Special Instructions/Additional Requirements - In accordance with 34 TAC §20.14(d)(1)(D)(iii), a respondent (prime contractor) may demonstrate good faith effort to utilize Texas certified HUBs for its subcontracting opportunities if the total value of the respondent’s subcontracts with Texas certified HUBs meets or exceeds the statewide HUB goal or the agency specific HUB goal, whichever is higher. When a respondent uses this method to demonstrate good faith effort, the respondent must identify the HUBs with which it will subcontract. If using existing contracts with Texas certified HUBs to satisfy this requirement, only contracts that have been in place for five years or less shall qualify for meeting the HUB goal. This limitation is designed to encourage vendor rotation as recommended by the 2009 Texas Disparity Study. The Texas Comptroller of Public Accounts is fully committed to increasing contracting opportunities with HUBs by contracting directly with HUBs or indirectly through subcontracting opportunities. Therefore, we ask that you please consider utilizing HUBs in subcontracting areas which are listed below, but in no way should this list be considered exhaustive. If your bid/proposal/offer does not contain a complete HSP and supporting documentation, your bid will be considered non-responsive and will be disqualified. Once awarded, respondent will be subject to debarment pursuant to Texas Gov't Code §2161.253(d) if any modifications are made to the HSP without PRIOR approval from this agency. For assistance in completing the HSP, contact the CPA HUB Administrator at 800-531-5441 Ext. 34120 or visit the website below for step by step information: http://www.window.texas.gov/procurement/prog/hub/hub-subcontracting-plan PLEASE NOTE: As the Texas Comptroller of Public Accounts continues its commitment to promote the HUB program, we are extending our "Good Faith Efforts" by also requiring an HSP on contracts with an expected value of $25,000 to $99,999. Therefore, we ask that you also consider utilizing HUBs in subcontracting areas which are listed below. Class 920 920 920 924
Item 45 64 91 40
Description Software Maintenance/Support System Implementation and Engineering Services Training, Computer Based (Software Supported) Instructor-led, Classroom Training (Technical)
SECTION 1 RESPONDENT AND REQUISITION INFORMATION a.
Respondent (Company) Name:
State of Texas VID #:
Point of Contact:
Phone #:
E-mail Address:
Fax #:
b.
Is your company a State of Texas certified HUB?
c.
Requisition #:
- Yes
- No Bid Open Date:
/ (mm/dd/yyyy)
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/
RFO# 304-14-0539PS
Enter your company’s name here: SECTION 2
Requisition #:
SUBCONTRACTING INTENTIONS
After dividing the contract work into reasonable lots or portions to the extent consistent with prudent industry practices, and taking into consideration the scope of work to be performed under the proposed contract, including all potential subcontracting opportunities, the respondent must determine what portions of work, including goods and services, will be subcontracted. Note: In accordance with 34 TAC §20.11., an “Subcontractor” means a person who contracts with a prime contractor to work, to supply commodities, or to contribute toward completing work for a governmental entity. a. Check the appropriate box (Yes or No) that identifies your subcontracting intentions: - Yes, I will be subcontracting portions of the contract. (If Yes, complete Item b, of this SECTION and continue to Item c of this SECTION.) - No, I will not be subcontracting any portion of the contract, and I will be fulfilling the entire contract with my own resources. (If No, continue to SECTION 3 and SECTION 4.) b. List all the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to vendors that are not a Texas certified HUB (i.e., Non-HUB). HUBs Item #
Subcontracting Opportunity Description
Percentage of the contract expected to be subcontracted to HUBs with which you have a continuous contract* in place for five (5) years or less.
Non-HUBs
Percentage of the contract expected to be subcontracted to HUBs with which you have a continuous contract* in place for more than five (5) years.
Percentage of the contract expected to be subcontracted to non-HUBs .
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Aggregate percentages of the contract expected to be subcontracted:
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(Note: If you have more than fifteen subcontracting opportunities, a continuation sheet is available online at http://window.state.tx.us/procurement/prog/hub/hub-subcontracting-plan/)
c. Check the appropriate box (Yes or No) that indicates whether you will be using only Texas certified HUBs to perform all of the subcontracting opportunities you listed in SECTION 2, Item b. - Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.) - No (If No, continue to Item d, of this SECTION.) d. Check the appropriate box (Yes or No) that indicates whether the aggregate expected percentage of the contract you will subcontract with Texas certified HUBs with which you have a continuous contract* in place with for five (5) years or less meets or exceeds the HUB goal the contracting agency identified on page 1 in the “Agency Special Instructions/Additional Requirements”. - Yes (If Yes, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed.) - No (If No, continue to SECTION 4 and complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed.) *Continuous Contract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.
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RFO# 304-14-0539PS
Enter your company’s name here: SECTION 2
Requisition #:
SUBCONTRACTING INTENTIONS (CONTINUATION SHEET)
a. This page can be used as a continuation sheet to the HSP Form’s page 2, SECTION 2, Item b. Continue listing the portions of work (subcontracting opportunities) you will subcontract. Also, based on the total value of the contract, identify the percentages of the contract you expect to award to Texas certified HUBs, and the percentage of the contract you expect to award to vendors that are not a Texas certified HUB (i.e., Non-HUB). HUBs Item #
Subcontracting Opportunity Description
Aggregate percentages of the contract expected to be subcontracted:
Percentage of the contract expected to be subcontracted to HUBs with which you have a continuous contract* in place for five (5) years or less.
Non-HUBs
Percentage of the contract expected to be subcontracted to HUBs with which you have a continuous contract* in place for more than five (5) years.
Percentage of the contract expected to be subcontracted to non-HUBs .
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*Continuous Contract: Any existing written agreement (including any renewals that are exercised) between a prime contractor and a HUB vendor, where the HUB vendor provides the prime contractor with goods or service under the same contract for a specified period of time. The frequency the HUB vendor is utilized or paid during the term of the contract is not relevant to whether the contract is considered continuous. Two or more contracts that run concurrently or overlap one another for different periods of time are considered by CPA to be individual contracts rather than renewals or extensions to the original contract. In such situations the prime contractor and HUB vendor are entering (have entered) into “new” contracts.
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RFO# 304-14-0539PS SECTION 3
SELF PERFORMING JUSTIFICATION (If you responded “No” to SECTION 2, Item a, you must complete this SECTION and continue to SECTION 4.)
Check the appropriate box (Yes or No) that indicates whether your response/proposal contains an explanation demonstrating how your company will fulfill the entire contract with its own resources. - Yes (If Yes, in the space provided below list the specific page(s)/section(s) of your proposal which explains how your company will perform the entire contract with its own equipment, supplies, materials and/or employees.) - No
(If No, in the space provided below explain how your company will perform the entire contract with its own equipment, supplies, materials and/or employees.)
SECTION 4 AFFIRMATION As evidenced by my signature below, I affirm that I am an authorized representative of the respondent listed in SECTION 1, and that the information and supporting documentation submitted with the HSP is true and correct. Respondent understands and agrees that, if awarded any portion of the requisition: The respondent will provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor for the awarded contract. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity they (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded. The respondent must submit monthly compliance reports (Prime Contractor Progress Assessment Report – PAR) to the contracting agency, verifying its compliance with the HSP, including the use of and expenditures made to its subcontractors (HUBs and Non-HUBs). (The PAR is available at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/progressassessmentrpt.xls). The respondent must seek approval from the contracting agency prior to making any modifications to its HSP, including the hiring of additional or different subcontractors and the termination of a subcontractor the respondent identified in its HSP. If the HSP is modified without the contracting agency’s prior approval, respondent may be subject to any and all enforcement remedies available under the contract or otherwise available by law, up to and including debarment from all state contracting. The respondent must, upon request, allow the contracting agency to perform on-site reviews of the company’s headquarters and/or work-site where services are being performed and must provide documentation regarding staffing and other resources.
____________________________________
Signature
_________________________________
Printed Name
___________________
Title
___________________
Date (mm/dd/yyyy)
REMINDER: If you responded “Yes” to SECTION 2, Items c or d, you must complete an “HSP Good Faith Effort - Method A (Attachment A)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.
If you responded “No” SECTION 2, Items c and d, you must complete an “HSP Good Faith Effort - Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b.
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RFO# 304-14-0539PS
HSP Good Faith Effort - Method A (Attachment A) Enter your company’s name here:
(Rev. 02/12)
Requisition #:
IMPORTANT: If you responded “Yes” to SECTION 2, Items c
or d of the completed HSP form, you must submit a completed “HSP Good Faith Effort Method A (Attachment A)” for each of the subcontracting opportunities you listed in SECTION 2, Item b of the completed HSP form. You may photo-copy this page or download the form at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanAttachment-A.doc
SECTION A-1
SUBCONTRACTING OPPORTUNITY
Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing this attachment. Item #:
SECTION A-2
Description:
SUBCONTRACTOR SELECTION
List the subcontractor(s) you selected to perform the subcontracting opportunity you listed above in SECTION A-1. Also identify whether they are a Texas certified HUB and their VID number, the approximate dollar value of the work to be subcontracted, the expected percentage of work to be subcontracted, and indicate whether the company is a Texas certified HUB.
Company Name
Texas certified HUB
VID # (Required if Texas certified HUB)
Approximate Dollar Amount
Expected Percentage of Contract
- Yes
- No
$
%
- Yes
- No
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%
- Yes
- No
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- No
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- No
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REMINDER: As specified in SECTION 4 of the completed HSP form, if you (respondent) are awarded any portion of the requisition, you are required to provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity they (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded.
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RFO# 304-14-0539PS
HSP Good Faith Effort - Method B (Attachment B) Enter your company’s name here:
(Rev. 02/12)
Requisition #:
IMPORTANT: If you responded “No” to SECTION 2, Items c
and d of the completed HSP form, you must submit a completed “HSP Good Faith Effort Method B (Attachment B)” for each of the subcontracting opportunities you listed in SECTION 2, Item b of the completed HSP form. You may photo-copy this page or download the form at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanAttachment-B.doc
SECTION B-1
SUBCONTRACTING OPPORTUNITY
Enter the item number and description of the subcontracting opportunity you listed in SECTION 2, Item b, of the completed HSP form for which you are completing this attachment. Item #:
SECTION B-2
Description:
MENTOR PROTÉGÉ PROGRAM
If respondent is participating as a Mentor in a State of Texas Mentor Protégé Program, submitting its Protégé (Protégé must be a State of Texas certified HUB) as a subcontractor to perform the subcontracting opportunity listed in SECTION B-1, constitutes a good faith effort to subcontract with a Texas certified HUB towards that specific portion of work. Check the appropriate box (Yes or No) that indicates whether you will be subcontracting the portion of work you listed in SECTION B-1 to your Protégé. - Yes (If Yes, to continue to SECTION B-4.) - No / Not Applicable (If No or Not Applicable, continue to SECTION B-3 and SECTION B-4.)
SECTION B-3
NOTIFICATION OF SUBCONTRACTING OPPORTUNITY
When completing this section you MUST comply with items a, b, c and d, thereby demonstrating your Good Faith Effort of having notified Texas certified HUBs and minority or women trade organizations or development centers about the subcontracting opportunity you listed in SECTION B-1. Your notice should include the scope of work, information regarding the location to review plans and specifications, bonding and insurance requirements, required qualifications, and identify a contact person. When sending notice of your subcontracting opportunity, you are encouraged to use the attached HUB Subcontracting Opportunity Notice form, which is also available online at http://www.window.state.tx.us/procurement/prog/hub/hub-subcontracting-plan/ Retain supporting documentation (i.e., certified letter, fax, e-mail) demonstrating evidence of your good faith effort to notify the Texas certified HUBs and minority or women trade organizations or development centers. Also, be mindful that a working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the minority or women trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days. a. Provide written notification of the subcontracting opportunity you listed in SECTION B-1, to three (3) or more Texas certified HUBs. Unless the contracting
agency specified a different time period, you must allow the HUBs at least seven (7) working days to respond to the notice prior to your submitting your bid response to the contracting agency. When searching for Texas certified HUBs, ensure that you use the State of Texas’ Centralized Master Bidders List (CMBL) and Historically Underutilized Business (HUB) Search directory located at http://www.window.state.tx.us/procurement//cmbl/cmblhub.html. HUB Status code “A” signifies that the company is a Texas certified HUB. b. List the three (3) Texas certified HUBs you notified regarding the subcontracting opportunity you listed in SECTION B-1. Include the company’s Vendor ID (VID)
number, the date you sent notice to that company, and indicate whether it was responsive or non-responsive to your subcontracting opportunity notice. Company Name
VID #
Date Notice Sent (mm/dd/yyyy)
Did the HUB Respond?
/
/
- Yes
- No
/
/
- Yes
- No
/
/
- Yes
- No
c. Provide written notification of the subcontracting opportunity you listed in SECTION B-1 to two (2) or more minority or women trade organizations or development
centers in Texas to assist in identifying potential HUBs by disseminating the subcontracting opportunity to their members/participants. Unless the contracting agency specified a different time period, you must provide your subcontracting opportunity notice to minority or women trade organizations or development centers at least seven (7) working days prior to submitting your bid response to the contracting agency. A list of trade organizations and development centers that have expressed an interest in receiving notices of subcontracting opportunities is available on the Statewide HUB Program’s webpage at http://www.window.state.tx.us/procurement/prog/hub/mwb-links-1/ d. List two (2) minority or women trade organizations or development centers you notified regarding the subcontracting opportunity you listed in SECTION B-1.
Include the date when you sent notice to it and indicate if it accepted or rejected your notice. Minority/Women Trade Organizations or Development Centers
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Date Notice Sent (mm/dd/yyyy)
Was the Notice Accepted?
/
/
- Yes
- No
/
/
- Yes
- No
RFO# 304-14-0539PS
HSP Good Faith Effort - Method B (Attachment B) Cont. Enter your company’s name here: SECTION B-4
Requisition #:
SUBCONTRACTOR SELECTION
a. Enter the item number and description of the subcontracting opportunity for which you are completing this Attachment B continuation page.
Item #:
Description:
b. List the subcontractor(s) you selected to perform the subcontracting opportunity you listed in SECTION B-1. Also identify whether they are a Texas certified
HUB and their VID number, the approximate dollar value of the work to be subcontracted, the expected percentage of work to be subcontracted, and indicate whether the company is a Texas certified HUB.
Company Name
Texas certified HUB
VID # (Required if Texas certified HUB)
Approximate Dollar Amount
Expected Percentage of Contract
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
%
- Yes
- No
$
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- Yes
- No
$
%
c. If any of the subcontractors you have selected to perform the subcontracting opportunity you listed in SECTION B-1 is not a Texas certified HUB, provide written
justification for your selection process (attach additional page if necessary):
REMINDER: As specified in SECTION 4 of the completed HSP form, if you (respondent) are awarded any portion of the requisition, you are required to provide notice as soon as practical to all the subcontractors (HUBs and Non-HUBs) of their selection as a subcontractor. The notice must specify at a minimum the contracting agency’s name and its point of contact for the contract, the contract award number, the subcontracting opportunity it (the subcontractor) will perform, the approximate dollar value of the subcontracting opportunity and the expected percentage of the total contract that the subcontracting opportunity represents. A copy of the notice required by this section must also be provided to the contracting agency’s point of contact for the contract no later than ten (10) working days after the contract is awarded
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RFO# 304-14-0539PS
HUB Subcontracting Opportunity Notification Form
(Rev. 02/12)
In accordance with Texas Gov’t Code, Chapter 2161, each state agency that considers entering into a contract with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine whether subcontracting opportunities are probable under the contract. The state agency I have identified below in Section B has determined that subcontracting opportunities are probable under the requisition to which my company will be responding. 34 Texas Administrative Code, §20.14 requires all respondents (prime contractors) bidding on the contract to provide notice of each of their subcontracting opportunities to at least three (3) Texas certified HUBs (who work within the respective industry applicable to the subcontracting opportunity), and allow the HUBs at least seven (7) working days to respond to the notice prior to the respondent submitting its bid response to the contracting agency. In addition, the respondent must provide notice of each of its subcontracting opportunities to two (2) or more minority or women trade organizations or development centers at least seven (7) working days prior to submitting its bid response to the contracting agency. We respectfully request that vendors interested in bidding on the subcontracting opportunity scope of work identified in Section C, Item 2, reply no later than the date and time identified in Section C, Item 1. Submit your response to the point-of-contact referenced in Section A.
Section A
PRIME CONTRACTOR’S INFORMATION
Company Name:
State of Texas VID #:
Point-of-Contact:
Phone #:
E-mail Address:
Fax #:
Section B
CONTRACTING STATE AGENCY AND REQUISITION INFORMATION
Agency Name: Point-of-Contact:
Phone #:
Requisition #:
Bid Open Date: (mm/dd/yyyy)
Section C
SUBCONTRACTING OPPORTUNITY RESPONSE DUE DATE, DESCRIPTION, REQUIREMENTS AND RELATED INFORMATION If you would like for our company to consider your company’s bid for the subcontracting opportunity identified below in Item 2, we must receive your bid response no later than
Select
Central Time on: Date
1. Potential Subcontractor’s Bid Response Due Date:
(mm/dd/yyyy)
In accordance with 34 TAC §20.14, each notice of subcontracting opportunity shall be provided to at least three (3) Texas cer tified HUBs, and allow the HUBs at least seven (7) working days to respond to the notice prior to submitting our bid response to the contracting agency. In addition, we must provide the same notice to two (2) or more minority or women trade organizations or development centers at least seven (7) working days prior to submitting our bid response to the contracting agency. (A working day is considered a normal business day of a state agency, not including weekends, federal or state holidays, or days the agency is declared closed by its executive officer. The initial day the subcontracting opportunity notice is sent/provided to the HUBs and to the minority or women trade organizations or development centers is considered to be “day zero” and does not count as one of the seven (7) working days.)
2. Subcontracting Opportunity Scope of Work:
3.
Required Qualifications: - Not Applicable
4.
Bonding/Insurance Requirements: - Not Applicable
5.
Location to review plans/specifications: - Not Applicable
Request for Offers: Enterprise Content Management Solution Page 65 of 65
