city of houston request for... · 1.5.3 application testing planning, design, and execution. 1.5.4...

Date Issued: July 20, 2018

Pre-Proposal Conference: August 7, 2018 @ 10:00 A.M City of Houston 611 Walker, 11th Floor, Conference Room 1148 Houston, TX 77002 Conference No. # (515) 604-9610 Access Code: 174062

Pre-Proposal Questions Deadline:

August 10, 2018 @ 2:00 P. M.

Solicitation Due Date:

August 23, 2018 @ 4:00 P.M., CST

Solicitation Contact Person:

Valerie Player-Kaufman [email protected] 832-393-8749

Project Summary: This is for a five (5) year contract with two (2) one-year options to renew annually,

for a maximum seven-year contract term for the Municipal Courts Department.

Project Description: This RFP is for Application Management Services for the Court System Management and Resources Technology (CSMART) system.

NIGP Code: 918-71 MWBE Goal: 24%

CITY OF HOUSTON REQUEST FOR PROPOSALS (RFP)

CSMART APPLICATION MANAGEMENT SERVICES

SOLICITATION NO.: S36-T26602

mailto:[email protected]

TABLE OF CONTENTS

PART I – GENERAL INFORMATION... ........................................................................................................................... 2

A. General Information... .................................................................................................................................. 2

B. City of Houston Background ........................................................................................................................ 2

C. Solicitation Schedule ................................................................................................................................... 2

PART II – SCOPE OF WORK / TECHNICAL SPECIFICATIONS .. ................................................................................ 3

A. Purpose ....................................................................................................................................................... 3

B. Background ................................................................................................................................................. 3

C. Scope of Work ............................................................................................................................................. 4

D. Meetings .................................................................................................................................................... 15

E. Exhibits ...................................................................................................................................................... 15

PART III – EVALUATION AND SELECTION PROCESS .............................................................................................. 15

A. Evaluation Committee ... ........................................................................................................................... 15

B. Interviews/Oral Presentations/ Demonstrations ........................................................................................ 15

C. Selection Process...................................................................................................................................... 15

D. Best and Final Offer (“BAFO”) ................................................................................................................... 16

E. Evaluation Criteria ... ................................................................................................................................. 16

F. Additional Related Services ....................................................................................................................... 18

G. Invoicing ... ............................................................................................................................................... 18

PART IV – SUBMISSION OF PROPOSAL .................................................................................................................... 18

A. Instructions for Submission ... ................................................................................................................... 18

B. Submission Requirements ........................................................................................................................ 19

PART V – EXCEPTIONS TO TERMS AND CONDITIONS ........................................................................................... 20

PART VI – SPECIAL CONDITIONS ............................................................................................................................... 21

A. No Contact Period ... ................................................................................................................................. 21

B. Minority and Woman Business Enterprises (M/WBE)... ............................................................................ 21

C. Protests ..................................................................................................................................................... 21

D. Cancellation ............................................................................................................................................... 21

E. Anti-Boycott of Israel... .............................................................................................................................. 21

F. Executive Order 1-56 Zero Tolerance for Human Trafficking in City Service Contracts and

Purchasing………………………………………………………………………………………………………….22

PART VII – INSTRUCTIONS TO PROPOSERS ............................................................................................................ 22

A. Pre-Proposal Conference... ....................................................................................................................... 22

B. Additional Information and Specification Changes .................................................................................... 22

C. Letter(s) of Clarification ............................................................................................................................. 22

D. Examination of Documents and Requirements ......................................................................................... 22

E. Post-Proposal Discussions with Proposer(s) ............................................................................................ 23

PART VIII – REQUIRED FORMS TO BE SUBMITTED WITH PROPOSAL ................................................................. 23

PART IX – REQUIRED FORMS TO BE SUBMITTED BY RECOMMENDED VENDOR ONLY ................................... 23

of 47

PART I – GENERAL INFORMATION

A. General Information

The City of Houston (“City”) is currently seeking proposals from qualified firms to provide Application Management Services for the Court System Management and Resources Technology (CSMART) for the Municipal Courts Department (MCD).

B. Background

The Mission of the Municipal Courts Department (MCD) is to provide an accessible legal forum for individuals to have their court matters heard in a fair and efficient manner, while providing a high level of integrity, professionalism and customer service. Court’s application systems run twenty-four (24) hours per day, seven (7) days a week, three-hundred (365) days per year, and support various public facing services. With the exception of a negotiated maintenance windows for software and technical upgrades, the courts system will need to be fully accessible at all time.

C. Solicitation Schedule

Listed below are the important dates for this Request for Proposal (RFP).

EVENT ___________ DATE _

Date of RFP Issued July 20, 2018 Pre-Proposal Conference August 7, 2018 Questions from Proposers Due to City August 10, 2018 Proposals Due from Proposers August 23, 2018 Notification of Intent to Award (Estimated) October 5, 2018 Council Agenda Date (Estimated) December 4, 2018 Contract Start Date (Estimated) December 18,2018

of 47

PART II – SCOPE OF WORK

A. PURPOSE

The City seeks proposals from qualified firms to provide the Court System Management and Resources Technology (CSMART) Application Management Services for the Municipal Courts Department (MCD).

This Statement of Work (or "SOW") sets forth the roles and responsibilities for the common services and processes that apply to the provision, delivery and management of all services associated with CSMART Applications Management.

For Maintenance and Support Services, Proposer is expected to provide an estimate of the number of hours needed per month (with pricing) for these services as outlined in Exhibit A with rollover options for unused hours. (See Exhibit A for a full explanation of application and service management requirements)

For Application Operations Services, Proposer is expected to provide an estimate of number of hours needed per month (with pricing) for these services with rollover options for unused hours.

B. BACKGROUND

In April 2015, the Municipal Courts Department successfully deployed the Court System Management and Resources Technology (CSMART) solution.

CSMART is a software solution for managing cases, payments, documents, dockets, defendants, court assignments, and jail booking. (Also see Exhibit B).

The solution integrates with the following third-party products:

• Kofax Capture scanning software

• POS integration (iNovah payment processing)

• OnBase (Document Management, Document Generation)

• SQL Server Database and Integration servers

• SQL Reporting Services

• RMS (Record Management System - HPD)

• OMS (Offender Management System – Harris County)

• APS (Mobile ticketing system - HPD)

• Third-party online payment integration (multiple vendors)

• Accident Report Retrieval (HPD)

• Personnel Data Interchange (HPD)

• GL integration/interface (SAP)

• Omnibase Interface

• DPS Interface

• IVR Interface

• Docket Call Interface

• GIS Interface

• County Subpoena Interface

• Mass Document Generation/Mailings o Data Interchange and Document Archival

of 47

h provides essential batch scheduling and workload automation services, enabling seamless n C. SCOPE OF WORK

REQUIREMENTS: Support Requirements

1.0 Application Maintenance and Support (In Scope)

1.1 Maintenance and Support Services — Activities associated with responding to incidents, repairing defects, analyzing, designing, developing, implementing, and maintaining minor functional and/or technical enhancements, and/or initiating and applying refactoring to applications in production to improve the performance and/or stability of an application. (See Exhibit A for a full explanation of application and service management requirements.)

1.2 Professional Services — Activities required for providing business and/or IT consultancy, application enhancements, excluding minor enhancements covered under Maintenance and Support Services.

1.3 Application Operations Services — Activities required to perform application monitoring and operational service activities, including job scheduling and execution, backup and restore of the in-scope applications.

1.4 Professional services will be addressed via project Scopes of Work (SOWs) and/or Letters of Authorization (LOAs).

1.5 The vendor support requirements also include:

1.5.1 Application development planning.

1.5.2 Application development programming/coding/configuring.

1.5.3 Application testing planning, design, and execution.

1.5.4 Application implementation to the QA/Test environment.

1.5.5 Application lifecycle management.

1.5.6 Application documentation maintenance.

1.5.7 Application deployment of approved builds to the production environment.

2.0 Test Execution

Integration and regression activities are associated with the functional and nonfunctional verification and validation of the developed artifacts and features as a whole at system integration level and in interaction with the interfaced applications (including the interfaces). This also includes the verification and validation of the performance of the developed solution, or even the complete business process that is affected by the solution. Additionally, this includes performing regression testing and executing usability testing to confirm that the solution can be used within the involved business processes by the intended user community. The Provider is expected to source experienced quality assurance test resources capable of scripting and executing automated testing all phases of testing. The Provider is also responsible for conducting production smoke testing (build verification testing).

of 47

3.0 Application Change Tracking

Application change tracking services are the activities associated with the control and documentation of changes to the application(s), any of the components being developed, and the underlying framework components. Such changes would follow from, for example, impact analysis, version control, MS Visual Studio TFS management, or build management.

The Provider will perform all activities that are required to track all changes — to applications, application components or application frameworks — that result from the application services as defined in this RFP. The following is expected:

3.1 TFS management — the classification, control and storage of the physical components of an application.

3.2 Version control — the maintenance, tracking and auditing of modifications to an application's components over time, facilitating the restoration of an application to prior development stages.

3.3 Documentation — the developing, revising, maintaining, reproducing and distributing of information — stored in MS Visual Studio TFS — that enable the support of the developed or programmed solution (for example, system specifications and documentation, end-user documentation, site and system security plans, updates and release notes).

4.0 Service Delivery Responsibilities and Measures

The Client uses ServiceNow (ESP-Enterprise Service Portal) for Service Request (“SR”) management. Issues will be logged and prioritized by the Client in ServiceNow. The Provider will use ServiceNow for work management and tracking. Priorities are determined by the Client and MCD.

4.1 Service Request Management consists of fulfilling requests from the end user community using consistent and repeatable methods. The objectives include:

4.1.1 To assist with general information, complaints or comments;

4.1.2 To provide information to users and customers about the availability of services and the procedure for obtaining them;

4.1.3 To source and deliver the components of requested standard services.

4.2 Service Level Targets Service Level Targets (“SLT”) will define the performance of provider in terms of delivery of service and responsibilities. Key Performance Indicators (KPIs) will be used to determine the efficiency and effectiveness of the service in quantifiable metrics.

The following table contains the SLT’s which will be applicable during the Application

Management contract period.

Table 1.0 Service Level Targets (SLT)

Ticket Priority

Response Time

Resolution Time

Definition/Guideline

P1 1 Hour 5 Hours All system users are unable to use the service. System down or frozen. It has a major impact on

of 47

Table 1.0 Service Level Targets (SLT)

Ticket Priority

Response Time

Resolution Time

Definition/Guideline

the customer’s business (e.g. non-trivial loss of revenue, non-trivial expense impact, or widespread incident). Normal business operations cannot be conducted. It’s valid for all parts of the application.

P2 3 Hours 1 Business day High impact on business. System not functional for one or few users. End users are able to work, but with difficulty. Any issue with existing workaround that has a significant financial or operational impact.

P3 48 Hours 3 Business days

Medium impact on business for now. Normal business operations are not yet impeded, but could become so, if no action is taken. The user is still able to use the service. If the incident is not resolved, it could grow in priority.

5.0 Availability Management

Availability Management is the ability of the Provider support team to perform the necessary tasks to deliver the requirements defined in Section 4.0 Service Delivery Responsibility and Measures. The Proposer is expected to demonstrate their approach for meeting the documented service level objectives.

6.0 Service Level Management

Service level management reports will be reviewed monthly by both, the Client and Provider. Necessary changes will be made based upon the application performance and follow the change management process.

7.0 Service Reporting

The reports required during the contract period are described below.

7.1 Weekly Status Report – The Provider will supply the client with weekly written progress reports in a form and format to be mutually agreed upon by provider and client.

7.2 For professional services engagements, the Provider is required to provide the Project Manager/Contract Manager with semi-annual reports containing usage, software, and license utilization by department. These will aide in department reconciliation and fiscal year planning.

7.3 Provide reports on an as needed basis, determined by the Client.

8.0 Implementation Support

8.1 For all professional services engagements, the Provider shall maintain and provide detailed documentation related to configuration, reporting, and required training materials. In addition, the Provider shall provide implementation and support workshops to designated functional team members.

8.2 The Provider is expected to provide samples of the aforementioned materials.

of 47

9.0 Support

Provider must provide SLA schedules and support model, which includes after hours and holiday support. The following Service Levels Targets (SLA) will apply to the Service Provider’s response to critical issues:

Table 1.0 - Service Level Targets

Ticket Priority

Response Time

Resolution Time Definition/Guideline

P1 1 Hour 5 Hours All system users are unable to use the service. System down or frozen. It has a major impact on the customer’s business (e.g., non-trivial loss of revenue, non-trivial expense impact, or widespread incident). Normal business operations cannot be conducted. It’s valid for all parts of the application.

P2 3 Hours 1 Business day High impact on business. System not functional for one or few users. End users are able to work, but with difficulty. Any issue with existing workaround that has a significant financial or operational impact.

P3 48 Hours 3 Business days Medium impact on business for now. Normal business operations are not yet impeded but could become so, if no action is taken. The user is still able to use the service. If the incident is not resolved, it could grow in priority.

10.0 Professional Services – (All Areas)

10.1 Services may include solution design, configuration, installation, and consulting, as determined by the specific statement of work.

10.2 The Proposer must provide a rate card for the resources commonly used in professional services engagements, which includes but is not limited to:

10.2.1 Architects

10.2.2 Business Analysts

10.2.3 Developers

10.2.4 Project Managers

10.2.5 Technical Designers

10.3 The rate card will be used for the duration of the contract

11.0 Travel

Travel will require the approval of Houston IT Services. In most cases, travel is included in the

posted rates.

of 47

Exhibit A

Service Management Requirements

The Provider is responsible for providing service management defined in this RFP as well as for the below contains common activities in scope. In this RFP, we are using the RASCI chart approach for all roles and responsibilities matrices.

Table 1. Definition of RASCI Model

Code Role Role Detail Description

R Responsible

Individual operationally responsible for performing a sourcing activity. Responsible individuals report to the Accountable individual.

Only one individual is accountable for any given activity. Responsible is a proactive role.

A Accountable

Individual with final accountability for the results of a sourcing activity. Accountability includes a mandate to dismiss or accept the results by activity as realized by the Responsible individual. This individual also holds the budget to back the mandate.

Only one individual is accountable for any given activity. Accountable is a reactive role.

S Supporting

Individuals who support the Responsible individual in realizing the sourcing activity. They actively participate in Realizing executing / performing the activity. Supportive individuals report to the Responsible individual.

Multiple individuals can participate in support of the Responsible individual for any given activity. Supporting is a proactive role.

C Consulted

Individuals who should be consulted in realizing/executing/performing the activity, on the scope, budget, time and value of the activity.

Multiple individuals can be required to be heard for any given activity. Consulted is a reactive role.

I Informed

Individuals who need to be informed, but have no role in the realization / execution/performance of an activity, other than being informed of the result of the activity.

Multiple individuals can be informed of the results of any given activity. Informed is a passive role.

of 47

1. General Responsibilities

The following table identifies general roles and responsibilities associated with this RFP

Table 2. General Services Roles and Responsibilities

General Services Roles and Responsibilities Provider Client

1. Comply with the Client policies, guiding principles, standards and regulatory requirements applicable to the Client for information, information systems, personnel, physical and technical security.

R, A C

2. Develop and maintain an approved comprehensive Standards and Procedures Manual that contains the standards, processes and procedures that will be used in the delivery of all services. The manual will include clearly delineated roles and responsibilities, touch points, and measurements between client and contractor.

R, A C

3. Approve the comprehensive Standards and Procedures Manual that contains the standards, processes and procedures that will be used in the delivery of all services. The manual will include clearly delineated roles and responsibilities, touch points, and measurements between client, business partner, and contractor.

I R

4. Report performance against Service Level Targets (SLTs). R, A I

5. Coordinate all changes to the IT systems that may affect the SLTs.

R, A C, I

6. Provide timely creation, updating, maintenance, and provision of all appropriate project plans, project time, cost estimates, technical specifications, management documentation, and management reporting in a form/format that is acceptable to the Client for all service projects and major service activities.

R, A C

7. Adhere to IT Service Management (ITSM) best practices and Key Performance Indicators (KPIs)

R, A I

2. IT Services Life Cycle and Operations

2.1 Planning and Analysis

Planning and Analysis Services are activities associated with researching new technical trends, products and services, such as hardware components, system software and networks that offer opportunities to improve the efficiency and effectiveness of the CSMART Systems. Planning and analysis services can also help support competitive business advantage and mitigate risks by reducing defects and improving the quality of IT services. The following table identifies the Planning and Analysis roles and responsibilities that the Provider and the Client will perform.

Table 3. Planning and Analysis Roles and Responsibilities

Planning and Analysis Roles and Responsibilities Provider Client

1. Define Services, processes, standards, and time frames for Planning and analysis activities.

C, I R

2. Participate in defining services, processes, and standards for Planning and analysis activities.

R, A C, I

of 47


3. Review and approve services, processes and standards for Planning and analysis activities.

C, I R, A

4. Define the requirements (e.g., business, technology strategy, functional, availability, capacity, performance, backup, and IT service continuity) at the enterprise level for all service areas (i.e., Applications, Web Services, Database).

C, I R, A

5. Perform technical and service planning and analysis based on the requirements (e.g., availability, capacity, performance, backup and IT service continuity and disaster recovery services).

R, A C, I

6. Provide recommendations for new or changes to applications, infrastructure, processes and Services based on planning and analysis results in a management report.

R C, I

7. Approve planning and analysis, and recommendations for new or changes to applications, infrastructure, processes, and services.

I R, A

8. Recommend data backup and retention policies for all service.

R C, I

9. Define MCD data backup and retention requirements, and policies for all services.

C, I R, A

10. Recommend new technologies that best meet MCD business needs and meet cost, performance, and quality objectives.

R C, I

11. Approve the implementation of new technologies that best meet MCD business needs, and meet cost, performance, and quality objectives.

I R

12. Perform feasibility studies for the implementation of new technologies that best meet business needs, and meet cost, performance, and quality objectives.

R, A C, I

13. Define enterprise level project management policies, procedures, and requirements (e.g., project feasibility analysis, cost-benefit analysis, scheduling, costing, resource planning, communication planning, procurement, risk management, and quality management).

C, I R, A

14. Perform project management function for provider-managed projects, and provide project management deliverables in accordance with client project management policies and Project Management Institute (PMI) best practices.

R, A I

15. Perform project management oversight and liaison function to the business and customers (i.e., stakeholder management), and approve project management deliverables.

I R, A

of 47


16. Conduct annual technical and business planning sessions to establish standards, architecture and project initiatives per the planning and analysis results.

C, I R, A

17. Participate in technical and business planning sessions (at least annually) to establish standards, architecture, and project initiatives,

R C, I

18. Develop and present documented standards and architecture.

C,I R

19. Approve documented standards and architecture. I R

20. Develop and present project IT charters. I R

21. Conduct regular planning for technology refreshes and upgrades.

C, I R

22. Participate in regular planning for technology refreshes and upgrades.

C, I R

23. Develop technology refresh and upgrade plan. C, I R

24. Approve technology refresh and upgrade plan. I R

25. Conduct technical reviews and provide recommendations for improvements that increase efficiency and effectiveness and reduce costs per the Planning and Analysis results

R, A I

3. Requirements Definition

Requirements Definition services are the activities associated with the assessment and definition of functional, performance, IT continuity, and disaster recovery, and security requirements that also comply with regulatory and client policies. These requirements drive the technical design for the environment. The following table identifies the Requirements Definition roles and responsibilities that the Provider and the Client will perform.

Table 4. Requirements Definition Roles and Responsibilities

Requirements Definition Roles and Responsibilities Provider Client

1. Define IT/business process service requirements and standards. C R, A

2. Conduct interviews, group workshops, and surveys to determine user function, performance, availability, maintainability and IT continuity and other IT/business partner service requirements.

C R, A

3. Participate in appropriate requirements-gathering activities (e.g., focus groups, interviews).

C, I A, R

4. Provide additional information in sufficient detail pertaining to the requirements definition to enable development of appropriate requirements documentation (e.g., business requirements documentation).

C R, A

5. Document requirements to deliver IT/business partner services in agreed-to formats (e.g., system specifications, data models, upgrade requirements, conversion requirements).

C, I A, R

6. Ensure requirements meet security policies. C, I A, R

7. Approve all requirements documents. C, I R, A

of 47

4. Service-Level Monitoring and Reporting

Service-Level Monitoring and Reporting services are the activities associated with the monitoring and reporting service levels with respect to Service-Level Targets (SLTs). In addition, Provider shall report system management information (e.g., performance metrics and system accounting information) to the designated Client representatives in a format agreed to by Client. The following table identifies the Service-Level Monitoring and Reporting roles and responsibilities that Provider and Client will perform.

Table 5. Service-Level Monitoring and Reporting Responsibilities

Service-Level Monitoring Roles and Responsibilities Provider Client

1. Define Service-Level Targets. I R, A

2. Define Service-Level Monitoring and Reporting requirements and policies.

I R, A

3. Develop, document, and maintain in the Standards Process and Procedures Manual Service-Level Monitoring and Reporting procedures that meet requirements and adhere to defined policies.

R, A I

4. Review and approve Service-Level Monitoring and Reporting procedures.

C R, A

5. Report on SLTs performance and improvement results. R, A I

6. Coordinate SLT monitoring and reporting with designated client representative and third parties.

R, A I

7. Measure, analyze, and provide management reports on performance relative to SLTs.

R, A I

8. Conduct SLT Improvement Meetings to review SLTs and recommendations for improvements.

R, A I

9. Review and approve SLT improvement plans. I R, A

10. Implement SLT improvement plans R, A I

11. Review and approve SLT metrics and performance reports. C, I R, A

12. Provide Client access to performance and SLT reporting and monitoring system and data.

R, A I

5. Change Management

5.1 Change Management services are activities to ensure that standardized methods and procedures are used for efficient and prompt handling of all changes, in order to minimize the impact of change upon service quality, and consequently, to improve the day-to-day operations of the Client.

5.2 Change Management covers all aspects of managing the introduction and implementation of all changes affecting all processes, tools, and methodologies designed and utilized to support the CSMART.

of 47

5.3 The Change Management process includes the following process steps:

5.3.1 Determining metrics for measuring effectiveness of a change. 5.3.2 Request for Change (RFC) process. 5.3.3 Recording/tracking process. 5.3.4 Prioritization process. 5.3.5 Responsibility assignment process. 5.3.6 Impact/risk assessment process. 5.3.7 Participation in IT service continuity and disaster recovery planning. 5.3.8 Coordination of the Change Advisory Board (CAB). 5.3.9 Review/approval process. 5.3.10 Establishing and managing the schedule of approved changes. 5.3.11 Implementation process. 5.3.12 Verification (test) process. 5.3.13 Closure process.

5.4 The following table identifies Change Management roles and responsibilities that Provider and Client will perform.

Table 6. Change Management Roles and Responsibilities

Change Management Roles and Responsibilities Provider Client

1. Define Change Management policies and requirements, including change priority and classifications, per the Change Management process components outlined above.

I R, A

2. Develop Change Management procedures and processes per the Change Management process components outlined above.

I R, A

3. Receive and document all change requests and classify proposed changes to the services, which shall include change cost, risk impact assessment, and system(s) security considerations.

R, A I

4. Ensure that appropriate back-out plans are documented and in place in the event of systems failure as a result of the change.

R, A I

5. Provide Change Management plan to Client for review. R, A I

6. Approve Change Management plan. I R, A

7. Develop and maintain a schedule of planned approved changes (Forward Schedule of Changes [FSC]) for Client to review.

R, A I

8. Coordinate, schedule, and conduct change control meetings to include reviewing planned changes and results of changes made, and ensuring that all appropriate parties are invited and represented.

I, C R, A

9. Provide change documentation as required, including proposed metrics as to how effectiveness of the change will be measured.

R, A I

10. Review and approve change documentation and change effectiveness metrics.

I R, A

11. Review and approve any change request determined to have a cost, security or significant risk impact to Client's IT systems or business.

I R, A

12. Authorize and approve scheduled changes or alter the schedule change requests.

I R, A

of 47

Change Management Roles and Responsibilities Provider Client

13. Publish and communicate the approved FSC to all appropriate IT and business unit stakeholders.

I R, A

14. Oversee the approved change build, test, and implementation processes to ensure these activities are appropriately resourced and completed according to change schedule.

R, A I

15. Ensure that thorough testing is performed prior to release and assess Client business risk related to any change that is not fully tested prior to implementation.

I R, A

16. Monitor changes, perform change reviews and report results of changes, impacts, and change effectiveness metrics.

R, A I

17. Review and approve change results. I R, A

18. Close out changes that met the change objectives or changes that were abandoned.

R, A I

6. Training and Knowledge Transfer

6.1 Training and Knowledge Transfer services consist of the following types of training that will be provided by the Provider:

6.2 Training for the improvement of skills through education, instruction, and certification for Provider’s staff, at the Provider’s expense.

6.3 Knowledge Transfer for Client technical staff for the express purpose of ensuring there is sufficient understanding of the environment, functions, and features of the Client computing environment. Delivery methods may include classroom-style, computer-based, individual or other appropriate means of instruction.

7. Documentation

Documentation services are the activities associated with developing, revising, maintaining, reproducing and distributing information in hard copy and electronic form. The following table identifies the Documentation roles and responsibilities that Provider and Client will perform.

Table 7. Documentation Roles and Responsibilities

Documentation Roles and Responsibilities Provider Client

1. Define Documentation requirements, formats, and policies including the timing of document creation and updates (e.g., monthly).

I R, A

2. Provide output in agreed format for support of activities throughout the life cycle of services.

R, A I

3. Document system specifications and configurations (e.g., interconnection topology, configurations, network diagrams, data flow diagram, system maps).

R, A I

4. Provide client-specific operating requirements. I R, A

5. Document standard operating procedures (e.g., boot, failover/disaster recovery/COOP, batch processing, backup).

R, A I

6. Review and approve standard operation procedures documentation.

I R, A

7. Document job production and maintenance schedules. R, A I

8. Review and approve job production and maintenance schedules and documentation.

I R, A

of 47

D. MEETINGS

1. Weekly Status Meeting - Contractor will be responsible for conducting weekly progress meetings with client. The meetings will be at a time and place so designated by the client and mutually agreeable with provider.

2. On an as needed basis, determined by the Client.

E. EXHIBITS

The following document is provided as an aid in responding to this solicitation: See “Exhibit A”: Client Application Support – Rate Sheet See “Exhibit B”: Sample Contract

PART III – EVALUATION AND SELECTION PROCESS

A. Evaluation Committee

An evaluation committee shall evaluate Proposers’ submissions in accordance with the evaluation criteria listed in Item E below. Upon completion of the evaluation, the committee may develop a short list of Proposer(s) meeting the technical competence requirements. The shortlisted Proposer(s) may be scheduled for a structured oral presentation, demonstration, interview and negotiations. Following these City-to-Proposer(s)’ meetings, the evaluation committee will summarize their findings and recalculate their scores, if needed. However, the evaluation committee reserves the right to issue letter(s) of clarification when deemed necessary to any or all Proposer(s). The oral presentations, demonstrations and/or interviews may be recorded and/or videotaped.

B. Interviews/Oral Presentations/Demonstrations

The City reserves the right to request that Proposer(s) provide a final presentation handout of its Proposal at their scheduled meeting. No Proposer may attend presentations of any other Proposer. If necessary, Proposers may be scheduled for more than one presentation, demonstration, or interview.

C. Selection Process

The City intends to select a Proposal that best meets the needs of the City and that provides the best overall value. The City reserves the right to check references on any projects performed by the Proposer, whether provided by the Proposer or known by the City. Upon review of all information provided by Proposers, the evaluation committee will make a recommendation for selection to City officials. Upon approval of the selected Proposer, a contract shall be executed by the appropriate City officials.

of 47

D. Best and Final Offer (“BAFO”)

The City reserves the right to request a BAFO from finalist Proposer(s), if necessary. At minimum, the BAFO shall include 1) a final Fee Schedule with associated costs; and 2) address any outstanding items previously identified during the evaluation of Proposals.

If the City chooses to invoke a BAFO option, Proposals shall then be re-evaluated by the evaluation committee. The BAFO shall include instructions, requirements, and a specified submission due date.

E. Evaluation Criteria

1. Responsiveness of Proposal (Pass/Fail)

The Proposal shall be responsive to all material requirements that will enable the evaluation committee to evaluate it in accordance with the evaluation criteria and make a recommendation to City officials.

2. Technical Competence/Requirements (100 Points)

The Proposal shall be evaluated based on the extent to which the proposed solution meet the needs of the City including but not limited to the desired application management services as expressed in this RFP.

2.1 Qualifications and specialized experience of the firm to implement the services in a

complex, technical environment, and within a large organization as evidenced by the successful implementation of support services as outlined in the RFP and experience on projects of similar scope and magnitude (20 Points) 2.1.1 Prior work experience 2.1.2 Statement of understanding 2.1.3 Client References

2.2 Quality and specialized experience of Key Personnel to successfully perform the scope

of work as evidenced by experience in a similar role with regards to Client Applicant Services, as required in this RFP. (20 Points)

2.2.1 Company track record 2.2.2 Professional Resumes 2.2.3 Certified Staff 2.2.4 Training approach

2.3 Quality of proposed staffing model and organization chart to support the application

support and service model, to include, but not limited to the methodology to fulfill services and deliverables as required in the RFP. (25 Points)

2.4 Quality of overall proposed service model, to include, but not limited to the methodology

to fulfill services and deliverables as required in the RFP. (25 Points)

2.4.1 Proposed service model and quality of proposed methodology approach. 2.4.2 Example plans and artifacts 2.4.3 Methodology approach transition plan

2.5 Quality of proposed M/WBE Participation aligned with the project scope (Pass/Fail)

of 47

2.5.1 Ability to meet the required 24% level of subcontracting participation or a demonstrative Good Faith Efforts presented by Proposer.

2.6 Financial Stability of the Proposer (Pass/Fail)

If Proposer is an entity that is required to prepare audited financial statements, Proposer shall submit an annual report that includes:

2.6.1 Last two years of audited accrual-basis financial statements, including an income

statement, cash flow statement, and balance sheet; 2.6.2 If applicable, last two years of consolidated statements for any holding

companies or affiliates; 2.6.3 An audited or un-audited accrual-basis financial statement of the most recent

quarter of operation; and 2.6.4 A full disclosure of any events, liabilities, or contingent liabilities that could affect

Proposer’s financial ability to perform this contract.

If Proposer is a privately-owned entity or sole proprietorship for which audited financial statements are not required, Proposer shall submit an annual report that includes:

2.7.1 Last two years of un-audited accrual-basis financial statements, including an

income statement, cash flow statement, and balance sheet; 2.7.2 An audited or un-audited accrual-basis financial statement of the most recent

quarter of operation; and 2.7.3 A full disclosure of any events, liabilities, or contingent liabilities that could affect

Proposer’s financial ability to perform this contract;

OR

2.7.4 Other financial information sufficient for the City, in its sole judgement, to

determine if Proposer is financially solvent or adequately capitalized.

3. Price Proposal (10 Points)

THE PRICE PROPOSAL MUST BE SUBMITTED IN A SEPARATE SEALED ENVELOPE that is clearly marked with the RFP title and solicitation number and the label “Price Proposal”.

To be eligible for the preference, a company must be designated as a City Business (CB) or Local Business (LB) under the Hire Houston First Program prior to submittal of proposal. Proposers must provide Declaration of Hire Houston First Designation form with proposal submission. At the conclusion of scoring Proposals, Hire Houston First preference points shall be distributed in such a way that grants the highest number of points to a City Business (CB) and the next highest number of points to a Local Business (LB). Note: At the conclusion of scoring Proposals, preference points shall be distributed in the following manner:

• 5 Points: For Proposer firm designated as a Hire Houston First “City Business” (CB);

• 3 Points: For Proposer firm designated as a Hire Houston First “Local Business” (LB);

• 0 Points: For proposer firm not designated as either a “City Business” (CB) or a “Local

Business” (LB).

of 47

F. ADDITIONAL RELATED SERVICES In submitting its Proposal, Proposer(s) shall indicate a willingness to negotiate future potential additional services deemed appropriate for the application management services, as provided herein, or deemed necessary and/or desirable by the City.

H. INVOICING

1. The City is a single entity for accounting, billing, and discounting. Any invoices accompanied by detailed supplements and other backup documents are to be submitted for payments to:

City of Houston - Finance Department Attention: Accounts Payable

P. O. Box 3685

Houston, Texas 77251-3685

2. The City requires timely and accurate accounting and billing information.

PART IV – SUBMISSION OF PROPOSAL

A. Instructions for Submission

1. Number of Copies. Submit one (1) printed original copy of the Technical Proposal, signed in

BLUE ink, and six (6) electronic copies of the Technical Proposal on six (6) separate thumb drives sealed in a separate single envelope bearing the assigned solicitation number (located on the first page of this RFP document) to: City Secretary’s Office City Hall Annex, Public Level 900 Bagby Street Houston, Texas 77002 Submit six (6) printed copies of the Price Proposal/ Fee Schedule in a separate single sealed envelope bearing the assigned solicitation number (located on the first page of this RFP document) and clearly identifying to content as the Price Proposal/ Fee Schedule to the location provided above.

The City shall bear no responsibility for submitting responses on behalf of any Proposer. Proposer(s) may submit their Proposal to the City Secretary’s Office any time prior to the stated deadline.

2. Time for Submission. Proposals shall be submitted no later than the date and time indicated for submission in this RFP. Late submittals will not be considered and will be returned unopened.

3. Format. Proposals must be left-bound with information on both sides of the page when

appropriate. Material should be organized following the order of the submission requirements separated by labeled tabs, and shall be securely bound. Submission materials will not be returned to Proposers.

4. Complete Submission. Proposers are advised to carefully review all the requirements and

submit all documents and information as indicated in this RFP. Incomplete proposals may lead to a proposal being deemed non-responsive. Non-responsive proposals will not be considered.

of 47

5. Packaging and Labeling; Submission of Price Proposal/Fee Schedule. The outside

wrapping/envelope of the printed Technical Proposal shall clearly indicate the RFP title, date, time for submission, and the name of the Proposer. The required number of thumb drives containing the Technical Proposal shall be submitted in a separate sealed envelope and marked in the same manner as the printed Technical Proposal. The outside wrapping/ envelope of the Price Proposal/Fee Schedule shall clearly identify the content as “Price Proposal/Fee Schedule” and shall clearly indicate the RFP title, date, time for submission, and name of the Proposer. All other submission requirements shall be included with the Proposer’s Technical Proposal.

6. Delivery of Proposals. The Proposal, including the Technical Proposal, all required forms, and

the Price Proposal/Fee Schedule must be delivered by hand or mailed to the address shown on the cover sheet of this RFP. If using an express delivery service, the package must be addressed and delivered specifically to the City Secretary’s Office. Packages delivered by express mail services to other locations may not be re-delivered to its final destination by the deadline hour.

7. Proposers Responsible for Timely Submission. Proposer remains responsible for ensuring that

its Proposal is received at the time, date, place, and office specified. The City assumes no responsibility for any Proposal not received, regardless of whether the delay is caused by the U.S. Postal Service, a courier delivery service, or some other act or circumstance.

B. Submission Requirements

1 Cover Letter. The cover letter shall be signed by an authorized representative of the

Proposer. The letter should indicate the Proposer’s commitment to provide the services proposed.

2 Executive Summary: The executive summary should include a brief overview of the solution proposed, the overall strategy for implementation, and the key personnel who will be responsible for seeing the project through completion.

3 Offer and Submittal Form: See Exhibit I

4 General Company Information: Provide the name of Proposer’s company (including the name of any parent company), business address, e-mail address, Federal Tax ID number, telephone number, and fax number.

4.1 Key Personnel: Identify the key personnel that will be committed to the project. The City

reserves the right to reject any key personnel proposed if it is determined in the City’s best interest. All key personnel must be committed to the project at the appropriate time level. Proposer understands that the qualifications and experience of key personnel proposed will be factored into the evaluation process; therefore, key personnel must not be replaced without the approval of the City. Any approved substitutions must be with personnel of equal or better qualifications. In addition, any other commitments must not conflict with the level of commitment proposed for this project.

5. Knowledge and Experience: Provide detailed relevant information about Proposer’s knowledge

and experience, including:

5.1 Summarize three or more deployments (in similar size and scope to this RFP), with brief descriptions that demonstrate Proposer’s experience providing application management service for a major metropolitan area;

of 47

6. Client References: Provide reference name and contact information for at least three (3) clients for whom Proposer has provided similar services to municipalities within the past three (3) years. Provide size and scope of each project with brief descriptions of the projects. Specifically, provide the following:

6.1 Name and location of project(s); 6.2 “CURRENT” reference contact name, telephone numbers, and e-mail addresses; 6.3 Deployment completion date(s) or current status.

7. M/WBE Participation: Identify M/WBE subcontractor(s) and submit a signed “M/WBE Letter of

Intent” form identifying the role of each subcontractor for this implemented project.

8. Financial Stability: If Proposer is an entity that is required to prepare audited financial

statements, then Proposer shall submit an annual report containing the information provided in Part III, D, 2.6.1 through 2.6.4 of this document. If Proposer is a privately-owned entity or sole proprietorship for which audited financial statements are not required, Proposer shall submit an annual report containing the information provided in Part III, D, 2.7.1 through 2.7.3, or 2.7.4 of this document.

9. Exceptions to Standard Contract: Provide any exceptions to the standard contract and include

the rationale for taking the exception. Such exceptions will be considered when evaluating the Proposer’s response to this RFP. If alternate language is proposed, include the proposed language for consideration, along with the corresponding Article Nos. within the RFP.

10. Legal Actions: Provide a list of any pending litigation and include a brief description of the

reason for legal action. 11. Conflict of Interest: Provide information regarding any real or potential conflict of interest(s).

Failure to disclose any potential conflict of interest at the outset may be cause for rejection of the Proposal.

12. Other: Provide any information the Proposer deems pertinent to demonstrating its qualifications

to perform the services being requested, such as memberships in any professional associations, documents, examples, etc.

13. Forms and Certifications: Complete all forms and certifications attached, as appropriate.

15. Price Proposal/ Fee Schedule: Please separately submit a Price Proposal/Fee Schedule with the level of detail provided in Exhibit A.

Part V – EXCEPTIONS TO TERMS AND CONDITIONS All exceptions to the Sample Agreement shall be submitted in a clearly identified separate section of the Proposal in which the Proposer clearly cites the specific paragraphs within the Sample Agreement where the exceptions occur. Any exceptions not included in such a section shall be without force and effect in any resulting contract unless such exception is specifically approved by the Chief Procurement Officer or designee, City Attorney, Director(s) or designee in a written statement. The Proposer’s preprinted or standard terms will not be considered by the City as a part of any resulting contract.

All exceptions that are contained in the Sample Agreement may negatively affect the City’s evaluation based on the evaluation criteria as stated in the RFP.

Part VI – SPECIAL CONDITIONS

A. No Contact Period

of 47

Neither Proposer(s) nor any person acting on Proposer(s)'s behalf shall attempt to influence the outcome of the award by the offer, presentation or promise of gratuities, favors, or anything of value to any appointed or elected official or employee of the City, their families or staff members. All inquiries regarding the solicitation are to be directed to the designated City Representative identified on the first page of the solicitation. With the exception of Proposer’s formal response to the solicitation and written requests for clarification during the period officially designated for such purpose by the City Representative, neither Proposer(s) nor persons acting on their behalf shall communicate with any appointed or elected official or employee of the City, their families, or staff through written or oral means in an attempt to persuade or attempt to persuade or influence the outcome of the award or to obtain or deliver information intended to or which could reasonably result in an advantage to any Proposer from the time of issuance of the solicitation through the pre-award phase and up to the date the City Secretary publicly posts notice of any City Council agenda containing the applicable award. However, nothing in this paragraph shall prevent a bidder from making public statements to the City Council convened for a regularly scheduled session after the official selection has been made and placed on the City Council agenda for action, or to a City Council committee convened to discuss a recommendation regarding the solicitation.

B. Minority and Woman Business Enterprises (“M/WBE”)

It is the City of Houston’s policy to ensure that Minority and Women Business Enterprises (MWBE) have full opportunity to compete for and participate in City Contracts. Contractor shall comply with the City’s MWBE Program as set forth in Chapter 15, Article V of the City of Houston Code of Ordinances. Contractor shall make good faith efforts to award subcontracts and supply agreements in at least 24% of the value of the Agreement to certified MWBEs. Contractor acknowledges that they have reviewed the requirements for good faith efforts on file with the Office of Business Opportunity (OBO), available at http://www.houstontx.gov/obo/docsandforms/goodfaithefforts.pdf, and will comply with the set forth requirements.

Contractor shall maintain records of subcontracts and supply agreements with certified MWBEs, containing language required herein. In addition, Contractor shall submit all disputes that may arise with MWBE subcontractors/supplies to mediation provided by the City, if directed to do so by the Office of Business Opportunity.

C. Protests

Protests should be filed in accordance with the City of Houston Administrative Policy No. 5-

12 http://www.houstontx.gov/adminpolicies/5-12.pdf

D. Cancellation

The City has sole discretion and reserves the right to cancel this RFP, or to reject any or all Proposals received prior to contract award.

E. Anti-Boycott of Israel

City vendors are required to certify that they are not currently engaged in, and agrees until the funds are exhausted under its contract with the City not to engage in, the boycott of Israel as defined by Section 808.001 of the Texas Government Code.

F. Executive Order 1-56 Zero Tolerance for Human Trafficking in City Service Contracts and

Purchasing

https://www.houstontx.gov/obo/docsandforms/goodfaithefforts.pdf

https://www.houstontx.gov/adminpolicies/5-12.pdf

of 47

The City has a zero tolerance for human trafficking and, per Executive Order 1-56, City funds shall not be used to promote human trafficking. City vendors are expected to comply with this Executive Order and notify the City’s Chief Procurement Officer of any information regarding possible violation by the vendor or its subcontractors providing services or goods to the City. The Executive Order is available on the City’s website: http://www.houstontx.gov/execorders/1-56.pdf

PART VII – INSTRUCTIONS TO PROPOSERS

A. Pre-Proposal Conference

A Pre-Proposal Conference will be held at the date, time, and location indicated on the first page of the RFP document. Interested Proposer(s) are encouraged to attend. It will be assumed that potential Proposer(s) attending this meeting have reviewed the RFP in detail, and are prepared to bring up any substantive questions not already addressed by the City.

B. Additional Information and Specification Changes

Requests for additional information and questions should be addressed to the Finance Department, Strategic Procurement Division, Senior Procurement Specialist, Valerie Player-Kaufman preferably by e-mail to [email protected] or by telephone at (832) 393-8749 no later than 2:00, CST by Friday, August 10, 2018. The City shall provide written responses to all questions received by Proposers prior to the RFP submittal deadline. Questions received from all Proposer(s) shall be answered by the City and made available to Proposer(s) who are listed as having obtained the RFP. Proposer(s) shall be notified in writing of any changes in the specifications contained within this RFP.

C. Letter(s) of Clarification

1. All Letters of Clarification and interpretations to this Solicitation shall be in writing. Any Letter

of Clarification(s) or interpretation that is not in writing shall not legally bind the City. Only information supplied by the City in writing or in this RFP should be used in preparing Proposal responses.

2. The City does not assume responsibility for the receipt of any Letters of Clarification sent to

Proposer(s).

D. Examination of Documents and Requirements

1. Each Proposer shall carefully examine all RFP documents and familiarize themselves with all requirements prior to submitting a Proposal to ensure that the Proposal meets the intent of this RFP.

2. Before submitting a Proposal, each Proposer shall be responsible for making all investigations

and examinations that are necessary to ascertain conditions and affecting the requirements of this RFP. Failure to make such investigations and examinations shall not relieve the Proposer from obligation to comply, in every detail, with all provisions and requirements of the RFP.

E. Post-Proposal Discussions with Proposer(s)

It is the City’s intent to commence final negotiation with the Proposer(s) deemed most advantageous to the City. The City reserves the right to conduct post-Proposal discussions with

https://www.houstontx.gov/execorders/1-56.pdf

mailto:[email protected]

of 47

any Proposer(s).

PART VIII – REQUIRED FORMS TO BE SUBMITTED WITH PROPOSAL

A. Offer and Submittal, List of References, and List of Proposed Subcontractors (Exhibit I) B. Signed M/WBE Forms (Exhibit II): Attachment “A” Schedule of M/WBE Participation, M/WBE

Participation Plan Good Faith Efforts; Attachment “B” Office of Business Opportunity and Contract Compliance M/WBE Utilization Report; Attachment “C” Certified M/WBE Subcontract Terms; Attachment “D” Office of Business Opportunity and Contract Compliance M/WBE Utilization Report

C. Fair Campaign Ordinance and Form “A” Fair Campaign (Exhibit III)

D. Contractor Ownership Disclosure Ordinance and Affidavit of Ownership or Control (Exhibit IV)

E. Anti-Collusion Statement (Exhibit V)

F. Bidder’s Statement of Residency (Exhibit VI)

G. Conflict of Interest Questionnaire (Exhibit VII)

PART IX – REQUIRED FORMS TO BE SUBMITTED BY RECOMMENDED VENDOR ONLY Required forms shall be supplied to the Contractor after the award recommendation:

A. Insurance Requirements and Insurance Certificate B. Drug Policy Compliance Agreement (Exhibit “B”); Contractor’s Certification of No Safety Impact

Positions in Performance of a City Contract (Exhibit “C”); Drug Policy Compliance Declaration (Exhibit “D”)

C. City Contractors’ Pay or Play Acknowledgement Form (POP-1)

http://www.houstontx.gov/obo/payorplay/pop1.pdf and Pay or Play Certificate of Compliance (POP-2) http://www.houstontx.gov/obo/payorplay/pop2.pdf

D. To be eligible for the preference, a company must be designated as a City Business (CB) or Local

Business (LB) under the Hire Houston First Program prior to submittal of proposal. Proposers must provide Declaration of Hire Houston First Designation form with proposal submission.

E. Requested information outlined in the scope of work and other additional relevant/supporting

information, or alternate Proposal. F. Texas Ethics Commission, Certificate of Interested Parties (Form 1295). Download a copy at

https://www.ethics.state.tx.us/tec/1295-Info.htm

EXHIBIT I OFFER AND SUBMITTAL, REFERENCES, PROPOSED SUBCONTRACTORS

https://www.houstontx.gov/obo/payorplay/pop1.pdf

https://www.houstontx.gov/obo/payorplay/pop2.pdf

https://www.ethics.state.tx.us/tec/1295-Info.htm

of 47

PAGE INTENTIONALLY LEFT BLANK

of 47

EXHIBIT I OFFER AND SUBMITTAL

NOTE: PROPOSAL MUST BE SIGNED AND NOTARIZED BY AN AUTHORIZED REPRESENTATIVE(S) OF THE PROPOSER, WHICH MUST BE THE ACTUAL LEGAL ENTITY THAT WILL PERFORM THE CONTRACT IF AWARDED AND THE TOTAL FIXED PRICE CONTAINED THEREIN SHALL REMAIN FIRM FOR A PERIOD OF ONE-HUNDRED EIGHTY (180) DAYS. "THE RESPONDENT WARRANTS THAT NO PERSON OR SELLING AGENCY HAS BEEN EMPLOYED OR RETAINED TO SOLICIT OR SECURE THIS CONTRACT UPON AN AGREEMENT OR UNDERSTANDING FOR A COMMISSION, PERCENTAGE, BROKERAGE, OR CONTINGENT FEE, EXCEPTING BONA FIDE EMPLOYEES. FOR BREACH OR VIOLATION OF THIS WARRANTY, THE CITY SHALL HAVE THE RIGHT TO ANNUL THIS AGREEMENT WITHOUT LIABILITY OR, AT ITS DISCRETION, TO DEDUCT FROM THE CONTRACT PRICES OR CONSIDERATION, OR OTHERWISE RECOVER THE FULL AMOUNT OF SUCH COMMISSION, PERCENTAGE, BROKERAGE OR CONTINGENT FEE." Respectfully Submitted:

_______________________________________________________________________________________

(Print or Type Name of Contractor – Full Company Name)

City of Houston Vendor No. (If already doing business with City): __________________________________________ Federal Identification Number: _____________________________________________________________________ By: ____________________________________________________________________________________

(Signature of Authorized Officer or Agent)

Printed Name: ___________________________________________________________________________

Title: ___________________________________________________________________________

Date: ___________________________________________________________________________

Address of Contractor: _____________________________________________________________________

Street Address or P.O. Box

_____________________________________________________________________

City – State – Zip Code

Telephone No. of Contractor: (_____) __________________________________________________________

Signature, Name and title of Affiant: ____________________________________________________________

_______________________________________________________________________________________

(Notary Public in and for)

____________________________________________________________________________ County, Texas

My Commission Expires: ______________ day of _____________________________________ 20_________

of 47

EXHIBIT I REFERENCES

LIST OF PREVIOUS CUSTOMERS

1. Name: ___________________________________ Phone No.: _________________

Address: __________________________________________________________________

Contract Award Date: ________________ Contract Completion Date: _______________

Contract Name/Title: ________________________________________________________

Email: ________________________________________________________

Project Description: _________________________________________________________

__________________________________________________________________________

2. Name: ___________________________________ Phone No.: _________________

Address: __________________________________________________________________



Email: ________________________________________________________


__________________________________________________________________________

3. Name: ___________________________________ Phone No.: _________________

Address: __________________________________________________________________



Email: ________________________________________________________


__________________________________________________________________________

4. Name: ___________________________________ Phone No.: _________________

Address: __________________________________________________________________



Email: ________________________________________________________


of 47

EXHIBIT I LIST OF SUBCONTRACTOR(S)

The following is a list of Subcontractors we propose to engage on the following items of Work. Any item of Work which does not designate a Subcontractor will be done by the firm submitting the Proposal.

SEGREGATED PART OF WORK SUBCONTRACTOR/SUPPLIER ________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

________________________________ __________________________________

of 47

EXHIBIT II ATTACHMENT “A”

SCHEDULE OF MWBE PARTICIPATION

Date:

Bid Number:

Formal Bid

Title:

Name of Certified

MWBE Subcontractor

Street Address, City, State, Zip

Code, Tel # & Email

Certification

Type for Goal

MBE, WBE

(Each firm may

only be used for

one goal type)

NAICS

Code

(6 Digits)

Description of Work

(Scope of Work)

% of

Participation

TOTAL $ TBD

MWBE PARTICIPATION AMOUNT $ TBD

TOTAL BID AMOUNT $ TBD

of 47

If you have exhausted your best efforts to comply with the City’s MWBE Policy by seeking subcontracts and supply agreements with certified

minority and women business enterprises, yet failed to meet the MWBE contract goal of this bid document, list below your good faith efforts

to demonstrate compliance with the City’s MWBE Program. For more information, please review the Good Faith Efforts Policy, which can

be found on the OBO website at www.houstontx.gov/obo.

___________________________________________________________________________________________________________

___________________________________________________________________________________________________________

___________________________________________________________________________________________________________

___________________________________________________________________________________________________________

___________________________________________________________________________________________________________

**All firms listed on this MWBE Participation Plan must be certified by the Office of Business Opportunity at the time of bid submission. The

completed MWBE Participation Plan must be returned with the bid form.

The undersigned will enter into a formal subcontracting or supply agreement with the MWBEs subcontractors and suppliers listed on this

participation plan upon award of a contract with the City.

________________________________________________

Bidder Company Name

_________________________________________________

Signature of Authorized Officer/Agent/Bidder & Title

_________________________________________________

Print or Typed Name of Authorized Officer/Agent/Bidder & Title

_________________________________________________

Print or Typed Name of Authorized Officer/Agent/Bidder & Title

_________________________________________________

Date

https://www.houstontx.gov/obo

of 47

EXHIBIT II ATTACHMENT “B”

OFFICE OF BUSINESS OPPORTUNITY AND CONTRACT COMPLIANCE MWBE UTILIZATION REPORT

NOTICE OF INTENT

THIS AGREEMENT IS SUBJECT TO MEDIATION AND CAN BE INITIATED BY THE COMPANIES SIGNED BELOW OR THE OFFICE OF BUSINESS OPPORTUNITY. To: City of Houston Date: Administering Department Project Name and Number Bid Amount: TBD M/W/BE Goal: , agrees to enter into a contractual agreement with Prime Contractor _______________________________, who will provide the following goods/services in connection MWBE Subcontractor

with the above-referenced contract:

_______________

for an estimated amount of $ TBD or % of the total contract value. is currently certified with the City of Houston’s Office of Business (M/W/BE Subcontractor) Opportunity to function in the aforementioned capacity. Intend to

Prime Contractor M/W/BE Subcontractor

work on the above-named contract in accordance with the M/W/DBE Participation Section of the City of Houston Bid Provisions, contingent upon award of the contract to the aforementioned Prime Contractor. Signed (Prime Contactor) Signed (M/W/BE Subcontractor) Printed Signature Printed Signature Title Date Title Date

of 47

EXHIBIT II ATTACHMENT “C”

CERTIFIED MWBE SUBCONTRACT TERMS

CITY OF HOUSTON CERTIFIED MWBE SUBCONTRACT TERMS Contractor shall ensure that all subcontracts with M/WBE subcontractors and suppliers are clearly labeled “THIS CONTRACT IS SUBJECT TO MEDIATION” and contain the following terms:

1. _______________________(M/WBE subcontractor) shall not delegate or subcontract more than 50% of the work under this subcontract to any other subcontractor or supplier without the express written consent of the City of Houston’s Office of Business Opportunity Director (“the Director”).

2. _______________________(M/WBE subcontractor) shall permit representatives of the City of

Houston, at all reasonable times, to perform 1) audits of the books and records of the subcontractor, and 2) inspections of all places where work is to be undertaken in connection with this subcontract. Subcontractor shall keep such books and records available for such purpose for at least four (4) years after the end of its performance under this subcontract. Nothing in this provision shall affect the time for bringing a cause of action or the applicable statute of limitations.

3. Within five (5) business days of execution of this subcontract, Contractor (prime contractor) and

Subcontractor shall designate in writing to the Director an agent for receiving any notice required or permitted to be given pursuant to Chapter 15 of the Houston City Code of Ordinances, along with the street and mailing address and phone number of such agent.

These provisions apply to goal-oriented contracts. A goal-oriented contract means any contract for the supply of goods or non-professional services in excess of $100,000.00 for which competitive proposals are required by law; not within the scope of the MBE/WBE/SBE program of the United States Environmental Protection Agency or the United States Department of Transportation; and which the City Chief Procurement Officer has determined to have significant MWBE subcontracting potential in fields which there are an adequate number of known MBEs, WBE’s, and or SBE’s (if applicable) to compete for City contracts. The MWBE policy of the City of Houston will be discussed during the pre-proposal conference. For information, assistance, and/or to receive a copy of the City’s Affirmative Action Policy and/or Ordinance, contact the Office of Business Opportunity Division at 832.393.0600, 611 Walker Street, 7th Floor, Houston, Texas 77002.

of 47

EXHIBIT II ATTACHMENT “D”

OFFICE OF BUSINESS OPPORTUNITY AND CONTRACT COMPLIANCE MWBE UTILIZATION REPORT

Report Period: _____________________ PROJECT NAME & NUMBER: ___________________________________ AWARD DATE:_____________________________ PRIME CONTRACTOR: ________________________________________ CONTRACT NO.: ___________________________ ADDRESS: __________________________________________________ CONTRACT AMOUNT: ____TBD______________ LIAISON/PHONE NO.: _________________________________________ MWBE GOAL: ____________________________

MWBE SUB/VENDOR NAME

DATE OF OBO CERTIFICATION

DATE OF SUBCONTRACT

SUBCONTRACT AMOUNT

% OF TOTAL CONTRACT

AMOUNT PAID TO DATE

% OF CONTRACT TO DATE

Use additional pages if needed. Submit by the 15th day of the following month. Office of Business Opportunity Provide support documentation on all revenues paid to end of the report period to: ATTN: Carlecia Wright 713-837-9000 MWBE’s to reflect up/down variances on Contract amount. 611 Walker, 7th Floor Houston, Texas 77002

of 47

EXHIBIT II

ATTACHMENT “E” DECLARATION OF HIRE HOUSTON FIRST DESIGNATION

DIRECTIONS: Execute the declaration below regarding your company’s status as a Hire Houston First (HHF) designated company. Fill out the appropriate box below and leave the other blank. If your company does not have a HHF designation and would like to apply for designation go to: www.houstontx.gov/obo/hirehoustonfirst.html at least 10 working days prior to submitting a bid or proposal.

1. This certifies that Bidder/Proposer, , is a Hire Houston First designated City Business (CB). A valid certificate of designation is attached.

____ __ _/__________ Print Name Signature Date

2. This certifies that Bidder/Proposer, , is a Hire Houston First designated Local Business (LB). A valid certificate of designation is attached.

____ __ _/________ Print Name Signature Date

https://www.houstontx.gov/obo/hirehoustonfirst.html

of 47

EXHIBIT III

FAIR CAMPAIGN ORDINANCE

The City of Houston Fair Campaign Ordinance makes it unlawful for a Contractor to offer any contribution to a candidate for City elective office (including elected officers and officers-elect). All respondents to this invitation to bid must comply with Houston Code of Ordinances Chapter 18 as amended relating to the contribution and solicitation of funds for election campaigns. Provisions of this ordinance are provided in part in the paragraphs that follow. Complete copies may be obtained from the office of the City Secretary. Candidates for city office may neither solicit nor receive contributions except during a period commencing 270 calendar days prior to an election date for which a person is a candidate for such office and ending 90 calendar days after the election date, including run-off elections if such candidate is on the ballot. Further, it shall be unlawful either for any person who submits a Bid or Proposal to contribute or offer any contribution to a candidate or for any candidate to solicit or accept any contribution from such person for a period commencing at the time of posting of the City Council Meeting Agenda including an item for the award of the Contract and ending upon the 30th day after the award of the Contract by City Council. For the purposes of this Ordinance, a Contract is defined as each Contract having a value in excess of $30,000 that is let by the City for professional services, personal services, or other goods or services of any other nature whether the Contract is awarded on a negotiated basis, request for Proposal basis, competitive Proposal basis or formal sealed competitive Bids. The term Contractor includes proprietors of proprietorships, partners having an equity interest of 10% of more of partnerships, (including limited liability partnerships and companies), all officers and directors of corporations (including limited liability corporations), and all holders of 10% or more of the outstanding shares of corporations. A STATEMENT DISCLOSING THE NAMES AND BUSINESS ADDRESSES EACH OF THOSE PERSONS WILL BE REQUIRED TO BE SUBMITTED WITH EACH BID OR PROPOSAL FOR A CITY CONTRACT. Completion of the attached form entitled "Contractor Submission List" will satisfy this requirement. Failure to provide this information may be just cause for rejection of your Bid or Proposal.

of 47

EXHIBIT III

FORM “A”: FAIR CAMPAIGN

CONTRACTOR SUBMISSION LIST

CITY OF HOUSTON FAIR CAMPAIGN ORDINANCE

By submitting a bid or proposal to the City of Houston for a Contract in excess of $50,000 or for which a request is presented to City Council for approval, all respondents agree to comply with Chapter 18

of the Code of Ordinances. Pursuant to Section 18-36 of the Code of Ordinances, it is unlawful either for any contractor to contribute or offer any contribution to a candidate, or for any candidate to solicit or accept any contribution from a contractor for a period commencing at the time of posting of the City Council Meeting Agenda including an item for the award of the Contract and ending upon the 30th day after the award of the Contract by City Council, or a determination by City Council of the Mayor that the contract will not be awarded to a contractor. The term “contractor” means any person who has received the award of a contract, has submitted a bid or proposal in any form for the award of a contract, or has been proposed to be awarded the contract in an item placed upon the City Council agenda, including any other person who seeks the award of the contract and is contesting, appealing, or protesting the award of the contract as proposed.

This list is submitted under the provisions of Section 18-36(b) of the City of Houston Code of

Ordinances in connection with the attached Bid/Proposal of:

Firm or Company Name:

Firm or Company Address:

The firm/company is organized as indicated below. Check one as applicable and attach additional pages if needed to supply the required names and addresses.

[ ] SOLE PROPRIETOR

Name

Proprietor Address

[ ] A PARTNERSHIP

LIST EACH PARTNER HAVING EQUITY INTEREST OF 10% OR MORE OF PARTNERSHIP

(IF NONE STATE “NONE”)

Name Partner Address

Name

Partner Address

[ ] A LIMITED LIABILITY COMPANY

of 47

LIST EACH MEMBER OR MANAGER (IF NO MEMBERS) HAVING EQUITY INTEREST OF 10% OR MORE IN THE LIMITED LIABILITY COMPANY (IF NONE, STATE “NONE”)

Name

Member/Manager Address

Name


Name


[ ] A CORPORATION

LIST ALL DIRECTORS OF THE CORPORATION (IF NONE STATE “NONE”)

Name Director Address

Name

Director Address

Name

Director Address

LIST ALL OFFICERS OF THE CORPORATION (IF NONE STATE “NONE”)

Name

Officer Address

Name

Officer Address

Name

Officer Address

LIST ALL INDIVIDUALS OWNING 10% OR MORE OF OUTSTANDING SHARES OF STOCK

OF THE CORPORATION (IF NONE STATE “NONE”)

Name Owner Address

Name

Owner Address

Name

Owner Address

of 47

I certify that I am duly authorized to submit this list on behalf of the firm, that I am associated with the firm in the capacity noted below, and that I have knowledge of the accuracy of the information

provided herein.

Signature

Printed Name

Title

Note: This list constitutes a government record as defined by § 37.01 of the Texas Penal Code. 12/15/2016

of 47

EXHIBIT IV

CONTRACTOR OWNERSHIP DISCLOSURE ORDINANCE

City Council requires knowledge of the identities of the owners of entities seeking to Contract with the City in order to review their indebtedness to the City prior to entering Contracts. Therefore, all respondents to this Invitation to Bid must comply with Houston Code of Ordinances Chapter 15, as amended (Sections 15-122 through 15-126) relating to the disclosure of owners of entities bidding on, proposing for or receiving City contracts. Provisions of this ordinance are provided in part in the paragraphs that follow. Complete copies may be obtained from the office of the City Secretary.

Contracting entity means a sole proprietorship, corporation, non-profit corporation, partnership, joint venture, limited liability company, or other entity that seeks to enter into a contract requiring approval by the Council but excluding governmental entities. A contracting entity must submit at the time of its Bid or Proposal, an affidavit listing the full names and the business and residence addresses of all persons owning five percent or more of a contracting entity or, where a contracting entity is a non-profit corporation, the full names and the business and residence addresses of all officers of the non-profit corporation. Completion of the "Affidavit of Ownership or Control," included herein, and submitted with the Official Bid or Proposal Form will satisfy this requirement. Failure to provide this information may be just cause for rejection of your Bid or Proposal.

of 47

EXHIBIT IV AFFIDAVIT OF OWNERSHIP OR CONTROL

ORIG. DEPT.: [DEPARTMENT] FILE/I.D. NO.: [WBS NO.] INSTRUCTION: ENTITIES USING AN ASSUMED NAME SHOULD DISCLOSE THAT FACT TO AVOID REJECTION OF THIS AFFIDAVIT. THE

FOLLOWING FORMAT IS RECOMMENDED: CORPORATE/LEGAL NAME DBA ASSUMED NAME.

STATE OF §

§ AFFIDAVIT OF OWNERSHIP OR CONTROL

COUNTY OF §

BEFORE ME, the undersigned authority, on this day personally appeared

[FULL NAME] (the “Affiant”),

[STATE TITLE/CAPACITY WITH CONTRACTING ENTITY] of

[CONTRACTING ENTITY’S CORPORATE/LEGAL NAME] (”Contracting Entity”), who being by me duly

sworn on oath stated as follows:

1. Affiant is authorized to give this affidavit and has personal knowledge of the facts and matters herein stated.

2. Contracting Entity seeks to do business with the City in connection with

[DESCRIBE PROJECT OR MATTER] which is expected to be in an amount that exceeds $50,000.

3. The following information is submitted in connection with the proposal, submission or bid of Contracting Entity in connection with the above described project or matter.

4. Contracting Entity is organized as a business entity as noted below (check box as applicable).

FOR PROFIT ENTITY: NON-PROFIT ENTITY:

[ ] SOLE PROPRIETORSHIP [ ] NON-PROFIT CORPORATION [ ] CORPORATION [ ] UNINCORPORATED ASSOCIATION [ ] PARTNERSHIP [ ] LIMITED PARTNERSHIP [ ] JOINT VENTURE [ ] LIMITED LIABILITY COMPANY [ ] OTHER (Specify type in space below)

5. The information shown below is true and correct for the Contracting Entity; and 6. All owners of 10% or more of the Contracting Entity and, where the Contracting Entity is a non-profit entity, the

required information has been shown for each officer, i.e., president, vice-president, secretary, treasurer, etc. [NOTE: IN ALL

CASES, USE FULL NAMES, LOCAL BUSINESS AND RESIDENCE ADDRESSES AND TELEPHONE NUMBERS. DO NOT USE POST OFFICE

of 47

BOXES FOR ANY ADDRESS. INCLUSION OF E-MAIL ADDRESSES IS OPTIONAL, BUT RECOMMENDED. ATTACH ADDITIONAL SHEETS AS

NEEDED.]

Contracting Entity

Name: Business Address [NO./STREET]

[CITY/STATE/ZIP CODE]

Telephone Number (_____) Email Address [OPTIONAL] Residence Address [NO./STREET]


Telephone Number (_____) Email Address [OPTIONAL]

10% Owner(s) or More (IF NONE, STATE “NONE.”)

Name:

Business Address [NO./STREET]


Telephone Number (_____)

Email Address [OPTIONAL]

Residence Address [NO./STREET]


Telephone Number (_____)

Email Address [OPTIONAL]

of 47

7. Optional Information

Contracting Entity and/or [NAME OF OWNER OR NON-PROFIT

OFFICER] is actively protesting, challenging or appealing the accuracy and/or amount of taxes levied against [CONTRACTING ENTITY, OWNER OR NON-PROFIT OFFICER] as follows:

Name of Debtor: Tax Account Nos. Case or File Nos. Attorney/Agent Name Attorney/Agent Phone No. (_____) Tax Years

Status of Appeal [DESCRIBE]

Affiant certifies that he or she is duly authorized to submit the above information on behalf of the Contracting Entity, that Affiant is associated with the Contracting Entity in the capacity noted above and has personal knowledge of the accuracy of the information provided herein, and that the information provided herein is true and correct to the best of Affiant’s knowledge and belief.

Affiant

SWORN TO AND SUBSCRIBED before me this day of , 20 . (Seal)

Notary Public

NOTE: This affidavit constitutes a government record as defined by Section 37.01 of the Texas Penal Code. Submission of a false government record is punishable as provided in Section 37.10 of the Texas Penal Code. Attach additional pages if needed to supply the required names and addresses.

of 47

EXHIBIT V

ANTI-COLLUSION STATEMENT

The undersigned, as Proposer, certifies that the only person or parties interested in this Proposal as principals

are those named herein; that the Proposer has not, either directly or indirectly entered into any Agreement,

participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection

with the award of this Contract.

__________________________ __________________________________ Date Proposer Signature

of 47

EXHIBIT VI

BIDDER’S STATEMENT OF RESIDENCY

The City may not award a contract for general construction, services, or purchases to a Nonresident Bidder unless Nonresident's Bid is lower than the lowest Bid submitted by a responsible Texas Resident Bidder by the same amount that a Texas Resident bidder would be required to underbid the Nonresident Bidder to obtain a comparable contract in the state in which Nonresident's principle place of business is located.

1. This certifies that the Bidder, , is a State of Texas

Resident Bidder as defined in TEX. GOVT. CODE ANN. § 2252.001(4) (Vernon 2016).

Signature Title

"Texas Resident Bidder" means a bidder whose principal place of business is in this State, and includes a Contractor whose ultimate parent company or majority owner has its principal place of business in this State. When bidder cannot sign 1, above, proceed to 2. 2. a. is a resident of and is a Nonresident Bidder as defined in TEX. GOVT. CODE ANN. § 2252.001(3) (Vernon 2016).

Signature Title

"Nonresident Bidder" means a bidder whose principal place of business is not in this State, but excludes a contractor whose ultimate parent company or majority owner has its principal place of business in this State.

b. The State of [does/does not] have a state statute giving preference to resident bidders.

Signature Title If the answer to 2.b is that your state does have a statute giving preference to resident bidders, then you must provide a copy and proceed to 3. 3. A copy of the State of statute is attached.

Signature Title

Date

************************************************************************************ Note to Specifier - Do not include this form if the Project will receive federal funding in whole or in part. If used, include reference in Document 00210 - Supplementary Instructions to Bidders. States that currently penalize out-of-state bidders include, but may not be limited to, Colorado, Illinois, Iowa, Minnesota, Montana, North Dakota, Pennsylvania, and Wyoming. If Low Bidder is a resident of one of these states, consult the City of Houston Legal Department in adjusting the Bid Amount. ************************************************************************************

of 47

EXHIBIT VII

CONFLICT OF INTEREST QUESTIONNAIRE

CONFLICT OF INTEREST QUESTIONNAIRE: Chapter 176.006 of the Local Government Code (“the code”) requires a Vendor/Contractor to file a Conflict of Interest Questionnaire (CIQ) with the City. NOTE: Vendors/Contractors or Agents should not complete the CIQ if a conflict, as described below, does not exist. Only Vendors/Contractors or Agents that actually have a conflict, as described below, must file a CIQ. Who must file a CIQ? A Vendor/Contractor or Agent of a Vendor/Contractor does not have to file a CIQ unless they intend to enter or is considering entering into a contract with the City or:

1. has an employment or other business relationship with the Local Government Officer/Family Member; or 2. has given the Local Government Officer/Family Member one or more gifts with the aggregate value

exceeding $250.00. When must the Vendor/Contractor or Agent file a CIQ? The completed CIQ must be filed with the City Chief Procurement Officer not later than the 7th business day after the date the Vendor/Contractor or Agent:

1. begins discussions or negotiations to enter into a contract with the City; 2. submits an application to the City in response to a request for proposals or bids, correspondence, or any

other writing related to a potential contract with the City; 3. becomes aware of an employment or other business relations with the Local Government Officer/Family

Member; 4. becomes aware that he/she has given one or more gifts to the Local Government Officer/Family Member

that exceeds $250.00; or 5. an event that would make the CIQ incomplete or inaccurate.

What is a business relationship? Under Chapter 176, business relationship means a connection between two or more parties based on the commercial activity of one of the parties. The term does not include:

1. a transaction that is subject to a rate or fee regulation by a governmental entity; 2. a transaction conducted at a price and subject to terms available to the public; or 3. a purchase or lease of goods or services from a person who is chartered by a state or federal agency

and is subject to regular examination and reporting to that agency. The Conflict of Interest Questionnaire is available for downloading from the Texas Ethics Commission’s website at http://www.ethics.state.tx.us/forms/CIQ.pdf . The Original Conflict of Interest Questionnaire shall be filed with the Finance Department, Strategic Procurement Division, ATTN: Jerry Adams, Chief Procurement Officer; 901 Bagby; Concourse Level; Houston, Texas 77002). Vendors and Contractors required to file shall include a copy of the form as part of the BID/Proposal package. Any questions about filling out this form should be directed to your attorney.

http://www.ethics.state.tx.us/forms/CIQ.pdf

of 47

EXHIBIT VII CONFLICT OF INTEREST QUESTIONNAIRE